FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065277801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William O’Neil Securities (Respondent) Member Firm CRD No. 894 Pursuant to FINRA Rule 9216, Respondent William O’Neil Securities submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.