FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059743301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hornor, Townsend & Kent, LLC (Respondent) Member Firm CRD No. 4031 Pursuant to FINRA Rule 9216, Respondent Hornor, Townsend & Kent, LLC (HTK) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.