HOWARD G. JAHRE

01/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. VINCENT P. MCCRUDDEN (CRD No. 1762690), HEDGE FUND CAPITAL PARTNERS, LLC (CRD No. 113326), AND HOWARD G. JAHRE (CRD No. 2238671), RESPONDENTS. DISCIPLINARY PROCEEDING No. 2007008358101 HEARING OFFICER: AHP ORDER ACCEPTING OFFERS SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2007008358101 was filed on June 26, 2008, by the Department of Enforcement of the Financial Industry Regulatory Authority

Reference 2007008358101data-portal.finra.orgfinra.org

01/26/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HEDGE FUND CAPITAL PARTNERS LLC (CRD No. 113326), and HOWARD G. JAHRE (CRD No. 2238671), Respondents. Disciplinary Proceeding No. 2006004122402 Hearing Officer - RSH EXTENDED HEARING PANEL DECISION January 26, 2011 Respondents violated Rules 8210 and 2110 by providing false and misleading information to FINRA in connection with an investigation of the Respondent Firm; Rule 2110

05/01/2012: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Hedge Fund Capital Partners, LLC New York, NY, and Howard G. Jahre New York, NY, Respondents. DECISION Complaint No. 2006004122402 Dated: May 1, 2012 Respondents distributed exaggerated, misleading, and unbalanced institutional sales materials and failed to retain institutional sales materials; allowed unregistered persons to act in registered

Reference 2006004122402finra.orgdata-portal.finra.orgdata-portal.finra.org