FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065114701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tradition Securities and Derivatives LLC (Respondent) Member Firm CRD No. 28269 Pursuant to FINRA Rule 9216, Respondent Tradition Securities and Derivatives LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.