Bulltick LLC

03/22/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006958101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bulltick LLC BD No. 104005 Javier Guerra (CRD 4166443) Victor Robles (CRD 4490918) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Bulltick LLC, Javier Guerra, and Victor Robles submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2006006958101data-portal.finra.orgfinra.org

09/22/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E062004016101 TO: Department of Enforcement NASD RE: Bulltick, LLC CRD No. 104005 Pursuant to Rule 9216 of NASD Code of Procedure, Bulltick, LLC ("Bulltick" 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 actions against Respondent

Reference E062004016101finra.orgdata-portal.finra.org

02/22/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015048101801 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Bulltick, LLC, Respondent Member Firm CRD No. 104005 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Bulltick, LLC (''Bulltick" 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 2015048101801finra.orgdata-portal.finra.org

12/13/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO, 20050022579-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Bulltick, LLC, Respondent Broker-Dealer CRD No. 104005 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Bulitick, LLC (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. This AWC is submitted on the

Reference 2005002257901data-portal.finra.orgfinra.org

01/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 201035301801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bulltick, LLC, Respondent Member CRD No. 104005 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Bulltick LLC ("Bulltick") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2013035301801data-portal.finra.orgfinra.org

07/28/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20160490374-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Bulltick, LLC, Respondent Broker-Dealer CRD No. 104005 "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 accepted,

Reference 2016049037401finra.orgdata-portal.finra.org