FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056121501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel P. Slattery, Respondent Former Registered Representative CRD No. 4655445 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Daniel P. Slattery, submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations