Glendale Securities Inc.

08/18/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140404215-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Glendale Securities, Inc., Respondent Broker-Dealer CRD No. 123649 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Glendale Securities, Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2014040421501finra.orgdata-portal.finra.org

04/05/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GLENDALE SECURITIES, INC. (CRD No. 123649), GEORGE ALBERTO CASTILLO (CRD No. 1936486), PAUL ERIC FLESCHE (CRD No. 3277904), ALBERT RAYMOND LAUBENSTEIN (CRD No. 303462), JOSE MIGUEL ABADIN (CRD No. 1273345), and HUANWEI HUANG (CRD No. 3268328), Respondents. Disciplinary Proceeding No. 2016049565901 Hearing Officer—MJD EXTENDED HEARING PANEL DECISION April 5, 2019 Respondents

10/05/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Glendale Securities, Inc. (CRD No. 123649), George Alberto Casetillo (CRD No. 1936486), Paul Eric Flesche (CRD No. 3277904), Albert Raymond Laubenstein (CRD No. 303462), Jose Miguel Abadin (CRD No. 1273345), and Huanwei Huang (CRD No. 3268328), Respondents. COMPLAINT

10/06/2021: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Glendale Securities, Inc. Sherman Oaks, CA, George Alberto Castillo Sherman Oaks, CA, Paul Eric Flesche Sherman Oaks, CA Albert Raymond Laubenstein Anaheim, CA, Jose Miguel Abadin Sherman Oaks, CA, And Huanwei Huang New York, NY, Respondents DECISION Complaint No. 2016049565901 Dated: October 6, 2021 Member firm and the AMLCO failed to maintain a reasonable AML program

Reference 2016049565901data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org

09/09/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062351401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Glendale Securities, Inc. (Respondent) Member Firm CRD No. 123649 Pursuant to FINRA Rule 9216, Respondent Glendale Securities, Inc. 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 accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2019062351401data-portal.finra.orgfinra.org

11/23/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060075263 and NO. 20090197476 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Glendale Securities, Inc., Respondent CRD No. 123649 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Glendale Securities, Inc. ("Glendale" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2009019747601data-portal.finra.orgfinra.org