FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHARLES THOMAS STEVENS (CRD No. 1698058), Respondent. Disciplinary Proceeding No. 2017056627801 Hearing Office—MC DEFAULT DECISION March 26, 2021 Respondent Charles Thomas Stevens is barred from associating with any FINRA member firm in any capacity for failing to appear and provide on-the-record testimony. Because of the bar, no separate sanctions are imposed for Stevens’ (i) failures to update his Form U4

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068470001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chad T. Crawford (Respondent) Former General Securities Representative and Former General Securities Principal CRD No. 4257257 Pursuant to FINRA Rule 9216, Respondent Chad T. Crawford submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.