HARRY FRIEDMAN

05/25/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Harry Friedman (CRD No. 2548017), Respondent. DISCIPLINARY PROCEEDING No. 2009016405904 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From September 2006 through June 2009 (the relevant time period), Harry Friedman (Friedman), the Chief Executive Officer (CEO) of Prestige Financial Center, Inc. (Prestige or the Firm), engaged m a fraudulent trading scheme through which mark-ups were

01/13/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. HARRY FRIEDMAN (CRD No. 2548017), RESPONDENT. DISCIPLINARY PROCEEDING No.2009016405904 Hearing Officer LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 13, 2012 INTRODUCTION Disciplinary Proceeding No. 2009016405904 was filed on May 25, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Harry Friedman submitted an Offer of

Reference 2009016405904data-portal.finra.orgdata-portal.finra.orgfinra.org

07/26/2010: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Harry Friedman Woodmere, NY, Respondent. DECISION Complaint No. 2005000835801 Dated: July 26, 2010 Respondent engaged in private securities transactions without giving his firm prior written notice. Held, findings affirmed and sanctions modified. Appearances For the Complainant: Hugh Patton, Esq., Jeff Kern, Esq., and Leo F. Orenstein, Esq., Department of Enforcement,

05/13/2011: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 64486/May 13, 2011 Admin. Proc. File No. 3-14016 In the Matter of HARRY FRIEDMAN c/o Law Offices of Isaac M, Zucker, PLLC 600 Old Country Road, Suite 321 Garden City, New York 11530 For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDINGS Failure to Provide Written Notice to Member Firm Employer Regarding Private Securities

05/08/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HARRY FRIEDMAN (CRD No. 2548017), and JOSEPH SCHNAIER (CRD No. 2656314), Respondents. Disciplinary Proceeding No. 2005000835801 Hearing Officer - LBB HEARING PANEL DECISION May 8, 2009 For purchasing and selling securities without prior written notice to their firm in violation of Conduct Rules 3040 and 2110, Respondents Harry Friedman is suspended in all capacities for 45 days, and Respondent

Reference 2005000835801data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org