FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054478001 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: U.S. Boston Capital Corporation, Respondent CRD No. 5251 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, U.S. Boston Capital Corporation (“USB” 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. 2016051209102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Spencer Edwards, Inc. ("SEI"), Respondent CRD No. 22067 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, SEI 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. 2018057109501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jason Nelson, Respondent Former Registered Representative CRD No. 4824535 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jason Nelson ("Respondent"), submit 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. 2017052842901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robert W. Baird & Co. Incorporated, Respondent Broker-Dealer CRD No. 8158 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert W. Baird & Co. Incorporated ("Baird" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057366301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Nina S. Jessee, Respondent Former Registered Representative CRD No. 1484808 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Nina S. Jessee, submit 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. 2019061655701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Nicolas J. Barrios, Respondent Former Registered Representative CRD No. 2122824 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Nicolas J. Barrios, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DREAMFUNDED MARKETPLACE, LLC (CRD No. 283594), and MANUEL FERNANDEZ (CRD No. 6639970), Respondents. Disciplinary Proceeding No. 2017053428201 Hearing Officer-LOM EXTENDED HEARING PANEL DECISION June 5, 2019 Respondent DreamFunded Marketplace, LLC, was registered with FINRA as a funding portal member, and its co-founder and Chief Executive Officer, Respondent Manuel Fernandez, was an associated

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051209101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Donna Flemming, Respondent CRD No. 1791388 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit 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. 2018058100701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kyung Soo Kim, Respondent Former General Securities Representative CRD No. 5110456 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.