FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069276801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Academy Securities, Inc. (Respondent) Member Firm CRD No. 17433 Pursuant to FINRA Rule 9216, Respondent Academy Securities, Inc. 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. 2023078798001 TO: Department of Enforcement Financial Industry Regulatory Authority (FJNRA) RE: Christina D . Peterman (Respondent) Former General Securities Representative CRD No. 4064817 Pursuant to FINRA Rule 9216, Respondent Christina D. Peterman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.