PENSON FINANCIAL SERVICES INC

05/21/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060066641-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Penson Financial Services, Inc., Respondent Broker-Dealer CRD No. 25866 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Penson Financial Services, 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

Reference 2006006664101data-portal.finra.orgfinra.org

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06/10/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050033299-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Penson Financial Services, Inc. Respondent Broker-Dealer CRD No, 25866 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Penson Financial Services, Inc. (the "firm")

Reference 2005003329901finra.orgdata-portal.finra.org

06/06/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20041000171-01 TO: Department of Market Regulation NASD RE: Penson Financial Services, Inc. Broker-Dealer CRD No. 25866 Pursuant to Rule 9216 of the NASD Code of Procedure, Penson Financial Services, Inc., (the "firm" or "PFSI") 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

Reference 2004100017101data-portal.finra.orgfinra.org

07/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050001656-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Penson Financial Services, Inc., Respondent Broker-Dealer CRD No. 25866 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Penson Financial Services, 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

Reference 2005000165602finra.orgdata-portal.finra.org

10/06/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Penson Financial Services, Inc. CRD No. 25866 Respondents Disciplinary Proceeding No. C06050007 (E062002007507) Hearing Officer: DRP ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 6, 2005 INTRODUCTION Disciplinary Proceeding No. C06050007 was filed on April 28, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondents Penson Financial Services, Inc. ("Penson") and submitted an Offer of Settlement ("Offer") to

Reference C06050007data-portal.finra.orgfinra.org

09/27/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E062005013001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Penson Financial Services, Inc. Member Firm CRD No. 25866 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Penson Financial Services, Inc. ("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

Reference E062005013001data-portal.finra.orgfinra.org

05/13/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CpNSENT NO. 20090170115-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Penson Financial Services, Inc., Respondent Broker-Dealer CRD No. 25866 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Penson (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

Reference 2009017011501data-portal.finra.orgfinra.org

09/24/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080126810-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Penson Financial Services, Inc., Respondent Broker-Dealer CRD No. 25866 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Penson Financial Services, 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

Reference 2008012681001data-portal.finra.orgfinra.org

12/14/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008011615801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Penson Financial Services, Inc., Respondent Member Firm CRD No. 25866 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Penson Financial Services, Inc. ("Penson," "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2008011615801data-portal.finra.orgfinra.org

12/10/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002670701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Penson Financial Services, Inc. Member Firm CRD No. 25866 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Penson Financial Services, Inc. ("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

Reference 2005002670701data-portal.finra.orgfinra.org