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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065149201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Great American Investors, Inc. (Respondent) Member Firm CRD No. 28489 Pursuant to FINRA Rule 9216, Respondent Great American Investors, Inc. (GAI) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.