Claims alleged misrepresentations or omissions of material fact by Mr. Fernow in relation to their investments in AFLG Holdings, Inc.

$529,000.00

Claim alleges that Mr. Fernow made untrue statements of material fact or omitted to state material facts to the Plaintiffs related to Claimants' investments in AFLG Holdings, Inc.

$75,000.00

Court has ordered the matter stayed and the parties to submit the dispute to binding arbitration.

Florida Office of Financial Regulation

N/A

Order

Cease and Desist

Civil and Administrative Penalty(ies)/Fine(s)

$26,000.00

Mr. Fernow, without admitting or denying the findings, entered into a settlement with the State of Florida pursuant to allegations of failure to timely amend his Form U4 to reflect his business address and outside business activities. The settlement, which incorporated allegations against Mr. Fernow, his employing firm, and other associated person(s) of the firm, provided for a total fine of $26,000, of which $2,500 was attributable to Mr. Fernow.