Howard Brett Berger

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11/14/2008: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 58950 / November 14, 2008 Admin. Proc. File No. 3-12393r In the Matter of the Application of HOWARD BRETT BERGER c/o Andrew T. Solomon, Esq. Sullivan & Worcester LLP 1290 Avenue of the Americas New York, New York 10104 For Review of Disciplinary Action Taken by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY PROCEEDING Reconsideration of Sanction Pursuant to Remand

07/28/2006: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Howard Brett Berger Rosyln Heights, NY Great Neck, NY, Respondent. DECISION Complaint No. C9B040069 Dated: July 28, 2006 Hearing Panel held that respondent failed to appear at two on-the-record interviews. Held, findings and sanctions affirmed. Appearances For the Complainant: Jonathan M. Prytherch, Esq., Department of Enforcement, NASD For Respondent: Andrew T. Solomon, Esq. Decision Pursuant to

05/04/2007: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 55706 / May 4, 2007 Admin. Proc. File No. 3-12393 In the Matter of the Application of HOWARD BRETT BERGER c/o Andrew T. Solomon, Esq. Sullivan & Worcester LLP 1290 Avenue of the Americas New York, New York 10104 For Review of Disciplinary Action Taken by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY PROCEEDING Failure to Provide Requested Testimony Former associated

03/23/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. HOWARD BRETT BERGER (CRD No. 2284367) Respondent. Disciplinary Proceeding No. C9B040069 Hearing Officer - AWH HEARING PANEL DECISION March 23, 2005 Respondent barred for failing to respond to requests for information, in violation of Rules 8210 and 2110, and assessed costs. Appearances: Jonathan M. Prytherch, Esq., and David B. Klafter, Esq., for Department of Enforcement. Ira Lee Sorkin, Esq., and Sandra Bourgasser-Ketterling,

Reference C9B040069data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org