n non- fee based accounts Disposition: Remediation to Customers & Penalty to State of NY Remetkation: 521300,000; Penalty: 52.000,030 Page 1 of 2 OBS PS Disciplinary History for Third Party Funds - Dictribution Plasform 9-20-13.dos CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0087647 CONFIDENTIAL SDNY_GM_0