FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058614201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Mijin Kim, Respondent Former Non-Registered Fingerprint Person CRD No. 6799926 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Oscar Nunez (CRD No. 6014411), Respondent. DISCIPLINARY PROCEEDING NO. 2017055553002 COMPLAINT The Department of Enforcement alleges: 1. From January 2016 through December 2016, while associated with J.H. Darbie & Co., Inc. ("J.H. Darbie" or the "Firm"), Respondent Oscar Nunez converted $7,000 from an eldely customer, HZ. To convince HZ to give him the funds, Nunez

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045281603 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Sanford C. Bernstein & Co., LLC, Respondent Broker-Dealer CRD No. 104474 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Sanford C. Bernstein & Co., LLC (the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a