FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050874301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: UBS Financial Services Inc., Respondent Member Firm CRD No. 8174 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, UBS Financial Services Inc. ("UBS" 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. 2018057717301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cristina Sabengsy, Respondent Former Registered Representative CRD No. 6304970 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cristina Sabengsy ("Sabengsy" 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.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060959301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Peter Allan Earp, Respondent Former General Securities Representative CRD No. 4224268 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Peter Allan Earp ("Earp") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. C.L. King & Associates, Inc. Albany, NY, and Gregg Alan Miller Albany, NY, Respondents. DECISION Complaint No. 2014040476901 Dated: October 2, 2019 Firm failed to establish and maintain a supervisory system, including written supervisory procedures, reasonably designed to ensure compliance with the securities laws; firm and registered principal failed to establish and implement an anti-money laundering program