FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044526701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Member Firm CRD No. 7691 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch," "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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058041101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Raymond James & Associates, Inc., Respondent Member Firm CRD No. 705 Raymond James Financial Services, Inc., Respondent Member Firm CRD No. 6694 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Raymond James & Associates, Inc. ("RJA") and Raymond James Financial Services, Inc. ("RJFS") submit this Letter of Acceptance, Waiver and Consent

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES G. McKINNEY (CRD No. 2100850), Respondent. Disciplinary Proceeding No. 2018057829001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In March 2018, FINRA commenced an investigation of respondent James G. McKinney for possible violations of FINRA rules. During that investigation, McKinney failed to comply with multiple FINRA requests.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063328201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel K. Boyle, Respondent Registered Representative CRD No. 5980470 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Daniel K. Boyle ("Respondent" or "Boyle") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057094902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bryce J. Vance, Respondent Former Registered Representative CRD No. 6499644 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Bryce J. Vance submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.