FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073708202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steve Allen Moise (Respondent) Former General Securities Representative CRD No. 4995443 Pursuant to FINRA Rule 9216, Respondent Steve Allen Moise submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.