FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073972401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gregg Gravenstine (Respondent) General Securities Representative CRD No. 1762521 Pursuant to FINRA Rule 9216, Respondent Gregg Gravenstine 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. 2022073966101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mutual Securities, Inc. (Respondent) Member Firm CRD No. 13092 Pursuant to FINRA Rule 9216, Respondent Mutual Securities, Inc., 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael R. Rosalia (CRD No. 2323953), Respondent. Disciplinary Proceeding No. 2019060753508 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Michael R. Rosalia (“Rosalia”) failed to appear and provide testimony requested pursuant to FINRA Rule 8210 as part of FINRA’s investigation into whether Rosalia engaged in excessive and unsuitable trading in his customers’ accounts. As a result, Rosalia violated FINRA Rules 8210 and 2010.