First Allied Securities Inc.

10/19/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041677801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: First Allied Securities, Inc., Respondent CRD No. 32444 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First Allied Securities, Inc. ("First Allied" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2014041677801data-portal.finra.orgfinra.org

11/02/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045234401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cetera Advisor Networks LLC, Respondent Member Firm CRD No. 13572 Cetera Financial Specialists LLC, Respondent Member Firm CRD No. 10358 First Allied Securities, Inc., Respondent Member Firm CRD No. 32444 Summit Brokerage Services, Inc., Respondent Member Firm CRD No. 34643 VSR Financial Services, lnc., Respondent

Reference 2015045234401finra.orgdata-portal.finra.org

08/21/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050259301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: First Allied Securities, Inc., Respondent CRD No. 32444 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First Allied Securities, Inc. ("First Allied" 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

Reference 2016050259301data-portal.finra.orgfinra.org

01/17/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033328601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: First Allied Securities, Inc., Respondent Member Firm CRD No. 32444 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First Allied Securities, Inc., ("First Allied" or "Respondent) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2012033328601data-portal.finra.orgfinra.org

05/12/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008012757902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: First Allied Securities, Inc. (BD No. 32444), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First Allied Securities, Inc. ("First Allied" 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 2008012757902data-portal.finra.orgfinra.org

07/05/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0300890002 TO: Department of Enforcement NASD RE: First Allied Securities, Inc., CRD No. 32444 Respondent Pursuant to Rule 9216 of NASD Code of Procedure, First Allied Securities, Inc. ("First Allied" or "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 on the condition that, if accepted, NASD will not bring

Reference EAF0300890002finra.orgdata-portal.finra.org