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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054659401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Frederic O’Hara, Respondent General Securities Representative CRD No. 351490 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Frederic O'Hara (“O’Hara”) 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 submitted on