Georgeson Securities Corporation

01/21/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016205701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Georgeson Securities Corporation (BD No. 46749), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Georgeson Securities Corporation ("Georgeson", "Respondent", or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2009016205701data-portal.finra.orgfinra.org

12/21/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050194001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Georgeson Securities Corporation, Respondent CRD No. 46749 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Georgeson Securities Corporation ("GSC," the "Firm" or ''Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation

Reference 2016050194001data-portal.finra.orgfinra.org

07/09/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.## 2006004077101 TO: Department of Enforcement NASD RE: Georgeson Securities Corporation (BD No. 46749) Respondent Pursuant to Rule 9216 of NASD Code of Procedure, Georgeson Securities Corporation ("Georgeson" 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

Reference 2006004077101data-portal.finra.orgfinra.org