EQUITY SERVICES INC.

11/02/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009017240702 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Equity Services, Inc., Respondent Member Firm CRD No. 265 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 the condition that, if

Reference 2009017240702data-portal.finra.orgfinra.org

12/06/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. EQUITY SERVICES, INC., CRD No. 265, RESPONDENT. DISCIPLINARY PROCEEDING No. 2010020870401 HEARING OFFICER - LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 6, 2012 INTRODUCTION Disciplinary Proceeding No. 2010020870401 was filed on November 29,2012 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)

Reference 2010020870401finra.orgdata-portal.finra.org

05/29/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002217001 TO: Department of Enforcement NASD RE: Equity Services, Inc., Respondent CRD No. 265 Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent Equity Services, Inc. ("ESI" 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 bring any future

Reference 2005002217001data-portal.finra.orgfinra.org