LEGENT CLEARING LLC

12/15/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0420040084-02 To: Department of Enforcement NASD Re: Legent Clearing LLC Member (CRD No. 117176) Pursuant to NASD Procedural Rule 9216, Legent Clearing LLC (Legent) 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,

Reference E042004008402data-portal.finra.orgfinra.org

12/13/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Legent Clearing LLC (n/k/a COR Clearing LLC), CRD No. 117176, Respondent. Disciplinary Proceeding No. 2009016234701 Hearing Officer MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 16, 2013 INTRODUCTION Disciplinary Proceeding No. 2009016234701 was filed on April 23, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant").

Reference 2009016234701data-portal.finra.orgfinra.org

06/01/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE WAIVER AND CONSENT NO. 20140400094-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: COR Clearing LLC, Respondent Broker-Dealer CRD No. 117176 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, COR Clearing LLC (the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2014040009401finra.orgdata-portal.finra.org

12/31/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007133001 To: Department of Enforcement Financial Industry Regulatory Authority (FINRA) Re: Legent Clearing LLC, Respondent Member Firm CRD No. 117176 Pursuant to NASD. Rule 9216 of FINRA's Code of Procedure, Legent Clearing LLC (Legent) 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

Reference 2007007133001data-portal.finra.orgfinra.org

07/11/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140404620-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: COR Clearing LLC, Respondent Broker-Dealer CRD No. 117176 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, COR Clearing LLC (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. This AWC is

Reference 2014040462001data-portal.finra.orgfinra.org