EMMET & CO INC.

01/06/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090205145-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Emmet & Co., Inc., Respondent Broker-Dealer CRD No. 15993 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Emmet & Co., Inc. (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

Reference 2009020514501data-portal.finra.orgfinra.org

06/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C9B050035 TO: Department of Enforcement NASD RE: Emmet & Co, Inc. Respondent BD No. 15993 Pursuant to Rule 9216 of the NASD Code of Procedure, Emmet & Co., Inc. ("Emmet & Co.") 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 us alleging

Reference C9B050035finra.orgdata-portal.finra.org

09/28/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016047672001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Emmet & Co, Inc., Respondent Member Firm CRD No. 15993 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Emmet & Co, Inc. (''Emmet" 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. This AWC is

Reference 2016047672001data-portal.finra.orgfinra.org