GILFORD SECURITIES INC.

02/19/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041797801 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Gilford Securities Incorporated, Respondent Broker-Dealer CRD No. 8076 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Gilford Securities Incorporated (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement

Reference 2014041797801finra.orgdata-portal.finra.org

09/15/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050001803-01 TO: Department of Market Regulation RE: Gilford Securities Incorporated, Respondent Broker-Dealer CRD No. 8076 Pursuant to Rule 9216 of NASD Code of Procedure, Gilford Securities Incorporated ("RGIL" 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

Reference 2005000180301data-portal.finra.orgfinra.org

10/01/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035928001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gilford Securities, Inc., Respondent CRD No. 8076 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Gilford Securitics, Inc. ("Respondent" or "Gilford Securities" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("'AWC") for the purpose of proposing

Reference 2013035928001data-portal.finra.orgfinra.org

05/16/2006: NASD LETTER OF ACCEPTANCE, WAIVER, AND CONSENT TO: Department of Enforcement NASD RE: Gilford Securities, Inc., Respondent BD No. 8076 Pursuant to Rule 9216 of NASD Code of Procedure, Gilford Securities, Inc. ("Gilford" 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 the condition that, if accepted, NASD will not bring any future actions against

Reference E102002027301data-portal.finra.orgfinra.org

04/03/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030416501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Gilford Securities, Inc., Respondent BD No. 8076 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Gilford Securities, Inc., (“Gilford” 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 2012030416501data-portal.finra.orgfinra.org