TOWBIN LLC

12/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E1020030088-01 TO: Department of Enforcement NASD RE: C.E. Unterberg, Towbin, LLC. (BD No. 24790) Respondent and Thomas I. Unterberg (CRD No. 451739) Respondent Pursuant to Rule 9216 of NASD Code of Procedure, C.E. Unterberg, Towbin, LLC. ("CEUT") and Thomas I. Unterberg ("Unterberg") (collectively "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in

Reference E102003008801finra.orgdata-portal.finra.org

09/09/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20042000039-01 TO: Department of Market Regulation NASD RE: C.E. Unterberg, Towbin, LLC, Respondent Broker-Dealer CRD No. 24790 Pursuant to Rule 9216 of NASD Code of Procedure, C.E. Unterberg, Towbin, LLC ("CEUT" or "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

Reference 2004200003901data-portal.finra.orgfinra.org

04/05/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20050001510-01 TO: Department of Market Regulation NASD RE: C.E. Unterberg, Towbin, LLC, Respondent Broker/Dealer CRD Number 24790 Pursuant to Rule 9216 of NASD Code of Procedure, C.E. Unterberg, Towbin, LLC ("CEUT" 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

Reference 2005000151001data-portal.finra.orgfinra.org

03/30/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050003967-01 TO: Department of Market Regulation NASD RE: C. E. Unterberg, Towbin, LLC, Respondent CRD No. 24790 Pursuant to Rule 9216 of the NASD Code of Procedure, C. E. Unterberg, Towbin, LLC ("CEUT" 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, NASD will not bring

Reference 2005000396701data-portal.finra.orgfinra.org

10/31/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050001370-01 TO: Department of Market Regulation NASD RE: C.E. Unterberg, Towbin, LLC, Respondent Broker-Dealer CRD No. 24790 James Thomas Whipple, Respondent Andrew Arno, Respondent CRD No. 1021807 Pursuant to Rule 9216 of NASD Code of Procedure, C.E. Unterberg, Towbin, LLC ("CEUT" of "firm") , James Thomas Whipple ("Whipple") and Andrew Arno ("Arno") (collectively, "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

Reference 2005000137001finra.orgdata-portal.finra.org