Cadaret Grant & Co. Inc.

07/01/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057940801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cadaret, Grant & Co., Inc., Respondent Member Firm CRD No. 10641 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cadaret, Grant & Co., Inc. ("Cadaret Grant" 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 2018057940801data-portal.finra.orgfinra.org

05/28/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039684601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cadaret, Grant & Co., Inc., Respondent CRD No. 10641 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

Reference 2014039684601data-portal.finra.orgfinra.org

01/17/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038424401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE Charles Lee Deremo, Respondent Registered Representative CRD No. 713036 and Cadaret Grant & Co., Inc., Respondent FINRA Member Firm CRD No. 10641 Pursuant to FINRA Rule 9216 of FINRA s Code of Procedure, Respondent Charles L. Deremo ("Deremo") and Respondent Cadaret Grant & Co., Inc. ("Cadaret Grant" or the

Reference 2013038424401data-portal.finra.orgfinra.org

09/11/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039071101 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Cadaret Grant & Co., Inc., Respondent CRD No. 10641 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Cadaret Grant & Co., Inc. ("Cadaret Grant" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2014039071101data-portal.finra.orgfinra.org

01/11/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015475201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cadaret, Grant & Co., Inc., Respondent Member Firm BD No. 10641 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,

Reference 2008015475201data-portal.finra.orgfinra.org

12/17/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015701101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cadaret, Grant & Co., Inc. (BD No. 10641) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cadaret, Grant & Co., Inc. ("Cadaret", "Respondent", or "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 2008015701101data-portal.finra.orgfinra.org