Jefferies & Company Inc.

01/25/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070093443-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Jefferies & Company, Inc., Respondent Broker-Dealer CRD No. 2347 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Jefferies & Company, Inc. ("JEFF" 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

Reference 2007009344301data-portal.finra.orgfinra.org

04/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008013863701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jefferies & Company, Inc., Respondent Member Firm BD No. 2347 Anthony J. Russo, Respondent Registered Representative CRD No. 2276753 Robert A. D'Addario, Respondent Registered Representative CRD No. 2622932 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure,

Reference 2008013863701data-portal.finra.orgfinra.org

11/21/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070107652-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Jefferies & Company, Inc., Respondent Broker-Dealer CRD No. 2347 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Jefferies & Company, Inc. ("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

Reference 2007010765201data-portal.finra.orgfinra.org

12/18/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060067554-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Jefferies & Company, Inc., Respondent Broker-Dealer CRD No. 2347 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Jefferies & Company, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing

Reference 2006006755401data-portal.finra.orgfinra.org

12/12/2012: FINANCIAL INDUSTRY REGULATORY AUTORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008014868501 TO: Department of Market Regulations Financial Industry Regulatory Authority (“FINRA”) RE: Jefferies & Company, Inc. Respondent Broker-Dealer CRD No. 2347 Pursuant to FINRA Rule 9216 FINRA’s Code of Procedure, Jefferies & Company, Inc. (the “firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing

Reference 2008014868501data-portal.finra.orgfinra.org

07/07/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050100 TO: Department of Market Regulation NASD RE: Jefferies & Company, Inc., Respondent Broker/Dealer CRD No. 2347 Pursuant to Rule 9216 of NASD Code of Procedure, Jefferies & Company, Inc. ("JEFF" 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

Reference CLG050100finra.orgdata-portal.finra.org

12/15/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E052003030703 TO: Department of Enforcement NASD RE: Jefferies & Company, Inc., Respondent Member CRD No. 2347 Pursuant to Rule 9216 of NASD Code of Procedure, Respondent ("Jefferies" 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 E052003030703data-portal.finra.orgfinra.org

04/06/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060075238-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Jefferies & Company, Inc., Respondent Broker-Dealer CRD No. 2347 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Jefferies & Company, Inc. ("JEFF" 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

Reference 2006007523801finra.orgdata-portal.finra.org

12/16/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070104658-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Jefferies & Company, Inc., Respondent Broker-Dealer CRD No. 2347 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Jefferies and Company, Inc. (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

Reference 2007010465801data-portal.finra.orgfinra.org

12/01/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0220040098-02 TO: Department of Enforcement NASD RE: Jefferies & Company, Inc., Respondent Member Firm CRD No. 2347 Pursuant to Rule 9216 of NASD Code of Procedure, Jefferies & Company, Inc. ("Jefferies" 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

Reference E022004009802finra.orgdata-portal.finra.org

07/11/2007: LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 2004100007301 TO: Department of Market Regulation NASD RE: Jefferies & Company, Inc., Respondent Broker/Dealer CRD Number 2347 Pursuant to Rule 9216 of NASD Code of Procedure, Jefferies & Company, Inc, (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation

Reference 2004100007301data-portal.finra.orgfinra.org

06/09/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080135112 -01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Jefferies & Company, Inc., Respondent Broker-Dealer CRD No. 2347 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Jefferies and Company, Inc. (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

Reference 2008013511201data-portal.finra.orgfinra.org

04/28/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. **** 20050001683-03 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Jefferies & Company, Inc., Respondent Broker-Dealer CRD No. 2347 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Respondent, Jefferies & Company, Inc. ("JEFF" or the "firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2005000168303finra.orgdata-portal.finra.org

10/21/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050012658-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Jefferies & Company, Inc., Respondent Broker-Dealer CRD No. 2347 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Jefferies & Company, Inc. LLC ("JEFF" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2005001265801data-portal.finra.orgfinra.org