FORDHAM FINANCIAL MANAGEMENT INC.

03/25/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, v. Complainant, Fordham Financial Management, Inc. (CRD No. 20996), and Respondents. Disciplinary Proceeding No. 2008011743303 Hearing Officer: MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 25, 2013 INTRODUCTION Disciplinary Proceeding No. 2008011743303 was filed on May 31, 2012, by the Department of Enforcement of the Financial

Reference 2008011743303data-portal.finra.orgfinra.org

06/01/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010023689701 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Fordham Financial Management, Inc., Respondent Broker-Dealer CRD#20996 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Fordham Financial Management, Inc., (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2010023689701data-portal.finra.orgfinra.org

05/31/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E102005014702 TO: Department of Enforcement NASD RE: Fordham Financial Management, Inc., Respondent (BD No. 20996) -and- Harvey Latzen, Respondent (CRD No. 709950) Pursuant to Rule 9216 of NASD Code of Procedure, Fordham Financial Management, Inc. ("Fordham") and Harvey Latzen ("Latzen") (collectively, "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference E102005014702data-portal.finra.orgfinra.org