FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061612601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SagePoint Financial, Inc. (Respondent) Member Firm CRD No. 133763 Pursuant to FINRA Rule 9216, Respondent SagePoint Financial, 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 LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059630401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Canaccord Genuity Wealth Management (USA) Inc. (Respondent) Member Firm CRD No. 7449 Pursuant to FINRA Rule 9216, Respondent Canaccord Genuity Wealth Management (USA) Inc. (Canaccord) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.