FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068856201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Horn (Respondent) General Securities Representative CRD No. 2579003 Pursuant to FINRA Rule 9216, Respondent Steven Horn 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. 2020068210301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nathan M. Plumb Former General Securities Representative CRD No. 4598158 Pursuant to FINRA Rule 9216, Respondent Nathan M. Plumb 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 AUIBORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061928701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lightspeed Financial Services Group LLC, formerly known as Lime Brokerage, LLC (Respondent) Member Firm CRD No. 104369 Pursuant to FINRA Rule 9216, Respondent Lightspeed Financial Services Group 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. 2021070633001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: German Ricardo Mora (Respondent) Former General Securities Representative CRD No. 5032958 Pursuant to FINRA Rule 9216, Respondent German Ricardo Mora submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.