B.C. Ziegler and Company

10/29/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090163574 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: B.C. Ziegler and Company. (CRD No. 61) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, B.C. Ziegler and Company ("B.C. Ziegler" or "Respondent") 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

Reference 2009016357401data-portal.finra.orgfinra.org

06/19/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011028571401 TO: Department of Enforcement Financial lndustry Regulatory Authority ("FINRA") RE: B.C. Ziegler and Company, Respondent Member Firm CRD No. 61 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 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

Reference 2011028571401data-portal.finra.orgfinra.org

07/19/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 201504364060? TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: B.C. Ziegler and Company, Respondent CRD No. 61 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 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

Reference 2015043640601data-portal.finra.orgfinra.org

11/23/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050001882-01 TO: Market Regulation Department NASD RE: B.C. Ziegler and Company, Respondent CRD No. 61 Pursuant to Rule 9216 of NASD Code of Procedure, B.C. Ziegler and Company ("GSTS" 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 bring any future

Reference 2005000188201finra.orgdata-portal.finra.org

01/25/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090170851-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: B.C. Ziegler and Company, Respondent Broker-Dealer CRD No. 61 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, B.C. Ziegler and Company ("BCZC" 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 2009017085101finra.orgdata-portal.finra.org

12/24/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061563601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: B.C. Ziegler and Company (Respondent) Member Firm CRD No. 61 Pursuant to FINRA Rule 9216, Respondent B.C. Ziegler and Company 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

Reference 2019061563601data-portal.finra.orgfinra.org