CANTELLA & CO. INC.

09/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025431801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cantella & Co., Inc. (BD No. 13905), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cantella & Co., Inc. ("Respondent," "Cantella," 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 2011025431801data-portal.finra.orgfinra.org

02/09/2007: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Cantella & Co., Inc. BD No. 13905 Respondent. Disciplinary Proceeding No. E112004003101 Hearing Officer - SW ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 9, 2007 INTRODUCTION Disciplinary Proceeding No. E1120040031 was filed on August 2, 2006, by the Department of Enforcement of NASD ("Complainant"). Respondent Cantella & Co., Inc. ("Cantella") submitted an Offer of Settlement ("Offer") to Complainant on February 2, 2007.

Reference E112004003101finra.orgdata-portal.finra.org

06/07/2007: LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003875801 TO: Department of Enforcement NASD RE: Cantella & Co., Inc. Member CRD No. 13905 Pursuant to Rule 9216 of the NASD Code of Procedure, Cantella & Co., Inc. ("Cantella") 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

Reference 2006003875801data-portal.finra.orgfinra.org