FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068470001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chad T. Crawford (Respondent) Former General Securities Representative and Former General Securities Principal CRD No. 4257257 Pursuant to FINRA Rule 9216, Respondent Chad T. Crawford 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. 2019062311701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeremy Taylor Johnson (Respondent) Private Securities Offerings Representative CRD No. 7074043 Pursuant to FINRA Rule 9216, Respondent Jeremy Taylor Johnson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.