Northeast Securities Inc.

06/13/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ELI2003002003 TO: Department of Enforcement NASD RE: Northeast Securities, Inc. [BD No. 25996] Pursuant to Rule 9216 of NASD Code of Procedure, Northeast Securities, Inc. ("Respondent" or "Northeast") 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 future actions

Reference ELI2003002003finra.orgdata-portal.finra.org

06/12/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040769402 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Northeast Securities, Inc. (n/k/a Northeast Securities, LLC), Respondent Member Firm CRD No. 25996 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Northeast Securities, Inc. (n/k/a Northeast Securities, LLC) ("Northeast" or the "Firm") submits this Letter of Acceptance,

Reference 2014040769402data-portal.finra.orgfinra.org

09/24/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021251601 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Northeast Securities, Inc. Broker-Dealer CRD No. 25996 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Northeast Securities, Inc. (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 2010021251601finra.orgdata-portal.finra.org

02/05/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060061914-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Northeast Securities, Inc., Respondent Broker-Dealer CRD No, 25996 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Northeast Securities, Inc. (the "firm" or "NESC") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2006006191401data-portal.finra.orgfinra.org

07/27/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.# 20050006001-01 TO: Department of Market Regulation NASD RE: Northeast Securities, Inc., Respondent Broker-Dealer CRD No. 25996 Pursuant to Rule 9216 of NASD Code of Procedure, Northeast Securities, Inc. (the "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 2005000600101data-portal.finra.orgfinra.org

10/12/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100244021-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Northeast Securities, Inc. Broker-Dealer CRD No. 25996 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Northeast Securities, Inc. (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 2010024402101data-portal.finra.orgfinra.org