FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065914202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Edwards Ellis (Respondent) Former General Securities Representative CRD No. 6770635 Pursuant to FINRA Rule 9216, Respondent William Ellis submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006007105102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: SunTrust Investment Services, Inc. (CRD No. 17499) and Donald A. Mattran, Jr. (CRD No. 2342760) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, SunTrust Investment Services, Inc. ("STIS" or "the firm") and Donald A. Mattran, Jr. ("Mattran") (collectively "Respondents") submit this Letter of Acceptance, Waiver and