TRADESPOT MARKETS INC.

09/01/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. TradeSpot Markets, Inc. FINRA Member Firm CRD No. 29683 and Mark B. Beloyan Registered Representative CRD No. 1392748 Respondents. Disciplinary Proceeding No. 2013037033101 Hearing Officer MJD ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 1, 2016 INTRODUCTION Disciplinary Proceeding No. 2013037033101 was filed on May 4, 2016, by the Department of Enforcement of the Financial Industry

Reference 2013037033101data-portal.finra.orgfinra.org

08/04/2011: FINANCIAL INDUSTRY REGULATOR AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, vs. TRADESPOT MARKETS INC. (CRD No. 29683) and MARK B. BELOYAN (CRD No, 1392748), Respondents. Disciplinary Proceeding No. 2009017590801 Hearing Officer - MAD ORDER ACCEPTING OFFER OF Date: August 4,2011 INTRODUCTION Disciplinary Proceeding No. 2009017590801 was filed Department of Enforcement

Reference 2009017590801data-portal.finra.orgfinra.org

08/06/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARK B. BELOYAN (CRD No. 1392748), and TRADESPOT MARKETS INC. (FORMERLY KNOWN AS BELOYAN INVESTMENT SECURITIES, INC.) (CRD No. 29683), Respondents. Disciplinary Proceeding No. 2005001988201 Hearing Officer - RSH AMENDED Hearing Panel Decision August 6, 2010 The Respondents violated Conduct Rules 2210 and 2110 by recommending the purchase of securities in e-mails that were unbalanced, misleading,

12/20/2011: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Mark B. Beloyan Davie, FL, and Tradespot Markets, Inc. (f/k/a Beloyan Investment Securities, Inc.) Davie, FL, Respondents. DECISION Complaint No. 2005001988201 Dated: December 20, 2011 Respondents emailed stock recommendations that were not fair and balanced, did not provide a sound basis for evaluating the recommended stock, omitted material information, and

Reference 2005001988201data-portal.finra.orgfinra.orgdata-portal.finra.org