JANCO PARTNERS INC.

08/15/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E3A2004002201 TO: Department of Enforcement NASD RE: Janco Partners, Inc., Respondent NASD Member CRD No. 40055 Pursuant to Rule 9216 of NASD Code of Procedure, Janco Partners, Inc., [the firm or Respondent] 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

Reference E3A2004002201data-portal.finra.orgfinra.org

06/19/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003976301 TO: Department of Enforcement NASD RE: Janco Partners, Inc., Respondent Member Firm CRD No. 40055 Pursuant to Rule 9216 of NASD 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions

Reference 2006003976301finra.orgdata-portal.finra.org

11/05/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2011025505901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Janco Partners, Inc., Respondent FINRA Member Finn, CRD No. 4055 Jan E. Helen, Respondent General Securities Representative and Principal, CRD No. 865530 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2011025505901data-portal.finra.orgfinra.org