JAMES EDWARD ROONEY JR.

03/09/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FOX FINANCIAL MANAGEMENT (CRD No. 134277), BRIAN A. MURPHY (CRD No. 4743164), and JAMES E. ROONEY, JR. (CRD No. 1857754), Respondents. Disciplinary Proceeding No. 2012030724101 Hearing Officer-DRS CORPORATION EXTENDED HEARING PANEL DECISION March 9, 2015 Respondents Fox Financial Management Corporation, James E. Rooney, Jr. and Brian A. Murphy violated:

01/06/2017: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, VS. Fox Financial Management Corporation Carrollton, TX, Brian A. Murphy Frisco, TX, and James E. Rooney, Jr. Carrollton, TX, Respondents. DECISION Complaint No. 2012030724101 Dated: January 6, 2017 FINRA member and its principals failed to record and supervise private securities transactions in which a registered representative participated for compensation.

Reference 2012030724101data-portal.finra.orgdata-portal.finra.orgfinra.org

12/11/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement Complainant v. Fox Financial Management Corporation (CRD No. 134277) and James Edward Rooney Jr. (CRD No. 1857754) Respondents DISCIPLINARY PROCEEDING No. 2008011592201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondents Fox Financial Management Corporation ("Fox Financial") and James Edward Rooney Jr. ("Rooney") sold to approximately 200 customers over $13,000,000 in zero coupon bonds secured by

10/29/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. FOX FINANCIAL MANAGEMENT CORPORATION CRD No. 134277 and JAMES EDWARD ROONEY JR. CRD No. 1857754 Respondents. DISCIPLINARY PROCEEDING No. 2008011592201 Hearing Officer: SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 29, 2010 INTRODUCTION Disciplinary Proceeding No. 2008011592201 was filed on December 11, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority

Reference 2008011592201data-portal.finra.orgdata-portal.finra.orgfinra.org

07/23/2015: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. James E. Rooney, Jr. Carrollton, TX, Respondent. DECISION Complaint No. 2009019042402 Dated: July 23, 2015 Registered principal failed to supervise, engaged in a private securities transaction without providing written notice to his firm, made an unsuitable recommendation, made misrepresentations, and used misleading sales materials. Held, findings affirmed and

12/14/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. JAMES E. ROONEY, JR., (CRD 1857754)RESPONDENT. DISCIPLINARY PROCEEDING No. 2009019042402 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2007 through April 2007, James E. Rooney, Jr. ("Rooney" or "Respondent"), the President, Chief Compliance Officer and Branch Office Manager of Fox Financial Management Corp. ("Fox" or the "Firm"), failed to reasonably supervise the

08/11/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES E. ROONEY, JR. (CRD No. 1857754), Respondent. Disciplinary Proceeding No. 2009019042402 Hearing Officer-MAD EXTENDED HEARING PANEL DECISION August 11, 2014 Respondent James E. Rooney, Jr. (1) engaged in a private securities transaction, in violation of NASD Rules 3040 and 2110; (2) recommended a security to a customer without a reasonable basis for believing the investment to be suitable, in

Reference 2009019042402data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org