FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067094001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Western International Securities, Inc. (Respondent) Member Firm CRD No. 39262 Pursuant to FINRA Rule 9216, Respondent Western International 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Yoon Sik Chung CRD No. 5978168, Respondent. Disciplinary Proceeding No. 2020067734201 Hearing Officer—RES ORDER ACCEPTING OFFER OF SETTLEMENT DATE: November 2, 2022 INTRODUCTION Disciplinary Proceeding No. 2020067734201 was filed on October 7, 2022, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Yoon Sik Chung (Chung or Respondent) submitted an Offer of Settlement (Offer) to Complainant dated 10/19/2022.

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.