BERRY-SHINO SECURITIES INC.

01/09/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E3A20030495-02 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Berry-Shino Securities, Inc., Respondent FINRA Member Firm CRD No. 38098 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Berry-Shino Securities, Inc. (BSSI or Respondent) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference E3A2003049502data-portal.finra.orgfinra.org

01/08/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Berry-Shino Securities, Inc., CRD No. 38098 and R. Matthew Shino, CRD No. 1380293, Respondents. Disciplinary Proceeding No. E3A20050037-02 Hearing Officer: LBB ORDER ACCEPTING OFFER OF SETTLEMENT OF RESPONDENT BERRY-SHINO SECURITIES. INC. Date: January 7, 2008 INTRODUCTION Disciplinary Proceeding No. E3A20050037-02 was filed on June 12, 2007, by the Department of Enforcement of the Financial

Reference E3A2005003702data-portal.finra.orgfinra.org

05/18/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C3A050020 TO: Department of Enforcement NASD RE: Berry-Shino Securities, Inc., Member, Respondent CRD No.38098 R. Matthew Shino, General Securities Principal, Respondent CRD No. 1380293 Mary Daniel, Financial and Operations Principal, Respondent CRD No. 4539009 Pursuant to Rule 9216 of NASD Code of Procedure, we [or Respondents] submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference C3A050020data-portal.finra.orgfinra.org