FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069376801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: American Wealth Management, Inc. (Respondent) Member Firm CRD No. 25536 Pursuant to FINRA Rule 9216, Respondent American Wealth Management, 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. 2021069357901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Highlander Capital Group, Inc. (Respondent) Member Firm CRD No. 19074 Pursuant to FINRA Rule 9216, Respondent Highlander Capital 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 LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076103701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Axos Invest LLC (Respondent) Member Firm CRD No. 172393 Pursuant to FINRA Rule 9216, Respondent Axos Invest 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. 2021069277101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Harpeth Securities, LLC (Respondent) Member Firm CRD No. 109821 Pursuant to FINRA Rule 9216, Respondent Harpeth 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.