FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060895201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: DAI Securities, LLC, formerly known as Lewis Financial Group, L.C. (Respondent) Member Firm CRD No. 36673 Pursuant to FINRA Rule 9216, Respondent DAI Securities, LLC, 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.2022076459306 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Steven Meyer (Respondent) Former General Securities Representative and Former General Securities Principal CRD No. 3074785 Pursuant to FINRA Rule 9216, Respondent Robert Steven Meyer submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.