American Wealth Management Inc.

11/20/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E07040025 TO: Department of Enforcement NASD RE: American Wealth Management, Inc., Member (BD No. 41970) Jerome A. Borzello, General Securities Principal and Financial and Operations Principal (CRD No. 801913) Pursuant to Rule 9216 of NASD Code of Procedure, we 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 E072004002501data-portal.finra.orgfinra.org

05/19/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069376801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: American Wealth Management, Inc. (Respondent) Member Firm CRD No. 25536 Pursuant to FINRA Rule 9216, Respondent American Wealth Management, Inc. submits 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 submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2021069376801data-portal.finra.orgfinra.org