OAK RIDGE FINANCIAL SERVICES GROUP INC.

10/13/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0420050103-02 To: Department of Enforcement NASD Re: The Oak Ridge Financial Services Gronp, Inc. Member (CRD No. 42941) Pursuant to NASD Procedural Rule 9216, Oak Ridge Financial Services Group, Inc. (Oak Ridge), submits this Letter of Acceptance, Waiver and Consent

Reference E042005010302data-portal.finra.orgfinra.org

08/08/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016052229401 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: The Oak Ridge Financial Services Group, Inc., Respondent CRD No. 42941 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, The Oak Ridge Financial Services Group, Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2016052229401data-portal.finra.orgfinra.org

06/16/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030789401 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: The Oak Ridge Financial Services Group, lnc., Respondent FINRA Member Firm CRD No. 42941 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent The Oak Ridge Financial Services Group, Inc. ("Oak Ridge") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement

Reference 2012030789401finra.orgdata-portal.finra.org

06/12/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20050001712-01 TO: Department of Market Regulation NASD RE: Oak Ridge Financial Services Group, Inc., Respondent Broker-Dealer CRD Number 42941 Michael Leonard, Respondent Registered Representative CRD Number 728226 Pursuant to Rule 9216 of NASD Code of Procedure, Oak Ridge Financial Services Group, Inc. ("EQTS" or "the firm") and Michael Leonard ("Leonard") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the

Reference 2005000171201data-portal.finra.orgfinra.org

09/27/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070609801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: The Oak Ridge Financial Services Group, Inc. (Respondent) Member Firm CRD No. 42941 Pursuant to FINRA Rule 9216, Respondent The Oak Ridge Financial Services Group, Inc. 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 that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2021070609801finra.orgdata-portal.finra.org