FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076491301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Reynolds (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5976029 Pursuant to FINRA Rule 9216, Respondent Christopher Reynolds 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. MICHAEL CHARLES GRANDE (CRD No. 1219255), Respondent. Disciplinary Proceeding No. 2018060128401 Hearing Officer–BDC AMENDED DEFAULT DECISION1 August 16, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide information requested in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010. Appearances For the Complainant: Isaiah Sakany, Esq., Albert A.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Christopher Cacace (CRD No. 4308782), Respondent. Disciplinary Proceeding No. 2020065599103 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From May 2017 through November 2019 (the “Relevant Period”), SW Financial (CRD No. 145012) (“SWF” or the “Firm”) tasked its Chief Compliance Officer (“CCO”), Respondent Christopher Cacace, with supervising SWF’s registered representatives and their trading activity.