CHASE INVESTMENT SERVICES CORP.

05/13/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C10050034 TO: Department of Enforcement NASD RE: Chase Investment Services Corp., Respondent [BD No. 25574] Pursuant to Rule 9216 of the NASD Code of Procedure, Chase Investment Services Corp. ("CISC") 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

Reference C10050034data-portal.finra.orgfinra.org

11/06/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0401110003 TO: Department of Enforcement NASD RE: Chase Investment Services Corp., Respondent CRD No. 25574 Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent Chase Investment Services Corp. ("CISC" or "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 not

Reference EAF0401110003data-portal.finra.orgfinra.org

12/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110262791 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Chase Investment Services Corp. Member Firm CRD No. 25574 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, J.P. Morgan Securities LLC, as successor in interest to Chase Investment Services Corp., hereinafter referred to as "CISC" or "Respondent", submits this Letter of Acceptance, Waiver and Consent ("AWC") for the

Reference 2011026279101data-portal.finra.orgfinra.org

03/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005000977301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Chase investment Services Corp. (CRD No. 25574) Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Chase Investment Services Corp, ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2005000977301finra.orgdata-portal.finra.org

11/15/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015078603 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Chase Investment Services Corp., Respondent Broker-Dealer No. 25574 Chase Investment Services Corp., Respondent BD No. 25574, as successor to WaMu Investments, Inc., BD No. 599 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Chase Investment Services Corp.

Reference 2008015078603data-portal.finra.orgfinra.org

02/04/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007009764901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Chase Investment Services Corp., Respondent CRD No. 25574 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Chase Investment Services Corp. ("Chase" or the "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2007009764901data-portal.finra.orgfinra.org

12/22/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015700701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Chase Investment Services Corp. (BD No. 25574) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Chase Investment Services Corp. ("Chase" "Respondent" or "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2008015700701data-portal.finra.orgfinra.org