RANI T. JARKAS

03/24/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Rani T. Jarkas, CRD No. 2642904, Respondent. DISCIPLINARY PROCEEDING NO. 20050030520-01 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between March 2003 and May 2005, Respondent Rani T. Jarkas was the representative of record for a customer account in the name of LB. Between April 2003 and April 2005, Respondent recommended or, in the exercise of discretion, executed,

01/15/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Rani T. Jarkas, CRD No. 2642904, Respondent. Disciplinary Proceeding No. 20050030520-01 Hearing Officer: SNB Date: January 15, 2010 ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 20050030520-01 was filed on March 24, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).

Reference 2005003052001data-portal.finra.orgdata-portal.finra.orgfinra.org

02/07/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RANI T. JARKAS (CRD No. 2642904), and WILLIAM H. CARSON (CRD No. 722967), Respondents. Disciplinary Proceeding No. 2009017899801 Hearing Officer - SNB HEARING PANEL DECISION February 7, 2014 Respondent Carson caused the firm's net capital calculations to be inaccurate, in violation of NASD Rules 3110(a) and 2110 and FINRA Rule 2010; allowed the firm to conduct a securities business with insufficient

10/05/2015: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Rani T. Jarkas San Francisco, CA, Respondent. DECISION Complaint No. 2009017899801 Dated: October 5, 2015 Respondent allowed his firm to conduct a securities business with insufficient net capital, failed to file an application for approval of a material change in business operations, and failed to appear for testimony. Held, findings affirmed and sanctions modified.

04/01/2016: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 77503 / April 1,2016 Admin. Proc. File No. 3-16948 In the Matter ofthe Application of RANI T. JARKAS c/o Robert J. Stumpf, Jr. Sheppard Mullin Richter & Hampton LLP 4 Embarcadero Center, 17th Floor San Francisco, CA 94111 For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDINGS Failure to appear for testimony

Reference 2009017899801data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org