FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019060698001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: The Enterprise Securities Company, Respondent Broker-Dealer CRD No. 26598 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent The Enterprise Securities Company (the "Firm" or "Respondent" or "Enterprise") 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. 2018058651301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gelber Securities, LLC, Respondent Member Firm CRD No. 18367 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Gelber Securities, LLC ("Gelber" or the "Firm") 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. TRAVIS SCOTT HUGHES CRD No. 7136761, RESPONDENT. Disciplinary Proceeding No. 2019064416201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On October 11,2019, Travis Scott Hughes cheated on the Series 79 qualification examination. Prior to arriving at the test center, Hughes hid personal notes in his shorts. During the exam, Hughes removed the notes and repeatedly reviewed them. He did so after acknowledging and agreeing to follow FINRA’s Qualification Examinations Rules

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048607401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Canaccord Genuity LLC, Respondent Member Firm CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Canaccord Genuity LLC (Canaccord or the Respondent) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.