FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071099404 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Western International Securities, Inc. (Respondent) Member Firm CRD No. 39262 Pursuant to FINRA Rule 9216, Respondent Western International Securities, 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. 2021070602901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: The Jeffrey Matthews Financial Group, LLC (Respondent) Member Firm CRD No. 41282 Pursuant to FINRA Rule 9216, Respondent The Jeffrey Matthews Financial Group, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.