FINANCIAL INDUSTY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016047664201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: WealthForge Securities, LLC Respondent Member Firm CRD No. 152550 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent WealthForge Securities, LLC (WealthForge) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066246901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott Wayne Reed (Respondent) Former General Securities Representative; Former General Securities Principal; Former General Securities Sales Supervisor CRD No. 3007033 Pursuant to FINRA Rule 9216, Respondent Scott Wayne Reed submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.