Fifth Third Securities Inc.

01/06/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008011703401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fifth Third Securities, Inc., Respondent (CRD No.628) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Fifth Third Securities, Inc. ("Member") 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

Reference 2008011703401data-portal.finra.orgfinra.org

05/01/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025317201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fifth Third Securities, Inc., Respondent CRD No. 628 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Fifth Third Securities, Inc. ("Fifth Third") 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 2011025317201data-portal.finra.orgfinra.org

09/01/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080146205 01 To: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Re: Fifth Third Securities, Inc. Member Firm BD No. 628 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Fifth Third Securities, Inc, ("Fiflh Third") 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 2008014620501data-portal.finra.orgfinra.org

05/08/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035051401 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Fifth Third Securities, Inc. CRD No. 628 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Fifth Third Securities, Inc. ("Fifth Third" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing

Reference 2013035051401data-portal.finra.orgfinra.org

10/19/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041677601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fifth Third Securities, Inc., Respondent CRD No. 628 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Fifth Third Securities, Inc. ("Fifth Third" 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 2014041677601data-portal.finra.orgfinra.org

07/26/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090209711-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Fifth Third Securities, Inc., Respondent Broker-Dealer CRD No. 628 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Fifth Third Securities, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2009020971101data-portal.finra.orgfinra.org

05/03/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C8A050034 TO: Department of Enforcement NASD Re: Fifth Third Securities, Inc. ("Fifth Third") (CRD No. 628) Pursuant to Rule 9216 of NASD Code of Procedure, Fifth Third Securities, Inc. ("Respondent" or "Fifth Third") 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

Reference C8A0500034data-portal.finra.orgfinra.org

12/05/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007333001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fifth Third Securities, Inc. (CRD No. 628) and Cynthia L. Davenport Registered Principal (CRD No. 2484400) Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, we, Fifth Third Securities, Inc. and Cynthia L. Davenport (collectively referred to as "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC")

Reference 2007007333001data-portal.finra.orgfinra.org

09/20/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090181035-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Fifth Third Securities, Inc., Respondent Broker-Dealer CRD No. 628 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Fifth Third Securities, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2009018103501finra.orgdata-portal.finra.org

03/29/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2005007701 TO: Department of Enforcement NASD RE: Fifth Third Securities, Inc. (CRD No. 628) Pursuant to Rule 9216 of NASD Code of Procedure, Fifth Third Securities, Inc., (hereinafter referred to as "Respondent") 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

Reference E8A2005007701data-portal.finra.orgfinra.org

04/14/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046481601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fifth Third Securities, Inc., Respondent CRD No. 628 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Fifth Third Securities, Inc. ("FTS" or the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2015046481601data-portal.finra.orgfinra.org

04/14/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2&050Q2244101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fifth Third Securities, Inc., Respondent CRD #628 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Fifth Third Securities, Inc. ("FTS" 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 2005002244101data-portal.finra.orgfinra.org