First Financial Equity Corporation

12/19/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055723502 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: First Financial Equity Corporation, Respondent Member Firm CRD No. 16507 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, First Financial Equity Corporation ("FFEC" 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 2017055723502finra.orgdata-portal.finra.org

11/17/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120379425-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: First Financial Equity Corporation, Respondent Broker-Dealer CRD No. 16507 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First Financial Equity Corporation (the ''firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2012033942501data-portal.finra.orgfinra.org

10/01/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: First Financial Equity Corporation, Respondent Broker-Dealer CRD No. 16507 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First Financial Equity Corporation (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

Reference 2007011402001data-portal.finra.orgfinra.org

07/12/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. FIRST FINANCIAL EQUITY CORPORATION, (CRD No. 16507), and MELISSA A. STROUSE, (CRD No. 3200452). Respondents. DISCIPLINARY PROCEEDING No. 2013034966701 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period January 1, 2010 through June 23, 2013, First Financial Equity Corporation ("FFEC" or the "Firm") had numerous supervisory deficiencies.

12/30/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. FIRST FINANCIAL EQUITY CORPORATION, (CRD No. 16507), and MELISSA A. STROUSE, (CRD No. 3200452). Respondents. DISCIPLINARY PROCEEDING No. 2013034966701 HEARING OFFICER DW ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 30, 2016 Disciplinary Proceeding No. 2013034966701 was filed on July 12, 2016, by the Department of Enforcement of the Financial Industry Authority (FINRA)(Complainant).

Reference 2013034966701finra.orgdata-portal.finra.orgdata-portal.finra.org