Southwest Securities Inc.

05/31/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043470101 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Hilltop Securities Inc. (f/k/a Southwest Securities, Inc.), Respondent Member Firm [CRD No. 6220] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Hilltop Securities Inc. ("Hilltop," the "Firm," or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

Reference 2015043470101data-portal.finra.orgfinra.org

03/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090196601 TO: Department of Enforcement Financial Industry Regulatory Authority ("'FINRA") RE: Southwest Securities, Inc., Respondent CRD No. 6220 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Southwest Securities. Inc. ("Southwest" 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

Reference 2009019660101data-portal.finra.orgfinra.org

07/18/2008: FINANCIAL INDUSTRY LETTER OF ACCEPTANCE NO. 2005002895501 REGULATORY AUTHORITY , WAIVER AND CONSENT RECEIVED TO: Department of Enforcement Financial industry Regulatory Authority ("FINRA") RE: Southwest Securities, Inc. CRD No. 6220 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Southwest Securities, Inc. ("Southwest Securities" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2005002895501data-portal.finra.orgfinra.org

08/01/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007167701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Southwest Securities, Inc. Member Firm CRD No. 6220 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Southwest Securities, Inc. ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2007007167701data-portal.finra.orgfinra.org

03/24/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080141711 -01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Southwest Securities, Inc., Respondent Broker-Dealer CRD No. 6220 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Southwest 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

Reference 2008014171101finra.orgdata-portal.finra.org

03/04/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016275601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Southwest Securities, Inc., Respondent CRD No. 6220 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Southwest Securities, Inc. submits this Letter of Acceptance, Waiver and Consenl ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2009016275601data-portal.finra.orgfinra.org

03/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090181027-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Southwest Securities, Inc., Respondent Broker-Dealer CRD No. 6220 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Southwest Securities, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2009018102701data-portal.finra.orgfinra.org

06/30/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20042000225-01 TO: Department of Market Regulation NASD RE: Southwest Securities, Inc., Respondent Broker-Dealer CRD No. 6220 Stuart M. Berwick, Respondent General Securities Representative General Securities Principal Equity Trader CRD No. 1031019 Louis J. Matrone, Respondent General Securities Representative General Securities Principal Equity Trader CRD No. 2206335 Pursuant to Rule 9216 of the NASD Code of Procedure, the undersigned submit this Letter

Reference 2004200022501data-portal.finra.orgfinra.org

06/03/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050074 TO: Market Regulation Department NASD RE: Southwest Securities, Inc., Respondent Broker-Dealer CRD No. 6220 Pursuant to Rule 9216 of NASD Code of Procedure, Southwest Securities, Inc. ("SWST" 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 any

Reference CLG050074data-portal.finra.orgfinra.org

11/27/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100249874-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Southwest Securities, Inc., Respondent Broker-Dealer CRD No. 6220 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Southwest 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

Reference 2010024987401finra.orgdata-portal.finra.org

06/30/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130387505-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Southwest Securities, Inc., Respondent Broker-Dealer CRD No. 6220 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Southwest Securities, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2013038750501data-portal.finra.orgfinra.org

07/28/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053708001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hilltop Securities, Inc. CRD No. 6220 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Hilltop Securities, Inc. (“Hilltop,” “Respondent,” 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 2017053708001data-portal.finra.orgfinra.org

04/25/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070095085 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Southwest Securities, Inc., Respondent BD No. 6220 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Southwest Securities, Inc. ("Southwest" 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

Reference 2007009508501data-portal.finra.orgfinra.org

10/24/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130358503-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Southwest Securities, Inc., Respondent Broker-Dealer CRD No. 6220 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Southwest Securities, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

Reference 2013035850301data-portal.finra.orgfinra.org

03/12/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. *** 20050000962-O1 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Southwest Securities, Inc., Respondent Broker-Dealer CRD No. 6220 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Respondent Southwest Securities, Inc. ("SWST" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2005000096201data-portal.finra.orgfinra.org

11/12/2009: FINANCIAL lNDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060051011-01 TO: Department of Market Regulation Financial Authority ("FINRA") RE: Southwest Securities, Inc., Respondent Broker-Dealer CRD No. 6220 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Southwest Securities Inc. (the ''firm") submits this Letter Acceptance, Waiver and Consent ("AWC") for the purpose

Reference 2006005101101data-portal.finra.orgfinra.org

11/15/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150445254-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Hilltop Securities Inc., Respondent Broker-Dealer CRD No. 6220 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Hilltop Securities Inc. (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 described

Reference 2015044525401data-portal.finra.orgfinra.org

11/02/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025621401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Southwest Securities, Inc., Respondent Member Firm CRD No. 6220 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,

Reference 2011025621401data-portal.finra.orgfinra.org

09/23/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060195201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Hilltop Securities Inc., Respondent Member Firm CRD No. 6220 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Hilltop Securities Inc. ("Hilltop" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2018060195201data-portal.finra.orgfinra.org