Sterne, Agee & Leach Inc.

11/10/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060042927-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Sterne Agee & Leach, Inc., Respondent Broker-Dealer CRD No. 791 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Sterne Agee & Leach, 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 AWC is

Reference 2006004292701finra.orgdata-portal.finra.org

08/14/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070111653-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Sterne, Agee & Leach, Inc., Respondent Broker-Dealer CRD No. 791 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Sterne, Agee & Leach, 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 2007011165301finra.orgdata-portal.finra.org

05/31/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041318503 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Sterne, Agee & Leach, Inc, Respondent Member Firm CRD No. 791 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Sterne, Agee & Leach, lnc. ("SALI," the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2014041318503data-portal.finra.orgfinra.org

03/05/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STERNE, AGEE & LEACH, INC. (CRD No. 791), Respondent. Disciplinary Proceeding No. E052005007501 Hearing Officer LBB HEARING PANEL DECISION March 5, 2010 Respondent violated NASD Conduct Rules 3011 and 2110, and MSRB Rule G-41, by failing to implement an adequate anti-money laundering program for 2006-2007. For these violations, Respondent is fined $40,000. Appearances For the Department of

Reference E052005007501finra.orgdata-portal.finra.org

07/11/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025646401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Sterne, Agee & Leach, Inc., Respondent Broker-Dealer [CRD No. 791] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Sterne, Agee & Leach, Inc. (hereinafter "Sterne Agee," "Firm," or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2011025646401data-portal.finra.orgfinra.org

10/31/2005: LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050000977-01 TO: Market Regulation Department NASD RE: Sterne, Agee & Leach, Inc., Respondent Broker-Dealer CRD No. 791 Pursuant to Rule 9216 of NASD Code of Procedure, Sterne, Agee & Leach, Inc. ("SALI") 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

Reference 2005000097701data-portal.finra.orgfinra.org

08/28/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090176694-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Sterne, Agee & Leach, Inc. Respondent Broker-Dealer CRD No. 791 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Sterne, Agee & Leach, Inc. ("SALI” or the "firm”) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2009017669401data-portal.finra.orgfinra.org

02/06/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011028360101 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Sterne, Agee & Leach, Inc., Respondent Broker-Dealer CRD No. 791 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Sterne, Agee & Leach, Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent "AWC") for the purpose of proposing

Reference 2011028360101data-portal.finra.orgfinra.org

05/11/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140422051-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Sterne, Agee & Leach, Inc., Respondent Broker-Dealer CRD No. 791 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Sterne, Agee & Leach 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 2014042205101finra.orgdata-portal.finra.org

04/02/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080147299-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Sterne, Agee & Leach, Inc. Respondent Broker-Dealer CRD No. 791 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Sterne, Agee & Leach, Inc. ("SALI" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2008014729901data-portal.finra.orgfinra.org

06/20/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140438286-01 TO: Department of Market Regulation Financial industry Regulatory Authority ("FINRA") RE: Sterne, Agee, & Leach, Inc., Respondent Broker-Dealer CRD No. 791 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Steme, Agee, & Leach, Inc ("SALI" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2014043828601finra.orgdata-portal.finra.org

07/18/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E052003008601 TO: Department of Enforcement NASD RE: Sterne, Agee & Leach, Inc., Respondent [CRD No. 791] Pursuant to Rule 9216 of the NASD Code of Procedure, Sterne, Agee & Leach, Inc. 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 us

Reference E052003008601data-portal.finra.orgfinra.org

05/22/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041619501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Sterne, Agee & Leach, Inc., Respondent Member Firm [CRD No. 791] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Sterne, Agee & Leach, Inc. ("Sterne Agee" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2014041619501data-portal.finra.orgfinra.org

06/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094713 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Sterne, Agee & Leach, lnc. ("the Firm"), Respondent Member Firm of NASD since 1936 and the New York Stock Exchange, LLC since 1982. CRD# 791 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, the Firm submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2007009471301data-portal.finra.orgfinra.org

10/29/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20100215980-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Sterne, Agee & Leach, Inc., Respondent Broker-Dealer CRD No. 791 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Sterne, Agee & Leach, Inc., ("SALI" 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 2010021598001data-portal.finra.orgfinra.org

09/29/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080149893-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Sterne, Agee & Leach Inc., Respondent Broker-Dealer CRD No. 791 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Stern Agee & Leach 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 AWC is

Reference 2008014989301data-portal.finra.orgfinra.org

03/29/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ## 20050026995-01 TO: Market Regulation Department NASD RE: Stern, Agee & Leach, Inc., Respondent Broker-Dealer CRD No. 791 Pursuant to Rule 9216 of NASD Code of Procedure, Stern, Agee & Leach, Inc. ("SALI" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement ofthe alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will

Reference 2005002699501finra.orgdata-portal.finra.org

04/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050023366-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Sterne, Agee & Leach, Inc., Respondent Broker-Dealer CRD No. 791 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Sterne, Agee & Leach, 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 2005002336601data-portal.finra.orgfinra.org