H. BECK INC

08/12/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029195001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: H. Beck, Inc., Respondent Broker-Dealer CRD No. 1763 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, H. Beck Inc. ("H. Beck'' 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 submitted on

Reference 2011029195001finra.orgdata-portal.finra.org

11/20/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052326501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: H. Beck, Inc. (CRD No. 1763) Respondent Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent H. Beck, Inc. ("H. Beck," the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2017052326501data-portal.finra.orgfinra.org

03/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007010624101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: H. Beck, Inc., Respondent Member Firm No. 1763 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, we submit 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 the condition that, if accepted, FINRA will not

Reference 2007010624101data-portal.finra.orgfinra.org

09/27/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048675901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: H. Beck, Inc., Respondent FINRA-Member Firm CRD No. 1763 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent H. Beck, Inc. ("H. Beck" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2016048675901finra.orgdata-portal.finra.org

03/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012031552601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: H. Beck, Inc. (BD No. 1763), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, H. Beck, lnc. ("H. Beck" 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 2012031552601data-portal.finra.orgfinra.org

07/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016150001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: H. Beck, Inc., Respondent Member Firm CRD No. 1763 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

Reference 2009016150001data-portal.finra.orgfinra.org

11/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 20070089288-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: H. Beck, Inc., Respondent Broker-Dealer CRD No. 1763 Pursuant to Rule 9216 of the FINRA Code of Procedure, H. Beck, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC) for the purpose of proposing a settlement

Reference 2007008928801data-portal.finra.orgfinra.org

10/26/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029195002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: H. Beck, Inc., Respondent Broker-Dealer CRD No. 1763 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, H. Beck Inc. ("H. Beck" 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 submitted on

Reference 2011029195002data-portal.finra.orgfinra.org