BRETT IAN FRIEDBERG

06/04/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Jonah Engler (CRD No. 4216259), Brett Ian Friedberg (CRD No. 5012184), Jonathan Michael Sheklow (CRD No. 4906207), Joshua William Turney (CRD No. 4510219), Hector Perez, a/k/a Bruce Johnson (CRD No. 5431109), and Joseph Scott Schaffer (CRD No. 5114065), Respondents. DISCIPLINARY PROCEEDING No. 2010024522103. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between December 2009

03/23/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. BRETT IAN FRIEDBERG (CRD No. 5012184), Respondent. Disciplinary Proceeding No. 2010024522103 Hearing Officer-DRS EXTENDED HEARING PANEL DECISION March 23, 2016 Respondent is barred from associating with any FINRA member firm in any capacity for recommending that his customers purchase securities while lacking a reasonable basis for the recommendations. Respondent is also ordered

11/13/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Jonah Engler (CRD No. 4216259), Brett Ian Friedberg (CRD No. 5012184), Jonathan Michael Sheklow (CRD No. 4906207), Joshua William Turney (CRD No. 4510219), Hector Perez, a/k/a Bruce Johnson (CRD No. 5431109), and Joseph Scott Schaffer (CRD No. 5114065), Respondents. DISCIPLINARY PROCEEDING No. 2010024522103 Hearing Officer - DS. ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 13,2014

Reference 2010024522103data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org