FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061213301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Center Street Securities, Inc. (Respondent) Member Firm CRD No. 26898 Pursuant to FINRA Rule 9216, Respondent Center Street Securities, 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. 2020066189601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Clarence Smith (Respondent) Investment Company Shares and Variable Contracts Representative and Direct Participation Programs Representative CRD No. 2939228 Pursuant to FINRA Rule 9216, Respondent Clarence Smith 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. 2020065570301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CVCapital Securities, LLC (Respondent) Member Firm CRD No. 152765 Pursuant to FINRA Rule 9216, Respondent CVCapital 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. 2018060441601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Moloney Securities Co., Inc. (Respondent) Member Firm CRD No. 38535 Pursuant to FINRA Rule 9216, Respondent Moloney Securities Co., Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.