WUNDERLICH SECURITIES INC

10/25/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010020967601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wunderlich Securities, Inc., Respondent CRD No. 2543 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Wunderlich Securities, Inc. (hereinafter, "WSI" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below

Reference 2010020967601data-portal.finra.orgfinra.org

10/26/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035334201 TO: Department of Enforcement Financial Industry Regulartory Authority ("FINRA") RE: Wunderlich Securities, lnc., Respondent Member Firm (CRD No. 2543) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Wunderlich Securities, lnc. (hereinafter, "WSI" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2013035334201finra.orgdata-portal.finra.org

12/08/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016047819701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wunderlich Securities, Inc., Respondent FINRA Member CRD No. 2543 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Wunderlich Securities, Inc. ("WSI") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

Reference 2016047819701finra.orgdata-portal.finra.org

06/24/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010025122401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wunderlich Securities, Inc., Respondent Member Firm (CRD No. 2543) and Stephen J. Bonnema, Respondent General Securities Principal (CRD No. 2229865) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Wunderlich Securities, Inc. (hereinafter, "WSI" or "the Firm") and Stephen J. Bonnema ("Bonnema")

Reference 2010025122401finra.orgdata-portal.finra.org

10/19/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090193869-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Wunderlich Securities, Inc., Respondent Broker-Dealer CRD No. 2543 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Wunderlich 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 2009019386901data-portal.finra.orgfinra.org