FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063881901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Baker Tilly Capital, LLC (Respondent) Member Firm CRD No. 115333 Pursuant to FINRA Rule 9216, Respondent Baker Tilly Capital, 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. 2020068113401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew J. Grant (Respondent) General Securities Representative CRD No. 2709882 Pursuant to FINRA Rule 9216, Respondent Andrew J. Grant submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.