Drexel Hamilton LLC

11/18/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066940501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Drexel Hamilton, LLC Member Firm CRD No. 143570 Michael Ivcic General Securities Representative CRD No. 6247801 Frederick Phelan General Securities Representative CRD No. 5838146 David Steigerwald General Securities Representative CRD No. 1347207 Thomas McClure Mead, Jr. Former Municipal Securities Principal CRD No. 330666 Pursuant to FINRA Rule 9216, Respondents Drexel Hamilton, LLC, Michael Ivcic, Frederick Phelan, David Steigerwald, and Thomas McClure Mead, Jr. (Respondents) submit 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 Respondents alleging violations based on the same factual findings described in this AWC.

Reference 2020066940501data-portal.finra.orgfinra.org

12/23/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038658501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Drexel Hamilton, LLC (BD No. 143570) ("Drexel" or "Firm"), Respondent 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

Reference 2013038658501data-portal.finra.orgfinra.org