J.J.B. Hilliard

02/10/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042544401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: J.J.B. Hilliard, W.L. Lyons, LLC. (BD No. 453) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, J.J.B. Hilliard, W.L. Lyons, LLC ("J.J.B. Hilliard," "Respondent" or the ''Firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged

Reference 2014042544401finra.orgdata-portal.finra.org

09/07/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015048307001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: J.J.B. Hilliard, W.L. Lyons, LLC. (BD No. 453) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, J.J.B. Hilliard, W.L. Lyons, LLC ("Hilliard Lyons," "Respondent" or the''Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule vio

Reference 2015048307001finra.orgdata-portal.finra.org

11/16/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094638 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: J.J.B. Hilliard, W.I. Lyons, LLC, Respondent FINRA Member Organization CRD No. 453 Organization SEC No. 8-33133 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, J.J.B. Hilliard, W.L. Lyons, LLC ("Hilliard Lyons" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2007009463801finra.orgdata-portal.finra.org

02/17/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. *** 20060042939-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: J.J.B. Hilliard, W.L. Lyons, LLC, Respondent Broker-Dealer CRD No. 453 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, J.J.B. Hilliard, W.L. Lyons, LLC ("HDLY" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2006004293901data-portal.finra.orgfinra.org

03/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005001162401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: J.J.B. Hilliard, W.L. Lyons, Inc., Respondent (CRD No. 453) Pursuant to NASD 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

Reference 2005001162401data-portal.finra.orgfinra.org

11/21/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090181028-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: J.J.B. Hilliard, W.L. Lyons, LLC, Respondent Broker-Dealer CRD No. 453 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, J.J.B. Hilliard, W.L. Lyons, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2009018102801finra.orgdata-portal.finra.org

08/04/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010023303101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: J.J.B. Hilliard, W.L. Lyons, LLC, Respondent (CRD No. 453) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, J.J.B. Hilliard, W.L. Lyons, LLC ("Hilliard Lyons" 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

Reference 2010023303101finra.orgdata-portal.finra.org