ALLUVION SECURITIES LLC

11/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. ALLUVION SECURITIES, LLC (CRD No. 143623), Respondent. Disciplinary Proceeding No. 2013035347704 Hearing Officer: MJD ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 20, 2015 INTRODUCTION Disciplinary Proceeding No. 2013035347704 was filed on June 19, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).

06/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. ALLUVION SECURITIES, LLC (CRD No. 143623) and LOWELL S. WILSON (CRD No. 2322723) and JOHN S. JUMPER (CRD No. 2809649) RESPONDENTS. DISCIPLINARY PROCEEDING Nos. 2013035347704 COMPLAINT The Department of Enforcement alleges as follows: SUMMARY 1. On forty-three occasions during the period from September 5, 2012 through October 8, 2013, Alluvion SecuIities, LLC (''Alluvion" or the

Reference 2013035347704finra.orgdata-portal.finra.orgdata-portal.finra.org

02/22/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010023902801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alluvion Securities, LLC, Respondent Member Firm [CRD No. 143623] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Alluvion Securities, LLC ("Alluvion" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2010023902801finra.orgdata-portal.finra.org

05/06/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043291601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alluvion Securities, LLC, Respondent Member Firm CRD No. 143623 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Alluvion Securities, LLC ("Alluvion" 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 2015043291601data-portal.finra.orgfinra.org

06/12/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030378401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alluvion Securities, LLC, Respondent Member Firm CRD No. 143623 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Alluvion Securities, LLC ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

Reference 2012030378401finra.orgdata-portal.finra.org