FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068109001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Crown Capital Securities, L.P. (Respondent) Member Finn CRD No. 6312 Pursuant to FINRA Rule 9216, Respondent Crown Capital Securities, L.P. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071593301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sevaag Matossian (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6536241 Pursuant to FINRA Rule 9216, Respondent Sevaag Matossian submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.