FCS SECURITIES

07/30/2010: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. FCS Securities New York, NY, and New York, NY, Respondents. DECISION Complaint No. 2007010306901 Dated: July 30, 2010 Respondents failed to file audited annual reports. Held, findings and sanctions affirmed. Appearances For the Complainant: Jeffrey T. Kern, Esq., Leo F. Orenstein, Esq., Department of Enforcement, Financial Industry Regulatory Authority For the

07/11/2011: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 64852/July 11,2011 Admin. Proc. File No. 3-14015 In the Matter of the Application of FCS SECURITIES and DALE EDWARD KLEINSER 417 E. 90th Street Suite 8C New York, NY 10128-5175 For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDINGS Failure to File Audited Reports

05/13/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FCS SECURITIES (CRD No. 40177), and Respondents. Disciplinary Proceeding No. 2007010306901 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION May 13, 2009 Respondents failed to file audited annual reports for two years, in violation of SEC Rule 17a-5 and NASD Conduct Rule 2110. Respondents are jointly and severally fined $5,000, and FCS Securities is suspended for four months. At the end of

09/25/2013: UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT NO. 11-4062 Dale Kleinser, FCS Securities, Petitioners, v. Securities and Exchange Commission, Respondent. Present: Robert A. Katzmann, Chief Judge, Dennis Jacobs, Susan L. Carney, Circuit Judges. FOR PETITIONERS: Dale Kleinser, pro se, New York, NY. FOR APPELLEES: Stephen G. Yoder, United States Securities and Exchange Commission, Washington D.C. Petition for review of a decision of the Securities and Exchange Commission ("SEC").

Reference 2007010306901data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org