FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016049229501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Elevation, LLC (Respondent) Member Firm CRD No. 140341 Pursuant to FINRA Rule 9216, Respondent Elevation, LLC 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. 2022073419201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Anthony Joseph Cantone (Respondent) Former General Securities Representative, General Securities Principal, Research Analyst, Research Principal, Investment Banking Representative, and Investment Banking Principal CRD No.