JASON A. CRAIG

12/22/2008: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES AND EXCHANGE ACT OF 1934 Rel. No.591377 December 22, 2008 Admin. Proc. File No. 3-12952 In the Matter of the Application of JASON A. CRAIG 57401 Robert Street Washington Township, MI 48094 For Review of Disciplinary Action Taken by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDINGS Violations of Rules of Fair Practice Misstatements on Form U4 Registered representative of member firm of

12/27/2007: BEFORE THE NATIONAL ADJUDICATORY COUNSIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Jason A. Craig Washington Township, Ml, Respondent. DECISION Complaint No. E8A2004095901 Dated: December 27, 2007 Respondent willfully failed to disclose material information concerning his criminal background on a Form U4. Held, findings and sanctions affirmed. Appearances For the Complainant: Leo F. Orenstein, Esq., Department of Enforcement, Financial Industry

08/28/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. Jason A. Craig (CRD No. 4016543), Respondent. Disciplinary Proceeding No. E8A2004095901 Hearing Officer - RSH Hearing Panel Decision August 28, 2006 Respondent Jason A. Craig violated NASD Membership and Registration IM 1000- 1 and NASD Conduct Rule 2110 by failing to disclose his criminal record. For this violation, he is barred from association with any member in any capacity. Appearances Richard A. March, Esq., Mark A. Koerner,

Reference E8A2004095901data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org