FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064323201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Securities America, Inc. (Respondent) Member Firm CRD No. 10205 Pursuant to FINRA Rule 9216, Respondent Securities America, Inc. 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. 2019063686301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Israel Soto (Respondent) Former General Securities Representative CRD No. 5897011 Pursuant to FINRA Rule 9216, Respondent Israel Soto submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.