FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050801701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondent) Member Firm BD No. 7691 Pursuant to FINRA Rule 9216, Respondent Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065149801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lee Victor Nordstrom (Respondent) General Securities Representative CRD No. 2248261 Pursuant to FINRA Rule 9216, Respondent Lee Victor Nordstrom 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072405501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Dampf (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5676205 Pursuant to FINRA Rule 9216, Respondent Jeffrey Dampf 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