Jordan Ross Belfort Crd# 1736122

BrokerCheck Report JORDAN ROSS BELFORT CRD# 1736122 www.finra.org/brokercheck

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JORDAN ROSS BELFORT Report Summary for this Broker CRD# 1736122 The report summary provides an overview of the broker’s professional background and conduct. Additional information can be found in the detailed report.

Broker Qualifications Disclosure of Regulatory Events This individual is no longer registered This broker is not currently registered with a This section includes details regarding final with FINRA. The individual’s registration FINRA firm. regulatory events reported by or about this broker with FINRA was terminated prior to to CRD as part of the securities industry This broker has passed: August 1999 when the enhanced CRD registration and licensing process. system was implemented. As a result,  1 Principal/Supervisory Exams since the individual was not required to Are there events disclosed about this broker? Yes update their CRD record via the  1 General Industry/Product Exams submission of a Form U4 to CRD since The following type of disclosure was reported:  1 State Securities Law Exams August 1999, BrokerCheck contains only Regulatory Event limited information about this individual. Registration History This broker was previously registered with the following FINRA member firms: STRATTON OAKMONT INC. CRD# 18692 LAKE SUCCESS NY 06/26/1989 to 02/24/1994 STRATTON SECURITIES, INC. CRD# 11658 LAKE SUCCESS NY 04/03/1989 to 06/27/1989 INVESTORS CENTER, INC. CRD# 14670 GREAT NECK NY 02/19/1988 to 03/10/1989 F.D. ROBERTS SECURITIES, INC. CRD# 693 PARAMUS NJ 12/24/1987 to 3/22/1988

D.H. BLAIR & CO., INC. CRD# 6833 NEW YORK NY 11/11/1987 to 01/09/1988 L. F. ROTHSCHILD & CO. INCORPORATED CRD# 501 NEW YORK CITY NY 09/22/1987 to 11/17/1987

Broker Qualifications

Industry Exams this Broker has Passed

This section includes all securities industry exams that the broker has passed. Under limited circumstances, a broker may attain a registration after receiving an exam waiver based on exams the broker passed and/or qualifying work experience. Any exam waivers that the broker has received are not included below.

This individual has passed 1 principal/supervisory exams, 1 general industry/product exams, and 1 state securities law exam.

Exam Class Exam Name Category Date Principal/Supervisory Exams General Securities Principal Examination Series 24 1/13/1989 General Industry/Product Exams General Securities Representative Examination Series 7 9/19/1987 State Securities Law Exams Uniform Securities Agent State Law Examination Series 63 10/6/1987

Additional information about the above exams or other exams FINRA administers to brokers and other securities professionals can be found at http://www.finra.org/Industry/Compliance/Registration/QualificationsExams/index.htm.

Registration History This broker previously was registered with FINRA at the following firms:

Registration Dates Firm Name CRD # Branch Location 06/26/1989 to 02/24/1994 STRATTON OAKMONT, INC. 18692 LAKE SUCCESS NY 04/03/1989 to 06/27/1989 STRATTON SECURITIES, INC. 11658 LAKE SUCCESS NY 02/19/1988 to 03/10/1989 INVESTORS CENTER, INC. 14670 GREAT NECK NY 12/24/1987 to 03/22/1988 F.D. ROBERTS SECURITIES, INC. 693 PARAMUS NJ 11/11/1987 to 01/09/1988 D.H. BLAIR & CO., INC. 6833 NEW YORK NY 09/22/1987 to 11/17/1987 L. F. ROTHSCHILD & CO. INCORPORATED 501 NEW YORK CITY NY

Disclosure of Regulatory Events

What you should know about reported disclosure events:

1. Disclosure events in BrokerCheck reports come from different sources:  As mentioned at the beginning of the report, information contained in BrokerCheck comes from brokers, their employing firms, and regulators. When more than one source reports information for the same disclosure event, all versions of the event will appear in the BrokerCheck report. The different versions are separated with reporting source labeled.

Disclosure Event Details

This report provides the information exactly as it was reported to CRD and therefore some of the specific data fields contained in the report may be blank if the information was not provided to CRD.

