FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056490308 TO: Department of Enforcement FINANCIAL INDUSTRY REGULATORY AUTHORITY RE: Arthur B. McQuaide (Respondent) Former General Securities Representative CRD No. 4581876 Pursuant to FINRA Rule 9216, Respondent Arthur B. McQuaide 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. 2021071651901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SRT Securities LLC (Respondent) Member Firm CRD No. 33725 Pursuant to FINRA Rule 9216, Respondent SRT 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. D. Allen Blankenship, CRD No.2842335, Respondent. Disciplinary Proceeding No. 2019064333401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period from August 2016 to September 2019 (the “Relevant Period”), while registered through the firm, Independent Financial Group, LLC (BD No. 7717) (IFG), respondent D. Allen Blankenship engaged in unsuitable mutual fund trading.