FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066315201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bryant Edwin Caveness, Respondent General Securities Representative CRD No. 4033740 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Bryant Edwin Caveness (Caveness or Respondent) 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. 2018060577602 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Concorde Investment Services, LLC, Respondent Member Firm CRD No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055668501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BMO Capital Markets Corp., Respondent Member Firm CRD No. 16686 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent BMO Capital Markets Corp. (“BMO"’ or the “firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.