TRADITION ASIEL SECURITIES INC

11/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070106543-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Tradition Asiel Securities Inc. Respondent Broker-Dealer CRD No. 28269 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Tradition Asiel Securities (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 2007010654301data-portal.finra.orgfinra.org

07/10/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20080136154 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Tradition Asiel Securities Inc., Respondent Member CRD No. 28269 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Tradition Asiel Securities Inc. ("Tradition Asiel" or the "Respondent") submits this Letter of

Reference 2008013615401data-portal.finra.orgfinra.org

05/22/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050021086-01 TO: Market Regulation Department NASD RE: Tradition Asiel Securities, Inc., Respondent Broker-Dealer CRD No. 28269 Pursuant to Rule 9216 of NASD Code of Procedure, Tradition Asiel Securities, 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not

Reference 2005002108601data-portal.finra.orgfinra.org

07/02/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20110276897-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Tradition Asiel Securities Inc., Respondent Broker-Dealer CRD No. 28269 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Tradition Asiel Securities 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

Reference 2011027689701data-portal.finra.orgfinra.org

04/10/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E102004041201 TO: Department of Enforcement NASD RE: Tradition Asiel Securities Inc., Respondent CRD No. 28269 Pursuant to Rule 9216 of NASD Code of Procedure, Tradition Asiel Securities, Inc. ("Tradition" or "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

Reference E102004041201data-portal.finra.orgfinra.org

03/10/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140411872-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Tradition Asiel Securities, Inc., Respondent Broker-Dealer CRD No. 28269 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Tradition Asiel Securities, Inc., (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC') for the purpose of proposing a settlement of the

Reference 2014041187201data-portal.finra.orgfinra.org

10/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130379566-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Tradition Asiel Securities Inc., Respondent Broker-Dealer CRD No. 28269 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Tradition Asiel Securities Inc, (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2013037956601finra.orgdata-portal.finra.org

10/09/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120347035-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Tradition Asiel Securities Inc., Respondent Broker-Dealer CRD No. 28269 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Tradition Asiel Securities 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

Reference 2012034703501data-portal.finra.orgfinra.org

12/09/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100217844-01 TO: Department of Market Regulation Financial industry Regulatory Authority ("FINRA") RE: Tradition Asiel Securities Inc., Respondent Broker-Dealer CRD No. 28269 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Tradition Asiel Securities Inc., ("ASEL" 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 2010021784401data-portal.finra.orgfinra.org

09/07/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20Q5O01797O-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") Tradition Asiel Securities Inc., Respondent Broker-Dealer CRD No. 28269 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Tradition Asiel Securities 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 2005001797001data-portal.finra.orgfinra.org

02/25/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110261650-03 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Tradition Asiel Securities Inc., Respondent Broker-Dealer CRD No. 28269 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Tradition Asiel Securities Inc. (the "firm") submits this Letter ofAcceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2011026165003data-portal.finra.orgfinra.org

03/19/2014: FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120345556-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Tradition Asiel Securities Inc., Respondent Broker-Dealer CRD No. 28269 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Tradition Asiel Securities Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2012034555601data-portal.finra.orgfinra.org

06/26/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO,## 20041000071-01 TO: Department of Market Regulation NASD RE: Tradition Asiel Securities Inc., Respondent Broker-Dealer CRD Number 28269 Pursuant to Rule 9216 of NASD Code of Procedure, Tradition Asiel Securities Inc. ("the firm"), submits this Letter of Acceptance, Waiver

Reference 2004100007101data-portal.finra.orgfinra.org

07/21/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005003561101 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Tradition Asiel Securities Inc., Respondent Broker-Dealer CRD No. 28269 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Tradition Asiel Securities 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 2005003561101finra.orgdata-portal.finra.org

06/01/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050068 TO: Market Regulation Department NASD RE: Tradition Asiel Securities, Inc., Respondent CRD No. 28269 Pursuant to Rule 9216 of the NASD Code of Procedure, Tradition Asiel Securities, Inc. ("ASEL" 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

Reference CLG050068data-portal.finra.orgfinra.org

07/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE WAIVER AND CONSENT NO. 20110284007-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Tradition Asiei Securities Inc., Respondent Broker-Dealer CRD No. 28269 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Tradition Asiel Securities 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

Reference 2011028400701finra.orgdata-portal.finra.org

05/05/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20050002778-01 TO: Department of Market Regulation NASD RE: Tradition Asiel Securities, Inc., Respondent Broker/Dealer CRD Number 28269 Pursuant to Rule 9216 of NASD Code of Procedure, Tradition Asiel Securities, Inc. ("ASEL") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2005000277801data-portal.finra.orgfinra.org