VANDHAM SECURITIES CORP

05/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010023218602 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Vandham Securities Corp. Respondent CRD No. 26258 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Vandham Securities Coip. ("Respondent" or "Vandham" or "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2010023218602data-portal.finra.orgfinra.org

04/01/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120352200-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Vandham Securities Corp., Respondent Broker/Dealer CRD No. 26258 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, Vandham Securities Corp. ("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 2012035220001data-portal.finra.orgfinra.org

10/03/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140421360-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Vandham Securities Corp., Respondent Broker/Dealer CRD No. 26258 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, Vandham Securities Corp, ("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 2014042136001data-portal.finra.orgfinra.org

01/17/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070108074-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Vandham Securities Corp., Respondent Broker/Dealer CRD No. 26258 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, Vandham Securities Corp. ("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 2007010807401data-portal.finra.orgfinra.org

03/29/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20042000169-01 TO: Department of Market Regulation NASD RE: Vandham Securities Corp., Respondent CRD No. 26258 Pursuant to Rule 9216 of the NASD Code of Procedure, Vandham Securities Corp. ("VNDM" 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 2004200016901finra.orgdata-portal.finra.org