FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063767301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CF Secured, LLC (Respondent) Member Firm CRD No. 285841 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent CF Secured, LLC 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. 2021069510901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tonia Berg (Respondent) Former Associated Person CRD No. 6695171 Pursuant to FINRA Rule 9216, Respondent Tonia Berg submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.