HOLD BROTHERS ON-LINE INVESTMENT SERVICES L.L.C.

08/05/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20Q60046895-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Hold Brothers On-Line Investment Services L.L.C., Respondent Broker-Dealer CRD No. 36816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Hold Brothers On-line Investment Services L.L.C. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2006004689501data-portal.finra.orgfinra.org

01/19/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ## 20060033125 TO: Department of Market Regulation NASD RE: Hold Brothers On-Line Investment Services L.L.C., Respondent Broker-Dealer CRD No. 36816 Pursuant to Rule 9216 of NASD Code of Procedure, Hold Brothers On-Line Investment Services L.L.C. (the "firm" or "HOLD") submits this Letter of

Reference 2005003312502data-portal.finra.orgfinra.org

07/15/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080139501-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Hold Brothers On-Line Investment Services L.L.C., Respondent Broker-Dealer CRD No. 36816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Hold Brothers On-Line Investment Services L.L.C. (the "firm") submits this Letter of Acceptance, Waiver and Consent

Reference 2008013950101data-portal.finra.orgfinra.org

05/11/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C9B050031 TO: Department of Enforcement NASD RE: Hold Brothers On-Line Investment Services, LLC BD No. 36816 525 Washington Blvd. Suite 1400A Jersey City, New Jersey 07310 Pursuant to Rule 9216 of NASD Code of Procedure, Hold Brothers On-Line: Investment Services, LLC ("Hold Brothers") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is

Reference C9B050031data-portal.finra.orgfinra.org

09/25/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010023771001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Hold Brothers On-Line Investment Services, LLC (CRD No. 36816) Pursuant to Rule 9216 of FINRA's Code of Procedure, Respondent Hold Brothers On-Line Investment Services, LLC ("HBOLIS" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

Reference 2010023771001data-portal.finra.orgfinra.org

12/09/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100223732-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Hold Brothers On-Line Investment Services L.L.C. (ONLI) Broker-Dealer CRD No. 36816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Hold Brothers On-Line Investment Services L.L.C. ("ONLI" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

Reference 2010022373201data-portal.finra.orgfinra.org

06/03/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050078 TO: Market Regulation Department NASD RE: Hold Brothers On-Line Investment Services, LLC, Respondent Broker-Dealer CRD No. 36816 Pursuant to Rule 9216 of NASD Code of Procedure, Hold Brothers On-Line Investment Services, LLC ("ONLI" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that,

Reference CLG050078data-portal.finra.orgfinra.org