FINANCE 500 INC

10/08/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120316542-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Finance 500, Inc., Respondent Broker-Dealer CRD No. 12981 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Finance 500, Inc. ("FANC" or the "firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2012031654201data-portal.finra.orgfinra.org

08/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100215916-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Finance 500, Inc., Respondent Broker-Dealer CRD No. 12981 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Finance 500, 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 2010021591601data-portal.finra.orgfinra.org

04/06/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070076938-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA'") RE: Finance 500, Inc., Respondent Broker-Dealer CRD No. 12981 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, Finance 500, Inc. (the "firm") submits this Letter

Reference 2007007693801data-portal.finra.orgfinra.org

09/28/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050005925-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Finance 500, Inc., Respondent Broker-Dealer CRD Number 12981 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Finance 500, 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

Reference 2005000592501data-portal.finra.orgfinra.org

10/19/2016: FTNANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130378675-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Finance 500, Inc., Respondent Broker-Dealer CRD No. 12981 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Finance 500, Inc. (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 described below.

Reference 2013037867501data-portal.finra.orgfinra.org

06/29/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090166186-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: FINANCE 500, INC., Respondent Broker-Dealer CRD No. 12981 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, FINANCE 500, 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 2009016618601data-portal.finra.orgfinra.org

12/19/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008013079801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Finance 500, Inc., Respondent Member Firm CRD No. 12981 Paul J. Savage, Respondent Registered Options Principal, General Securities Representative, General Securities Principal, Municipal Securities Representative, and Limited Representative - Investment Banking CRD No. 1722830 Thomas J. Harm, Respondent General Securities

Reference 2008013079801data-portal.finra.orgfinra.org

12/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038091902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Finance 500, Inc. ("Respondent" or the "Firm") CRD No. 12981 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.

Reference 2013038091902data-portal.finra.orgfinra.org

12/31/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130368378-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Finance 500, Inc., Respondent Member Firm, CRD No. 12981 Robert Lansing Hicks, Respondent Registered Representative, CRD No. 846347 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Finance 500, Inc. ("Finance 500" or the "Firm") and Robert Lansing Hicks ("Hicks")

Reference 2013036837801data-portal.finra.orgfinra.org

10/19/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090206673-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Finance 500, Inc., Respondent Broker-Dealer CRD No. 12981 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Finance 500, 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 2009020667301data-portal.finra.orgfinra.org