WACHOVIA CAPITAL MARKETS LLC

05/29/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 20050001705-01 TO: Department of Market Regulation NASD RE: Wachovia Capital Markets, LLC, Respondent Broker-Dealer (BD# 126292) Pursuant to Rule 9216 of NASD Code of Procedure, Wachovia Capital Markets, 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring

Reference 2005000170501data-portal.finra.orgfinra.org

11/28/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005003054901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wachovia Capital Markets, LLC, Respondent CRD No. 126292 Pursuant to Rule 9216 of the FINRA Code of Procedure, Wachovia Capital Markets, LLC ("Wachovia," "Respondent" 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 2005003054901finra.orgdata-portal.finra.org

02/18/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070083127-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Wachovia Capital Markets, LLC, Respondent Broker-Dealer CRD No. 126292 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Wachovia Capital Markets, 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 below

Reference 2007008312701data-portal.finra.orgfinra.org