KIRLIN SECURITIES INC.

12/01/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. KIRLIN SECURITIES, INCORPORATED. BD No. 21210; ANTHONY J. KIRINCIC Registered Securities Principal CRD No. 1499511; Registered Securities Principal CRD No. ANDREW J. ISRAEL Registered Securities Principal CRD No. 1980476 RESPONDENTS. DISCIPLINARY PROCEEDING No. EAF0400300001 HEARING OFFICER: SNB AMENDED COMPLAINT Upon information and belief, the Department of Enforcement ("the Department") alleges the following: Summary 1. From

Reference EAF0400300001data-portal.finra.orgfinra.org

12/10/2009: SECURITIES AND EXCHANGE COMMISSION Washington, D C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 61135 / December 10, 2009 Admin. Proc, File No. 3-13422 Office of General Counsel In the Matter of the Application of KIRLIN SECURITIES, INC. ANTHONY KIRINCIC and ANDREW ISRAEL c/o Isaac M. Zucker Law Offices of Isaac M. Zucker, PLLC 600 Old Country Road, Suite. 321 Garden City, NY 11530 For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF

11/28/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KIRLIN SECURITIES, INC. (CRD No. 21210), ANTHONY J. KIRINCIC (CRD No. 1499511), DAVID O. LINDNER (CRD No. 1305774), ANDREW J. ISRAEL (CRD No. 41980476), Respondents. Disciplinary Proceeding No. EAF0400300001 Extended Hearing Panel Decision Hearing Officer - SNB November 28, 2007 Respondent Kirincic engaged in market manipulation, in violation of Section 10(b) of the Securities Exchange Act of 1934,

Reference EAF0400300001data-portal.finra.orgfinra.orgdata-portal.finra.org

02/13/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. ELI2002005701 TO: Department of Enforcement NASD RE: Kirlin Securities, Inc. [BD No. 21210] Pursuant to Rule 9216 of NASD Code of Procedure, Kirlin Securities, Inc. ("Kirlin" or "Respondent") 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, if accepted, NASD will not bring any future actions against

Reference ELI2002005701data-portal.finra.orgfinra.org