CHICAGO INVESTMENT GROUP L.L.C.

06/19/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2005004601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Chicago Investment Group, LLC Member CRD No. 11853 Richard Lynch Registered Principal CRD No. 1938604 George Reilly Registered Principal CRD No. 1523041 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Chicago Investment Group, LLC, Richard Lynch and George Reilly [or Respondents] submit this Letter of Acceptance,

Reference E8A2005004601finra.orgdata-portal.finra.org

05/01/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. CHICAGO INVESTMENT GROUP, LLC (CRD No. 11853) and Respondents. Disciplinary Proceeding No. 2007007329501 Hearing Officer COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Chicago Investment Group, LLC (Member) charged excessive markups ranging from 5.07% to 10.45% on 107 collateralized mortgage obligation securities (CMOs) transactions. The Member also charged excessive

01/26/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. CHICAGO INVESTMENT GROUP, LLC (CRD No. 11853) and GEORGE REILLY General Securities Principal (CRD No. 1523041) Respondents. Disciplinary Proceeding No. 2007007329501 Hearing Officer Matthew Campbell ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 26, 2010 INTRODUCTION Disciplinary Proceeding No. 2007007329501 was filed on May 1, 2009, by the Department of Enforcement of the Financial Industry

Reference 2007007329501data-portal.finra.orgdata-portal.finra.orgfinra.org

06/16/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C8A050052 To: Department of Enforcement NASD Re: Chicago Investment Group, L.L.C., Respondent Broker Dealer (CRD No. 11853) Pursuant to Rule 9216 of NASD Code of Procedure, Chicago Investment Group, LLC ("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

Reference C8A050052data-portal.finra.orgfinra.org

05/18/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.## 20060055601-01 TO: Department of Market Regulation NASD RE: Chicago Investment Group, LLC, Respondent Broker-Dealer CRD No. 11853 Pursuant to Rule 9216 of NASD Code of Procedure, Chicago Investment Group, LLC (the "firm") 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

Reference 2006005560101finra.orgdata-portal.finra.org