FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066685701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Alexander Polinaire (Respondent) General Securities Principal CRD No. 4330879 Pursuant to FINRA Rule 9216, Respondent Christopher Alexander Polinaire 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. 2021069374701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Superior Financial Services, Inc. (Respondent) Member Firm CRD No. 104165 Pursuant to FINRA Rule 9216, Respondent Superior Financial Services, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.