THE FRAZER LANIER COMPANY INCORPORATED

01/07/2025: From January 2018 through the present, Frazer Lanier violated MSRB Rules G-27(a), (b ), and (c) by failing to establish, maintain, and enforce a supervisory system and WSPs reasonably designed to achieve compliance with the provisions of MSRB Rule G-37(b) governing political contributions by municipal dealers and MFPs and the provisions of MSRB Rules G-37(c) and (d) governing political contributions by municipal dealers and MFPs through PACs or other conduit entities.

Reference 2021070877701data-portal.finra.orgfinra.org

05/22/2017: FINANCIAL INDUSTRY REGULATORY AIJTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016047743601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: The Frazer Lanier Company, Incorporated, Respondent Member Firm [CRD No. 7089] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, The Frazer Lanier Company, Incorporated ("Frazer Lanier" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2016047743601data-portal.finra.orgfinra.org

06/17/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021263901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: The Frazer Lanier Company, Inc., Respondent [CRD No. 7089] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, The Frazer Lanier Company, Inc. ("Frazer Lanier" 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 2010021263901finra.orgdata-portal.finra.org