FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065293201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Blake Daughtry, Respondent General Securities Representative CRD No. 3272282 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James Blake Daughtry 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. 2019061868302 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tishon Lamon Afanador, Respondent Former General Securities Representative CRD No. 5026608 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Tishon Lamon Afanador submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on