E1 Asset Management Inc.

10/18/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059121201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: E1 Asset Management, Inc. (Respondent) Member Firm CRD No. 46872 Ron Y. Itin (Respondent) General Securities Principal CRD No. 2344151 Pursuant to FINRA Rule 9216, Respondents E1 Asset Management, Inc. and Ron Y. Itin 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 the condition that, if accepted, FINRA will not bring any future actions against Respondents alleging violations based on the same factual findings described in this AWC.

Reference 2018059121201data-portal.finra.orgfinra.org

06/05/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010025835701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: E1 Asset Management. Inc. Member Firm CRD No. 46872. Respondent; Ron Y. Itin Registered Representative CRD No. 2344151, Respondent; and Ahsan R. Shaikh Registered Representative CRD No. 2306482, Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance,

Reference 2010025835701data-portal.finra.orgfinra.org

10/24/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120346182-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E1 Asset Management, Inc., Respondent Broker-Dealer CRD No. 46872 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E1 Asset Management, Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2012034618201data-portal.finra.orgfinra.org

07/12/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100210389-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: El Asset Management, Inc. (BD No. 46872) ("ET or "Respondent") Member Firm 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 described below. This AWC is submitted on

Reference 2010021038901data-portal.finra.orgfinra.org