FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065242201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Decker & Co, LLC (Respondent) Member Firm CRD No. 166446 Pursuant to FINRA Rule 9216, Respondent Decker & Co, 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. 2023078766801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John M. Fagan (Respondent) Former General Securities Representative CRD No. 1267279 Pursuant to FINRA Rule 9216, Respondent John M. Fagan submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.