FIELDSTONE SERVICES CORP.

09/07/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E102004015504 TO: Department of Enforcement NASD RE: Fieldstone Services Corp. Member CRD No. 27851 Pursuant to Rule 9216 of NASD Code of Procedure, Fieldstone Services Corp. ("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 accepted, NASD will not bring any future actions against it

Reference E102004015504data-portal.finra.orgfinra.org

06/10/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090193530-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Fieldstone Services Corp., Respondent Broker-Dealer CRD No. 27851 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Fieldstone Services; 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

Reference 2009019353001data-portal.finra.orgfinra.org

10/08/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039579601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fieldstone Services Corp., Respondent Member Firm BD No. 27851 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Fieldstone Services Corp. (BD No. 27851) ("Fieldstone," "the Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the

Reference 2014039579601data-portal.finra.orgfinra.org