FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074637901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bradley Stephen Kavanagh (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5784000 Pursuant to FINRA Rule 9216, Respondent Bradley Stephen Kavanagh 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. 2022075235601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Annetta Marie Box (Respondent) Former General Securities Principal, Former General Securities Representative and Former Municipal Securities Representative CRD No. 6475567 Pursuant to FINRA Rule 9216, Respondent Annetta Marie Box submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.