FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048835401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Beta Capital Securities LLC, Respondent Broker-Dealer CRD No. 38964 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Beta Capital Securities LLC ("Beta Capital" 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.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057116501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity LLC, Respondent Member Firm CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Canaccord Genuity LLC ("Canaccord," "Respondent" 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.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058699101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Richard C. Berg CRD No. 1233833 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ami Kathryn Forte (CRD No. 2457536) and Charles Joseph Lawrence (CRD NO. 3131566), Respondents. Disciplinary Proceeding No. 2016049321302 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 21, 2019 INTRODUCTION Disciplinary Proceeding No. 2016049321302 was filed on December 20, 2018, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ami Kathryn Forte (CRD No. 2457536) and Charles Joseph Lawrence (CRD NO. 3131566), Respondents. Disciplinary Proceeding No. 2016049321302 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 21, 2019 INTRODUCTION Disciplinary Proceeding No. 2016049321302 was filed on December 20, 2018, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048444001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: WallachBeth Capital LLC, Respondent Broker-Dealer CRD No. 147853 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, WallachBeth Capital LLC (the "firm" 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.