DAVID A. NOYES & COMPANY

06/30/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050000292-04 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA'') RE: David A. Noyes & Company Broker-Dealer CRD No. 205 Russell Warren Bauman Registered Representative and Principal CRD No. 15099 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, David A. Noyes & Company (the "firm") and Russell Warren Bauman ("Bauman") (together the "Respondents") submit this Letter of

Reference 2005000029204finra.orgdata-portal.finra.org

09/07/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090207118-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: David A. Noyes & Company, Respondent Broker-Dealer CRD No. 205 Pursuant to FINRA Rule 9216 of FNRA's Code of Procedure, David A. Noyes & Company ("NOYS" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2009020711801data-portal.finra.orgfinra.org

12/07/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080124537-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: David A. Noyes & Company, Respondent Broker/Dealer CRD No. 205 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, David A. Noyes & Company ("the firm") 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

Reference 2008012453701finra.orgdata-portal.finra.org

06/23/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C8A050058 TO: Department of Enforcement NASD RE: David A. Noyes & Company (CRD No. 205) and Anthony M. Quirini Sales Supervisor (CRD No. 369593) Pursuant to Rule 9216 of NASD Code of Procedure, we, David A. Noyes & Company and Anthony M. Quirini (hereinafter collectively referred to as "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II

Reference C8A050058data-portal.finra.orgfinra.org

07/01/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060694201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sanctuary Securities, Inc., (formerly known as David A. Noyes & Company) (Sanctuary or Respondent) Member Firm CRD No. 205 Pursuant to FINRA Rule 9216, Respondent 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

Reference 2019060694201data-portal.finra.orgfinra.org

02/25/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OFACCEPTANCE, WAIVER AND CONSENT NO. 20070083220-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: David A. Noyes & Company, Respondent Broker-Dealer CRD No. 205 Pursuant to FINRA Rule 9216 of FINRA 's Code of Procedure, David A. Noyes & Company (the "firm") 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

Reference 2007008322001finra.orgdata-portal.finra.org

12/03/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050002191-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA.) RE: David A. Noyes & Company Broker-Dealer CRD No. 205 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, David A. Noyes & Company proposing a settlement of the alleged rule violations described below. This AWC is submitted. on the condition that, if accepted,

Reference 2005000219101data-portal.finra.orgfinra.org