Hornor, Townsend & Kent Inc.

10/02/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025591901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Hornor, Townsend & Kent, Inc., Respondent Member Firm CRD No. 4031 Pursuant to FINIRA 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 below. This AWC is submitted on the condition

Reference 2011025591901data-portal.finra.orgfinra.org

11/14/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043387001 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Hornor, Townsend & Kent, Inc. (BD No. 4031) Respondent Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Hornor, Townsend & Kent, Inc. (“HTK” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing

Reference 2015043387001data-portal.finra.orgfinra.org

02/26/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9A2005005701 TO: Department of Enforcement NASD RE: Hornor, Townsend & Kent, Inc., BD No. 4031 Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent Hornor, Townsend & Kent, Inc. ("HTK") 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 that, if accepted, NASD will not bring any future actions

Reference E9A2005005701finra.orgdata-portal.finra.org

07/06/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CE2050014 TO: Department of Enforcement NASD RE: Hornor, Townsend & Kent, Inc. CRD No. 4031 Pursuant to Rule 9216 of NASD Code of Procedure, Respondent Hornor, Townsend & Kent, Inc. ("HTK" 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 that, if accepted, NASD will not bring any future

Reference CE2050014data-portal.finra.orgfinra.org

07/06/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C9A050032 TO: Department of Enforcement NASD RE: Hornor, Townsend & Kent, Inc., Respondent CRD No. 4031 Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent Hornor, Townsend & Kent, Inc. ("HTK") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of posing 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

Reference C9A050032data-portal.finra.orgfinra.org

10/27/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E3A2004024601 TO: Department of Enforcement NASD RE: Hornor, Townsend & Kent, Inc., Respondent NASD Member CRD No. 4031 Pursuant to Rule 9216 of NASD Code of Procedure, Hornor, Townsend & Kent, Inc., [the firm or Respondent] submit this Letter of Acceptance, Waiver and Consent ('AWC") for the purpose of proposing a settlement NO

Reference E3A2004024601data-portal.finra.orgfinra.org

10/10/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2004070901 TO: Department of Enforcement NASD RE: Hornor, Townsend & Kent, Inc. BD No. 4031 Pursuant to Rule 9216 of NASD Code of Procedure, Hornor, Townsend & Kent 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 that, if accepted, NASD will not bring any future actions against Hornor, Townsend & Kent

Reference E8A2004070901data-portal.finra.orgfinra.org