Regulatory - Final This type of disclosure event involves a final, formal proceeding initiated by a regulatory authority (e.g., a state securities agency, self-regulatory organization, federal regulator such as the Securities and Exchange Commission, foreign financial regulatory body) for a violation of investment-related rules or regulations.

Disclosure 1 of 3 ~ Entry 1 of 1

Reporting Source: Regulator Details: 1. Action Codes: REV CEN CDO 2. Action Date: 1/31/95 3. Proviso: Not Provided 4. Previously Reported: No 4a. Occurrence Number: Not Provided 5. Initiated by: STATE OF MICHIGAN, CORPORATION & SECURITIES BUREAU, DLB/BLC 6a. Docket/Case#: SA 4114 6b. Court Name/Location: Not Provided 7. Allegations: NO 8. Results: AGENT HAD VIOLATED SECTION 204(a)(1)(F) OF THE MICHIGAN UNIFORM SECURITIES ACT BY BEING THE SUBJECT OF AN ORDER ISSUED BY SECURITIES AND EXCHANGE COMMISSION BARRING HIM FROM ASSOCIATION WITH THE BROKERAGE BUSINESS. CONSEQUENTLY, HIS LICENSE WAS REVOKED AFTER HE FAILED TO REQUEST A HEARING. 9. Subject Wanted for Prosecution: No 10. Summary: SEE ABOVE CONTACT: DEBORAH L. BROWN, 517-334-6215

Disclosure 2 of 3 ~ Entry 1 of 1

Reporting Source: Regulator Details: 1. Action Codes: REV 2. Action Date: 4/07/94 3. Proviso: Not Provided 4. Previously Reported: No 4a. Occurrence Number: Not Provided 5. Initiated by: MARYLAND DIVISION OF SECURITIES 6a. Docket/Case#: A-94-0110 6b. Court Name/Location: N/A 7. Allegations: THE DIVISION ALLEGED STATUTORY DISQUALIFICATION PURSUANT TO SEC.11-412(a) (4) OF THE MARYLAND SECURITIES ACT IN THAT BELFORT CONSENTED TO AN ORDER THAT PERMANENTLY ENJOINED HIM FROM VIOLATION OF THE ANTIFRAUD PROVISION OF THE ACT AND REQUIRED HIM TO PAY A CIVIL PENALTY OF $100,000.00. 8. Results: AN ORDER TO SHOW CAUSE WITH INTENT TO REVOKE WAS ISSUED ON 3/16/94, GIVING BELFORT THE OPPORTUNITY TO REQUEST A HEARING. NO SUCH REQUESTG WAS RECEIVED AND A FINAL ORDER OF REVOCATION WAS ISSUED 4/7/94. 9. Subject Wanted for Prosecution: No 10. Summary: AGENT REGISTRATION REVOKED 4/7/94 CONTACT: ELLEN E. CHERRY, (410) 576-6494.

Disclosure 3 of 3 ~ Entry 1 of 2

Reporting Source: Regulator Details: SECURITIES AND EXCHANGE COMMISSION NEWS DIGEST, ISSUE 94-22, DATE FEBRUARY 3, 1994 CIVIL ACTION DISCLOSES; "THE COMMISSION ACCEPTED THE OFFERS OF SETTLEMENT OF STRATTON OAKMONT, INC. JORDAN BELFORT, KENNETH GREENE AND DANIEL PORUSH, STRATTON WILL PAY DISGORGEMENT OF $1,537,146 PLUS PREJUDGMENT INTEREST OF $518,622, TO BE USED TO COMPLENSATE STRATTON CUSTOMERS, AND CIVIL PENALTIES OF $500,000. FURTHER, STRATTON CONSENTED TO AN ORDER THAT CENURES STRATTON AND ORDERS IT TO COMPLY WITH CERTAIN REMEDIAL UNDERTAKINGS. BELFORT WILL BE PERMANENTLY ENJOINED FROM VIOLAITONS OF THE ANTIFRAUD PROVISIONS AND REQUIRED TO PAY A CIVIL PENALTY OF $100,000. FURTHER, BELFORT CONSENTED TO AN ORDER THAT BARS HIM FROM ASSOCIATION WITH CERTAIN COMMISSION REQULATED ENTITIES. GREENE WILL BE PERMANENTLY ENJOINED FROM VIOLATONS OF THE ANTIFRAUD PROVISIONS ©2013 FINRA. All rights reserved. ~ JORDAN ROSS BELFORT www.finra.org/brokercheck

