FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065125101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Katalyst Securities LLC (Respondent) Member Firm CRD No. 112494 Pursuant to FINRA Rule 9216, Respondent Katalyst Securities 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. 2018058605501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: ViewTrade Securities, Inc. (Respondent) Member Firm CRD No. 46987 Pursuant to FINRA Rule 9216, Respondent ViewTrade 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 LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066687601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Conrad Kenneth Branson, Respondent General Securities Representative CRD No. 2939162 Pursuant to FINRA Rule 9216, Respondent Conrad Kenneth Branson 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. 2019061213101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Capital Investment Group, Inc. (Respondent) Member Firm CRD No. 14752 Pursuant to FINRA Rule 9216, Respondent Capital Investment Group, 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. Michael Venturino (CRD No. 5872439), Respondent. Disciplinary Proceeding No. 2021070337501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From July 2014 to June 2017 (the “Relevant Period”), while associated with FINRA member Aegis Capital Corp. (“Aegis” or the “firm”), Michael Venturino churned and excessively traded 12 accounts of 11 different firm customers. 2. During this period, Venturino exercised de facto control over each of the 12 accounts.