HUNTER SCOTT FINANCIAL L.L.C.

11/16/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003702101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Hunter Scott Financial, LLC, Respondent Member [CRD No. 45559] Peter A. Gouzos, Respondent General Securities Principal [CRD No. 1959666] Pursuant to NASD 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

Reference 2006003702101data-portal.finra.orgfinra.org

06/04/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034690901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Hunter Scott Financial, LLC BD No. 45559 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Hunter Scott Financial, LLC ("Hunter Scott", "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 2012034690901data-portal.finra.orgfinra.org

06/23/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050021859 TO: Department of Enforcement NASD RE: Hunter Scott Financial, L.L.C., Respondent Broker-Dealer [CRD No. 45559] Peter Alex Gouzos, Respondent General Securities Principal [CRD No. 195966] Pursuant to Rule 9216 of the NASD 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 in Part II below. This AWC is submitted on the

Reference 2005002185901data-portal.finra.orgfinra.org