CORP.

06/29/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080159057-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Biremis, Corp., Respondent Broker-Dealer CRD # 127840 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Biremis, Corp. (the ''firm'') submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

Reference 2008015905701finra.orgdata-portal.finra.org

04/05/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021255501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Oriental Financial Services, Corp., Respondent FINRA Member Firm BD No. 29753 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Oriental Financial Services, Inc. ("Oriental") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2010021255501data-portal.finra.orgfinra.org

08/24/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070084185-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Biremis, Corp., Respondent Broker-Dealer CRD No. 127840 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Biremis, Corp., ("BRMS" or the ''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2007008418501data-portal.finra.orgfinra.org

12/07/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. MAX INTERNATIONAL BROKER-DEALER, CORP. (BD No. 46039), AND DAVID S. ISOLANO (CRD No. 2504880), RESPONDENTS. DISCIPLINARY PROCEEDING No. 20070072538-03 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Max International Broker-Dealer, Corp. ("Max" or the ''firm") is an SEC registered broker-dealer and FINRA member firm located in New York City. During 2005 and 2006, the

09/01/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MAX INTERNATIONAL BROKER-DEALER, CORP. (BD No. 46039), Respondent. Disciplinary Proceeding No. 20070072538-03 Hearing Officer - MC AMENDED EXTENDED HEARING PANEL DECISION1 September 1, 2011 Respondent willfully charged fraudulent, excessive, undisclosed markups on penny stock sales to more than 100 customers, in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5

Reference 2007007253803data-portal.finra.orgfinra.orgdata-portal.finra.org

09/15/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110306309-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Sunrise Securities, Corp., Respondent Broker-Dealer CRD No. 29804 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Sunrise Securities, Corp. (the "firm”) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2011030630901data-portal.finra.orgfinra.org

09/30/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008014753602 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Biremis, Corp. Member CRD No. 127840 Peter Beck General Securities Principal CRD No. 3048844 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, we submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on

Reference 2008014753602data-portal.finra.orgfinra.org

11/15/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ## 2006003754901 TO: Department of Enforcement NASD RE: Fieldstone Services, Corp. (BD No. 27851) ("Fieldstone") Respondent Pursuant to Rule 9216 of NASD Code of Procedure, Fieldstone Services, Corp. (BD No. 27851) ("Respondent" or "Fieldstone") 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

Reference 2006003754901data-portal.finra.orgfinra.org

11/10/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060041576-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: CIBC World Markets.Corp., Respondent Broker-Dealer CRD No. 630 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, CIBC World Markets Corp., (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settle of the alleged rule violations described below.

Reference 2006004157601finra.orgdata-portal.finra.org

07/31/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021162202 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Biremis, Corp., Respondent Broker-Dealer CRD No. 127840 Peter Beck, Respondent General Securities Representative and General Securities Principal CRD No. 3048844 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Biremis, Corp. ("Biremis" or the "Firm") and Peter Beck ("Beck") (Collectively, the "Respondents")

Reference 2010021162202data-portal.finra.orgfinra.org