FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076459301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Caz Craffy (Respondent) Former General Securities Representative CRD No. 5222223 Pursuant to FINRA Rule 9216, Respondent Caz Craffy 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. 2022074755101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kellen Ferris (Respondent) Former General Securities Representative (GS) CRD No. 5719427 Pursuant to FINRA Rule 9216, Respondent Kellen Ferris submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.