FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056490308 TO: Department of Enforcement FINANCIAL INDUSTRY REGULATORY AUTHORITY RE: Arthur B. McQuaide (Respondent) Former General Securities Representative CRD No. 4581876 Pursuant to FINRA Rule 9216, Respondent Arthur B. McQuaide 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. 2021071651901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SRT Securities LLC (Respondent) Member Firm CRD No. 33725 Pursuant to FINRA Rule 9216, Respondent SRT Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.