FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076673601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian K. Shey (Respondent) Former General Securities Representative CRD No. 4610561 Pursuant to FINRA Rule 9216, Respondent Brian K. Shey 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. 2021069307801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sun’s Brothers Securities Inc. (Respondent) Member Firm CRD No. 123531 Pursuant to FINRA Rule 9216, Respondent Sun’s Brothers 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 LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074468401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Savary (Respondent) General Securities Representative and General Securities Principal CRD No. 1069141 Pursuant to FINRA Rule 9216, Respondent William Savary submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.