WACHOVIA SECURITIES LLC

06/21/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0400840001 TO: Department of Enforcement NASD RE: Wachovia Securities, LLC, Respondent CRD No. 19616 Pursuant to Rule 9216 of NASD 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against Respondent alleging

Reference EAF0400840001data-portal.finra.orgfinra.org

12/20/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005001720503 TO: Department of Enforcement NASD RE: Wachovia Securities, LLC CRD No. 19616 Pursuant to Rule 9216 of NASD Code of Procedure, Wachovia Securities, LLC ("Wachovia," 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 AWC is submitted on

Reference 2005001720503data-portal.finra.orgfinra.org

03/22/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009017339801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Puritan Securities, Inc., now known as First Union Securities, Inc., Respondent Member Firm BD No. 129502 Nathan P. Lapkin, Respondent General Securities Principal and General Securities Representative CRD No. 3130455 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, we submit this Letter of Acceptance, Waiver and

Reference 2009017339801finra.orgdata-portal.finra.org

11/30/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010020875201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Puritan Securities, Inc., later known as First Union Securities, Inc., Respondent Member Firm BD No. 129502 Respondent Financial and Operations Principal, General Securities Principal, Municipal Securities Principal, Registered Options Principal and General Securities Representative CRD No.

Reference 2010020875201data-portal.finra.orgfinra.org

02/12/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9A2005013001 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Wachovia Securities, LLC (f/k/a First Union Securities, Inc.), Respondent Member Firm BD No. 19616 Wachovia Securities Financial Network, LLC (f/k/a First Union Securities Financial Network, Inc.), Respondent Member Firm BD No. 11025 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Wachovia Securities, LLC

Reference E9A2005013001data-portal.finra.orgfinra.org

08/28/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 200500216920102 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Wachovia Securities, LLC, n/k/a Wells Fargo Advisors, LLC, Respondent Member Firm CRD No. 19616 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Wachovia Securities, LLC, n/k/a Wells Fargo Advisors, LLC ("Wachovia" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2005002169202data-portal.finra.orgfinra.org

02/26/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2003062017 TO: Department of Enforcement NASD RE: Wachovia Securities LLC Member CRD No. 19616 Pursuant to Rule 9216 of NASD Code of Procedure, Wachovia Securities, LLC (Wachovia or Member) 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

Reference E8A2003062017data-portal.finra.orgfinra.org

04/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007010181101 TO: Department of Enforcement ("Enforcement") Financial Industry Regulatory Authority ("FINRA") RE: Wachovia Securities, LLC, Respondent CRD No. 19616 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Wachovia Securities, LLC ("Wachovia" 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 2007010181101data-portal.finra.orgfinra.org

12/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007009470901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wachovia Securities, LLC (CRD 19616), Respondent First Clearing, LLC (CRD 17344), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit 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 2007009470901data-portal.finra.orgfinra.org

05/10/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070093565 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC CRD No. 19616 Pursuant to Rule 9216 of FINRA Code of Procedure, Respondent Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (the ''Firm" or "Wachovia") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2007009356502finra.orgdata-portal.finra.org

10/30/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007010115401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wachovia Securities, LLC, Respondent CRD No. 19616 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Wachovia Securities, LLC ("Wachovia," "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 2007010115401data-portal.finra.orgfinra.org