Oriental Financial Services Corp.

12/11/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035308801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Oriental Financial Services Corp. ("Oriental"), Respondent Member Firm BD No. 29753 Pursuant to FINRA RULE 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver find Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2013035308801data-portal.finra.orgfinra.org

05/21/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036797001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: OFS Securities, Inc. (n/k/a/ Oriental Financial Services Corp.) Respondent Broker-Dealer CRD No. 39615 (now CRD No. 29753) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, OFS Securities, Inc. (f/k/a/ BBVA Securities of Puerto Rico, Inc.) ("OFS Securities" or the "firm") submits this Letter of Acceptance, a

Reference 2013036797001data-portal.finra.orgfinra.org

01/07/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110285105-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: OFS Securities, Inc., (n/k/a Oriental Financial Services Corp.), Respondent Broker-Dealer CRD No. 39615 (now CRD No. 29753) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, OFS Securities, Inc. (''TCMC" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2011028510501data-portal.finra.orgfinra.org

05/18/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130388727-01 TO: Department of Market Regulation Financial lndustry Regulatory Authority ("FINRA") RE: Oriental Financial Services Corp., Respondent Broker-Dealer CRD No. 29753 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Oriental Financial Services Corp. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2013038872701data-portal.finra.orgfinra.org

05/13/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059633801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Oriental Financial Services Corp., Respondent CRD No. 29753 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Oriental Financial Services Corp. ("Oriental" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2018059633801finra.orgdata-portal.finra.org

01/07/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110285105-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: OFS Securities, Inc., (n/k/a Oriental Financial Services Corp.), Respondent Broker-Dealer CRD No. 39615 (now CRD No. 29753) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, OFS Securities, Inc. (''TCMC" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2011028510501data-portal.finra.orgfinra.org