MARSHALL J. FIELD

09/23/2008: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Market Regulation, Complainant, vs. Marshall J. Field Calabasas, CA, Respondent. DECISION Complaint No. CMS040202 Dated: September 23, 2008 Respondent made fraudulent misrepresentations and failed to disclose material information when recommending municipal bonds, engaged in unauthorized sales and purchases of municipal bonds, and guaranteed a customer against loss.

05/15/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION Complainant, v. MARSHALL J, FIELD (CRD No. 834787), Respondent. Disciplinary Proceeding No. CMS040202 Hearing Officer - AWH HEARING PANEL DECISION May 15,2006 Registered representative and principal barred from associating with any member firm in any capacity and ordered to offer rescission, and pay restitution, to customers for fraudulent sales practices, in violation of MSRB Rules G-17 and G-25, and Sections 10(b) and

Reference CMS040202data-portal.finra.orgfinra.orgdata-portal.finra.org