JANNEY MONTGOMERY SCOTT LLC.

12/16/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20080141700-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Janney Montgomery Scott LLC, Respondent Broker-Dealer CRD No. 463 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Janney Montgomery Scott LLC (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 2008014170001data-portal.finra.orgfinra.org

10/27/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045368001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Janney Montgomery Scott, LLC, Respondent Member CRD No. 463 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Janney Montgomery Scott, LLC ("Janney" or the "Firm") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2015045368001data-portal.finra.orgfinra.org

07/23/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER 0F ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074617402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Janney Montgomery Scott LLC (Respondent) Member Firm CRDNo. 463 Pursuant to FINRA Rule 9216, Respondent Janney Montgomery Scott LLC 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 2022074617402data-portal.finra.orgfinra.org

04/24/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090208265-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Janney Montgomery Scott LLC, Respondent Broker-Dealer CRD No. 463 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Janney Montgomery Scott LLC ("JANY" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2009020826501data-portal.finra.orgfinra.org

07/21/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0300920002 TO: Department of Enforcement NASD RE: Janney Montgomery Scott LLC, Respondent BD No. 463 Pursuant to Rule 9216 of the NASD Code of Procedure, Janney Montgomery Scott LLC ("Janney" 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future

Reference EAF0300920002data-portal.finra.orgfinra.org

03/02/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120341461-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Janney Montgomery Scott LLC, Respondent Broker-Dealer CRD No. 463 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Janney Montgomery Scott LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation

Reference 2012034146101data-portal.finra.orgfinra.org

08/08/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011028261501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Janney Montgomery Scott LLC, Respondent Member Firm CRD No. 463 Pursuant to FINRA 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 that,

Reference 2011028261501data-portal.finra.orgfinra.org

09/08/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054220101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Janney Montgomery Scott LLC, Respondent Member Firm CRD No. 463 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Janney Montgomery Scott LLC (JANY) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2017054220101finra.orgdata-portal.finra.org

05/10/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018503501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Janney Montgomery Scott LLC, Respondent Member Firm CRD No. 463 Pursuant to FINRA 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

Reference 2009018503501data-portal.finra.orgfinra.org

12/12/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090202236-01 TO: Department of Market Regulation Financiaj Industry Regulatory Authority ("FINRA") RE: Janney Montgomery Scott LLC, Respondent Broker-Dealer CRD No. 463 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Janny Montgomery Scott LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2009020223601data-portal.finra.orgfinra.org

11/03/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007009458001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Janney Montgomery Scott, LLC., Respondent FINRA Member CRD No. 463 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Janney Montgomery Scott, LLC. ("JMS" or the "Firm") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2007009458001finra.orgdata-portal.finra.org

05/06/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008013056401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Janney Montgomery Scott LLC, Respondent BD No. 463 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Janney Montgomery Scott LLC ("JMS" 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 below. This AWC is

Reference 2008013056401finra.orgdata-portal.finra.org

10/19/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016051156903 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Janney Montgomery Scott LLC (Respondent) Member Firm CRD No. 463 Pursuant to FINRA Rule 9216, Respondent Janney Montgomery Scott LLC 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 2016051156903data-portal.finra.orgfinra.org