ROBERT FRANKLYN MALIN

08/19/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. ROBERT FRANKLYN MALIN (CRD No. 1178312), Respondent. Disciplinary Proceeding No. 2005001121401 Hearing Officer-LBB DEFAULT DECISION Dated: August 19, 2010 Respondent Robert Franklyn Malin violated NASD Conduct Rule 2110 by allowing the FINRA member firm of which he was president to conduct a securities business while it failed to maintain the required minimum net capital.

04/08/2010: FINRA OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBERT FRANKLYN MALIN (CRD No, 1178312), and LINUS NWAIGWE (CRD No. 2613032), Respondents. Disciplinary Proceeding No. 2005001121401 Hearing Officer — RH ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 8, 2010 INTRODUCTION Disciplinary Proceeding No. 2005001121401 was filed on April 29, 2009, by the Department of Enforcement of the Financial Regulatory Authority (FINRA)

Reference 2005001121401finra.orgdata-portal.finra.orgdata-portal.finra.org

02/27/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBERT FRANKLYN MALIN (CRD No. 1178312), Respondent. Disciplinary Proceeding No. E102004085602 Hearing Officer - RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 27, 2006 INTRODUCTION Disciplinary Proceeding No. E102004085602 was filed on July 11, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Robert Franklyn Malin ("Respondent") submitted an Offer of Settlement ("Offer") to Complainant on February

Reference E102004085602data-portal.finra.orgfinra.org