FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064511202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dana H. Davis (Respondent) General Securities Representative CRD No. 1707708 Pursuant to FINRA Rule 9216, Respondent Dana H. Davis 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. 2019063881901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Baker Tilly Capital, LLC (Respondent) Member Firm CRD No. 115333 Pursuant to FINRA Rule 9216, Respondent Baker Tilly Capital, LLC, submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.