Fox and Company Investments Inc.

10/28/2005: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 52697/October 28, 2005 Admin. Proc. File No. 3-11873 In the Matter of the Application of FOX & COMPANY INVESTMENTS, INC., and JAMES W. MOLDERMAKER c/o Anthony W. Djinis, Esq. Pickard and Djinis LLP 1990 M Street, N.W., Suite 660 Washington, D.C. 20036 For Review of Disciplinary Action Taken by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION – REVIEW OF DISCIPLINARY PROCEEDINGS

Reference C3A030017data-portal.finra.orgfinra.org

09/15/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E3A2005004302 TO: Department of Enforcement NASD RE: Fox &. Company Investments Inc. Respondent Broker-Dealer CRD No, 18517 Pursuant to Rule 9216 of NASD Code of Procedure, Fox & Company Investments Inc. (“Respondent" 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,

Reference E3A2005004302data-portal.finra.orgfinra.org

03/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050012893-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fox & Company Investments Inc., Respondent Member Firm CRD No. 18517 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2005001289301data-portal.finra.orgfinra.org