AND REQUIRED TO PAY A CIVIL PENALTY OF $100,000. FURTHER, GREENE CONSENTED TO AN ORDER THAT BARS HIM FROM ASSOCIATION WITH CERTAIN COMMISSION REGULATED ENTITIES WITH A RIGHT TO REAPPLY AFTER FIVE YERS. PORUSH CONSENTED TO AN ORDER THAT SUSPENDS HIM FROM ASSOCIATION IN A SUPERVISORY CAPACITY WITH CERTAIN COMMISSION REGULATED ENTITES FOR A PERIOD OF 12 MONTHS AND ORDERS HIM TO PAY A PENALTY OF $100,000. THE COMPLAINT ALLEGED THAT THE DEFENDANTS ENGAGED IN FRAUDULENT SALES PRACTICES IN THE OPERATION OF A BOILER-ROOM BROKER-DEALER AN MANIPULATED THE MARKET PRICE OF THE SECURITIES OF NOVA CAPITAL, INC. [SEC. V. STRATTON OAKMONT, INC. ET AL., CIVIL ACTION NO 92-1993 (JES)] (LR-13955) SECURITIES AND EXCHANGE COMMISSION NEWS DIGEST, ISSUE 94-56, DATED MARCH 25, 1994 ENFORCEMENT PROCEEDINGS DISCLOSES; THE SAME INFORMATION AS SEC NEWS DIGEST 94-22 WITH THE LITIGATION RELEASE NUMBER BEING (LR-33778 SECURITIES AND EXCHANGE COMMISSION DOCKET VOLUME 56, NO. 6, DATED APRIL 5, 1994, PAGE 822, DISCLOSES; ORDER BARRING RESPONDENT BELFORT FROM ASSOCIATION WITH ANY BROKER, DEALER, INVESTMENT COMPOANY, INVESTMENT ADVISER OR MUNICIPAL SECURITIES DEALER IS DATED AND EFFECTIVE MARCH 17, 1994.

Disclosure 3 of 3 ~ Entry 2 of 2

Reporting Source: Firm Details: JDS 189-08394; Form U5; Full; BROKER/DEALER 18692 1. Questions: 13A 14 2. Update: Not Provided 3. Initiated by: U.S. SECURITIES & EXCHANGE COMMISSION 4. Type of Event/Proceeding: CIVIL 5. Date Initiated: 3/20/92 6. Docket/Case#: 92-CIV-1993(JES) 7. Allegations: THE SECURITIES AND EXCHANGE COMMISSION INJUNCTIVE COMPLAINT ALLEGES FRADULENT AND MANIPULATIVE SALES PRACTICES IN REFERENCE TO A NUMBER OF SECURITIES, PARTICULARLY NOVA CAPITAL INC. (ALSO VISUAL EQUITIES, INC.) AGAINST STRATTON OAKMONT, INC., ITS PRINCIPALS AND AGENTS, INCLUDING JORDAN BELFORT. THE CLAIMS ALLEGE BOTH PRIMARY AND SECONDARY LIABILITY CLAIMS. JORDAN BELFORT, AS A CONTROLLING PERSON OF STRATTON OAKMONT, INC., WAS NAMED IN THE COMPLAINT. 8a. Current Status: SETTLED 8b. Status Date: ON OR ABOUT 2/28/94 8c. Results: JORDAN BELFORT CONSENTED, WITHOUT ADMITTING OR DENYING THE COMPLAINT'S ALLEGATIONS, TO ADMINISTRATIVE BAR FROM THE SECURITIES BUSINESS. IT SHOULD BE UNDERSTOOD THAT THE CONSENT JUDGMENT DOES NOT HAVE ANY PRECLUSIVE OR BINDING EFFECT ON ANY OTHER LEGAL PROCEEDING. 9. Summary: Not Provided 10. Attachments: