FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016047634501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: R.F. Lafferty & Co., Inc. (Respondent) Member Firm CRD No. 2498 Pursuant to FINRA Rule 9216, Respondent R.F. Lafferty & Co., 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. 2018056408401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lincoln Investment, Respondent Member Firm CRD No. 519 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Lincoln Investment submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.