James W. Moldermaker

03/27/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Disciplinary Proceeding Complainant, No. E3A20030032-01 v. Fox & Company Investments, Member CRD No. 18517, and James W. Moldermaker, Registered Principal CRD No. 858894, Respondent. ORDER ACCEPTING OFFER OF SETTLEMENT Hearing Officer: AWH Date: March 27, 2006 INTRODUCTION Disciplinary Proceeding No. E3A20030032-01 was filed

Reference E3A2003003201data-portal.finra.orgfinra.org

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

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

02/24/2005: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Fox & Company Investments, Inc., Phoenix, AZ And James W. Moldermaker Scottsdale, AZ, Respondents. Respondents operated a securities business without sufficient net capital, maintained materially inaccurate books and records, filed inaccurate FOCUS reports, and failed to report certain required information to NASD. Held, Hearing

Reference C3A030017data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org