Robert W. Baird & Co. Inc.

12/18/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 20060067553-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Robert W. Baird & Co., Inc.. Respondent Broker-Dealer CRD No. 8158 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Robert W. Baird & Co., Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

Reference 2006006755301data-portal.finra.orgfinra.org

11/27/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100215883-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Robert W. Baird & Co. lncorporated, Respondent Broker-Dealer CRD No. 8158 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Robert W. Baird & Co, Incorporated (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2010021588301data-portal.finra.orgfinra.org

09/20/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20090176146-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Robert W. Baird & Co. Incorporated, Respondent Broker-Dealer CRD No. 8158 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Robert W. Baird & Co. Incorporated (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC'') for the purpose of proposing a settlement of the alleged rule violations

Reference 2009017614601data-portal.finra.orgfinra.org

08/19/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120328344-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Robert W. Baird & Co. Incorporated, Respondent Broker-Dealer CRD No. 8158 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Robert W. Baird & Co. Incorporated (the ''Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the

Reference 2012033834401data-portal.finra.orgfinra.org

08/17/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150474846-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Robert W. Baird & Co. Incorporated ("BARD" or the "firm"), Respondent Broker-Dealer CRD No. 8158 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Robert W. Baird & Co. Incorporated (the ''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2015047484601finra.orgdata-portal.finra.org

06/25/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 20100226212-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Robert W. Baird & Co. Incorporated, Respondent Broker-Dealer CRD No. 8158 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Robert W. Baird & Co. Incorporated (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2010022621201data-portal.finra.orgfinra.org

09/26/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140404213-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Robert W. Baird & Co. Incorporated ("BARD" or the "firm"), Respondent Broker-Dealer CRD No. 8158 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Robert W. Baird & Co. Incorporated (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2014040421301data-portal.finra.orgfinra.org

11/06/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068655201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert W. Baird & Co., Inc. (Respondent) Member Firm CRD No. 8158 Pursuant to FINRA Rule 9216, Respondent Robert W. Baird & Co., Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2020068655201data-portal.finra.orgfinra.org

12/23/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080135564-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Robert W. Baird & Co. Incorporated, Respondent Broker-Dealer CRD No. 8158 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Robert W. Baird & Co. Incorporated (the ''firm''), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2008013556401data-portal.finra.orgfinra.org

06/07/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052842901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robert W. Baird & Co. Incorporated, Respondent Broker-Dealer CRD No. 8158 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert W. Baird & Co. Incorporated ("Baird" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2017052842901data-portal.finra.orgfinra.org

02/11/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080131278 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robert W. Baird & Co. Inc. ("Baird" or the "Firm"), Respondent CRD No. 8158 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Baird 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

Reference 2008013127801data-portal.finra.orgfinra.org

04/15/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045594601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robert W. Baird & Co. Inc., Respondent CRD No. 8158 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Robert W. Baird & Co. Inc. ("Baird" or 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

Reference 2015045594601data-portal.finra.orgfinra.org

12/03/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094878 and 20070114046 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robert W. Baird & Co. Incorporated, Respondent BD No. 8158 Pursuant to Rule 9216 of FINRA Code of Procedure, Robert W. Baird & Co. Incorporated ("Baird" 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

Reference 2007009487801data-portal.finra.orgfinra.org

08/31/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065107401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert W. Baird & Co. Incorporated (Respondent) Member Firm CRD No. 8158 Pursuant to FINRA Rule 9216, Respondent Robert W. Baird & Co. Incorporated 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 accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2020065107401data-portal.finra.orgfinra.org