LAZARD FRERES & CO. LLC

06/03/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050075 TO: Market Regulation Department NASD RE: Lazard Freres & Co. LLC, Respondent Broker-Dealer CRD No. 2528 Pursuant to Rule 9216 of NASD Code of Procedure, Lazard Freres & Co. LLC ("LAZA" 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring

Reference CLG050075data-portal.finra.orgfinra.org

10/01/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010023872501 TO: Department of Enforcement Financial lndustry Regulatory Authority ("FINRA") RE: Lazard Capital Markets LLC, Respondent CRD No. 134736 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Lazard Capital Markets LLC ("LCM," ''Respondent" or the "firm") subrnits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2010023872501data-portal.finra.orgfinra.org

06/02/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005179801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lazard Capital Markets LLC, Respondent, CRD No. 134736 Pursuant to FINRA 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

Reference 2006005179801data-portal.finra.orgfinra.org

06/02/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.50120920003-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Lazard Capital Markets LLC, Respondent Broker-Dealer CRD No. 134736 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Lazard Capital Markets LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2012032000301data-portal.finra.orgfinra.org

01/08/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011028486501 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: FM Partners Holdings LLC (f/k/a Lazard Capital Markets LLC), Respondent Broker-Dealer CRD No. 134736 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent FM Partners Holdings LLC (f/k/a Lazard Capital Markets LLC) (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for

Reference 2011028486501finra.orgdata-portal.finra.org

06/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20120330973-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Lazard Capital Markets LLC, Respondent Broker-Dealer CRD No. 134736 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Lazard Capital Markets 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

Reference 2012033097301data-portal.finra.orgfinra.org

12/03/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130356817-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FlNRA") RE: Lazard Capital Markets LLC, Respondent ("LCM" or the "Firm”) BD No. 134736 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2013035681701data-portal.finra.orgfinra.org

09/20/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120338558-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Lazard Capital Markets LLC, Respondent Broker-Dealer CRD No. 134736 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Lazard Capital Markets LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2012033855801data-portal.finra.orgfinra.org

10/25/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ## E1020040241-01 TO: Department of Enforcement NASD RE: Lazard Capital Markets LLC (BD No. 134736) ("LMC") formerly doing business as Lazard Freres & Co., LLC (BD No. 2528) (''LAZA") Respondent Pursuant to Rule 9216 of NASD Code of Procedure, Lazard Capital Markets LLC ("LCM" or "Respondent") 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

Reference E102004024101data-portal.finra.orgfinra.org

04/04/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060040925-01 Department of Market Regulation Financial lndustry Regulatory Authority ("FINRA") Lazard Capital Markets LLC, Respondent Broker/Dealer CRD No. 134736 Pursuant to Rule 9216 of the FINRA Code of Procedure, Lazard Capital Markets LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2006004092501finra.orgdata-portal.finra.org

09/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 20080142615-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Lazard Capital Markets LLC, Respondent Broker-Dealer CRD No. 134736 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Lazard Capital Markets LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2008014261502data-portal.finra.orgfinra.org