J.P. TURNER & COMPANY LLC

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07/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090207655-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: J.P. Turner & Company, L.L.C., Respondent Broker-Dealer CRD No. 43177 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, J.P. Turner & Company, L.L.C. ("JPTC" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2009020765501data-portal.finra.orgfinra.org

12/05/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011026098501 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: J.P. Turner & Company, L.L.C. ("J.P. Turner" or the "Firm") (BD No. 43177) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, J.P. Turner 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 submit

Reference 2011026098501data-portal.finra.orgfinra.org

08/25/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042566601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: J.P. Turner & Company, L.L.C., Respondent FINRA Member Firm BD No. 43177 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, J.P. Turner & Company, L.L.C. ("J.P. Turner" or the ''Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2014042566601data-portal.finra.orgfinra.org

04/21/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025756301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: J.P. Turner & Company, L.L.C., Respondent Member Firm CRD No. 43177 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, J.P. Turner & Company, L,L.C (hereinafter, "J.P. Turner, "Firm," or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2011025756301data-portal.finra.orgfinra.org

10/29/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. SAF2004026601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: J.P. Turner & Company, LLC (CRD 43177) Pursuant to Rule 9216 of FINRA's Code of Procedure, Respondent 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 on the condition that, if accepted, FINRA will not

Reference SAF2004026601data-portal.finra.orgfinra.org

12/07/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050260101 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: J.P. Turner & Company, L.L.C., Respondent CRD No. 43177 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, J.P. Turner & Company, L.L.C. (“JPTC” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described

Reference 2016050260101data-portal.finra.orgfinra.org

03/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009017323301 TO: Department of Market Regulation Financial Industry Authority ("FINRA") RE: J.P. Turner & Company, L.L.C., Broker-Dealer CRD No. 43177 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, J.P. Tuner & Company, L.L.C.

Reference 2009017323301data-portal.finra.orgfinra.org

05/13/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100233772-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: J.P. Turner & Company, L.L.C., Respondent Broker-Dealer CRD No. 43177 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, J.P. Turner & Company, L.L.C. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2010023377201data-portal.finra.orgfinra.org

11/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130358778-01 TO: Department of Market Regulation Financial Industry Regulatory ("FINRA") RE: J.P. Turner & Company, L.L.C., Respondent Broker-Dealer CRD No. 43177 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, J.P. Turner & Company, L.L.C. (the "firm") submits this Letter of Acceptance, Waiverr and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2013035877801finra.orgdata-portal.finra.org

11/18/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039275901 TO: Department of Enforcement Financial Industry Regulatory Authoiity ("FINRA") RE: J.P. Turner & Company, LLC, Respondent Member Firm CRD No.43177 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, J.P. Turner & Company, LLC (hereinafter, "J.P. Turner," "Firm," or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

Reference 2014039275901data-portal.finra.orgfinra.org

09/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. JAMES EDWARD MCGRATH, CRD No. 1582846, AND J.P. TURNER & COMPANY, LLC, BD No. 43177, RESPONDENTS. DISCIPLINARY PROCEEDING No. 2009016612701 Hearing Officer - LBB ORDER ACCEPTING OFFER OF SETTLEMENT DATED: SEPTEMBER 14, 2011 INTRODUCTION Disciplinary Proceeding No. 2009016612701 was filed on January 28, 2011 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)

Reference 2009016612701data-portal.finra.orgfinra.org

11/11/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050000700-01 TO: Department of Market Regulation NASD RE: J.P. Turner Company, LLC, Respondent Broker-Dealer CRD No. 43177 Pursuant to Rule 9216 of NASD Code of Procedure, J.P. Turner Company, LLC ("JPTC" or "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any

Reference 2005000070001data-portal.finra.orgfinra.org