FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068885402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cambridge International Securities, LLC (Respondent) Member Firm CRD No. 39137 Pursuant to FINRA Rule 9216, Respondent Cambridge International 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. 2021070609801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: The Oak Ridge Financial Services Group, Inc. (Respondent) Member Firm CRD No. 42941 Pursuant to FINRA Rule 9216, Respondent The Oak Ridge Financial Services 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.