FINANCIAL INDUSTRY REGULA TORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079709601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brad H. Davidoff (Respondent) General Securities Representative CRD No. 4860150 Pursuant to FTNRA Rule 9216, Respondent Brad H. Davidoff submits this Letter of Acceptance, Waiver, and Consent (A WC) 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. 2020065136101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Crown Capital Securities, L.P. (Respondent) Member Firm CRD No. 6312 Pursuant to FINRA Rule 9216, Respondent Crown Capital Securities, L.P., submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.