HERBERT J. SIMS & CO. INC.

07/29/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E112004015301 TO: Department of Enforcement NASD RE: Herbert J. Sims & Co., Inc. BD No. 3420 Pursuant to Rule 9216 of NASD 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against us alleging violations based on the same factual

Reference E112004015301finra.orgdata-portal.finra.org

01/27/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064190401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Herbert J. Sims & Co, Inc. (Respondent) Member Firm CRD No. 3420 Pursuant to FINRA Rule 9216, Respondent Herbert J. Sims & Co, 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 condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2019064190401data-portal.finra.orgfinra.org