CENTURY PACIFIC SECURITIES INC.

05/07/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010020811601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Century Pacific Securities, Inc., Respondent Member CRD No. 113698 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2010020811601data-portal.finra.orgfinra.org

07/23/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Century Pacific Securities, Inc. CRD No. 113698, Asa Williams CRD No. 2233649, and also known as CRD No. Respondents. DISCIPLINARY PROCEEDING NO.2008014271401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Century Pacific Securities, Inc. ("Century Pacific"), acting through Respondent Century Pacific Securities, Inc. ("Century Pacific"),

07/08/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement Complainant, v. Century Pacific Securities Inc. CRD No. 113698 Asa Williams CRD No. 2233649 and Shuming Chang CRD No. 2109185, Respondents. Disciplinary Proceeding No. 20080142714-01 Hearing Officer: SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 8, 2011 INTRODUCTION Disciplinary Proceeding No. 20080142714-01 was filed on July 23,2010, by the Department of Enforcement of the Financial Industry

Reference 2008014271401data-portal.finra.orgfinra.orgdata-portal.finra.org