FINRA OTCE and OTC Transparency Data Websites Availability

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063056701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nicholas G. Baecker (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5618205 Pursuant to FINRA Rule 9216, Respondent Nicholas G. Baecker submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.