FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076763001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Grant Douglas Johnson (Respondent) Former General Securities Representative and Investment Banking Representative CRD No. 2355556 Pursuant to FlNRA Rule 9216, Respondent Grant Douglas Johnson 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. 2023080530501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matt Ward (Respondent) General Securities Representative CRD No. 2075525 Pursuant to FINRA Rule 9216, Respondent Matt Ward submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.