FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Oscar Nunez (CRD No. 6014411), Respondent. DISCIPLINARY PROCEEDING NO. 2017055553002 COMPLAINT The Department of Enforcement alleges: 1. From January 2016 through December 2016, while associated with J.H. Darbie & Co., Inc. ("J.H. Darbie" or the "Firm"), Respondent Oscar Nunez converted $7,000 from an eldely customer, HZ. To convince HZ to give him the funds, Nunez

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045281603 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Sanford C. Bernstein & Co., LLC, Respondent Broker-Dealer CRD No. 104474 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Sanford C. Bernstein & Co., LLC (the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a