WELLS FARGO INVESTMENTS L.L.C.

07/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006002244301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wells Fargo Investments, LLC CRD # 10582 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Wells Fargo Investments, LLC ("WFI" 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 below. This AWC is submitted on

Reference 2005002244301data-portal.finra.orgfinra.org

07/30/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070073069 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wells Fargo Investments, LLC, Respondent FINRA Member Firm CRD No.10582 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Wells Fargo Investments, LLC [WFI or Respondent] submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2007007306901data-portal.finra.orgfinra.org

12/15/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015651901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wells Fargo Investments, LLC, Respondent CRD No. 10582 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Wells Fargo Investments, LLC ("Respondent," "WFI," 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 below

Reference 2008015651901data-portal.finra.orgfinra.org

12/19/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E01030510-02 TO: Department of Enforcement NASD RE: Wells Fargo Investments, L.L.C., Respondent Member Firm BD No, 10582 Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent Wells Fargo Investments, L.L.C. ("WFI" 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

Reference E0103051002finra.orgdata-portal.finra.org

07/02/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110260830-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA'') RE: Wells Fargo Investments, LLC, Respondent Broker-Dealer CRD No. 10582 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Wells Fargo Investments, 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.

Reference 2011026083001finra.orgdata-portal.finra.org

12/02/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060071151-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Wells Fargo Investments, LLC Broker-Dealer CRD 10582 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Wells Fargo Advisors, LLC, CRD 19616, as successor to Wells Fargo Investments, LLC, CRD 10582 (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2006007115101data-portal.finra.orgfinra.org

05/01/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090191139 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and Wells Fargo Investments, LLC (collectively "Wells Fargo," "Respondent" or "the Firm"), CRD Nos. 19616, 11025, 10582 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Wells Fargo submits this Letter of Acceptance, Waiver and Consent ("AWC") for

Reference 2009019113901data-portal.finra.orgfinra.org

06/08/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CE1050006 RE: Wells Fargo Investments, LLC, Respondent Member Firm (BD No. 10582) Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent Wells Fargo Investments, LLC 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 against it alleging violation

Reference CE1050006data-portal.finra.orgfinra.org