Hennion & Walsh Inc.

01/23/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013039202501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Hennion & Walsh, Inc., FINRA Member CRD No. 25766 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Hennion & Walsh, Inc. ("Hennion & Walsh" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2013039202501data-portal.finra.orgfinra.org

01/10/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. HENNION & WALSH, INC. (CRD No. 25766) 2001 Route 46 RICHARD HENNION (CRD No. 1315386) WILLIAM W.WALSH (CRD No. 1174993) Respondents. Disciplinary Proceeding No.C9B040013 Hearing Officer - DMF HEARING PANEL DECISION January 10, 2005 Respondent Hennion made unsuitable recommendations to a customer, in violation of Rules 2310, 2510(a) and 2110, and exercised discretion in the customer's account without written authorization, in

Reference C9B040013finra.orgdata-portal.finra.org

07/21/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9B2002004201 TO: Department of Enforcement NASD RE: Hennion & Walsh, Inc., Respondent Member [BD No. 25766] William W. Walsh, Respondent General Securities Principal [CRD No. 1174993] Richard Hennion, Respondent General Securities Principal [CRD No. 1315386] Pursuant to Rule 9216 of NASD Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference E9B2002004201data-portal.finra.orgfinra.org

08/23/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043155601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Hennion & Walsh, Inc. (CRD No. 25766), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Hennion & Walsh, Inc., 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 the

Reference 2015043155601data-portal.finra.orgfinra.org

11/11/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090181021-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Hennion & Walsh, Inc., Respondent Broker-Dealer CRD No. 25766 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Hennion & Walsh, 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 2009018102101data-portal.finra.orgfinra.org