DOUGLAS J. TOTH

08/09/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DOUGLAS J. TOTH (CRD No. 2332079), Respondent. Disciplinary Proceeding No. E9A2004QOT901 Hearing Officer - AWH HEARING PANEL DECISION August 9, 2006 Formerly registered representative willfully caused the filing of a Form U-4 that contained a misrepresentation of material fact, in violation of NASD Conduct Rule 2110 and IM-1000-1. Respondent suspended from associating with any member firm in any capacity for one year.

07/01/2008: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 58074 /July 1,2008 Admin. Proc. File No. 3-12739 In the Matter of the Application of DOUGLAS J. TOTH c/o Robert G. Stevens, Esq. 947 State Road, Suite 202 Princeton, New Jersey 08540 For Review of Disciplinary Action Taken by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY PROCEEDINGS Violations of Rules of Fair Practice Causing Misstatement on and Failure to Amend Form U4

07/27/2007: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Douglas J. Toth Skillman, NJ, Respondent. DECISION Complaint No. E9A2004001901 Dated: July 27, 2007 Respondent willfully caused the filing of a Form U4 that contained a misrepresentation of material fact and failed to correct the inaccurate Form U4. Held, findings and sanctions affirmed. Appearances For the Complainant: Thomas K. Kilkenny, Esq., and David F. Newman, Esq., Department of Enforcement,

Reference E9A2004001901data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org