Barrett & Company, Inc.

Allegations: ALLEGATIONS TO FIRM ARE THAT THE RESPONDENT INACCURATELY REPORTED SHARE PRICES OF BUY AND SELL SHARES OF ZOOM ON 12/22/2010 AND 12/27/2010 TO OATS. FINDINGS ARE THAT THE FIRM VIOLATED FINRA RULES 7450, 7440, 2010, 7460, 2020, 5310(A), 2440, 2010, 3010(B)(1), SECURITIES DIVISION REGULATIONS RULE 212(A)-1(A)(17), 212(A)-1(A)(14) AND RIUSA 7-11-212(B)(8), 7-11-501(1), (2), (3), 7-11-212(B)(2), 7-11-212(B)(8), 7-11-212(B)(11), 7-11-502(A)(5). Status: Final Sanction Detail: FIRM WAS ORDERED BY CONSENT TO WAIVE THE RIGHT TO A HEARING/APPEAL UNDER THE RIUSA, TO CEASE AND DESIST FROM FURTHER VIOLATIONS OF RIUSA, AND TO PAY A PENALTY OF $10000.00 PER SETTLEMENT OFFER SIGNED ON 3/23/15. Summary: FINE IMPOSED

Allegations: FAILURE TO REPORT 2 LAST SALE REPORTS THRU ACT,WITHIN 90 SECONDS,OF TRANSACTIONS IN NASDAQ NATIONAL MARKET SECURITIES AND FAILED TO DESIGNATE TRADES AS LATE.-VIOLATION OF NASD MARKETPLACE RULE 4632(A) FAILURE TO REPORT 3 LAST SALE REPORTS THRU ACT, WITHIN 90 SECONDS, OF TRANSACTIONS IN NASDAQ SMALLCAP SECURITIES AND FAILED TO DESIGNATE TRADES AS LATE.-VIOLATION OF NASD MARKETPLACE RULE 4642(A) FAILED,WITHIN 90 SECONDS AFTER EXECUTION, TO TRANSMIT THRU ACT, 2 LAST SALE REPORTS IN TRANSACTIONS IN OTC EQUITY SECURITIES AND FAILED TO DESIGNATE TRADES AS LATE.-VIOLATION OF NASD MARKETPLACE RULE 6620(A). FAILED WITHIN 90 SECONDS AFTER EXECUTION, TO TRANSMIT THRU ACT, 256 LAST SALE REPORTS OF TRANSACTIONS IN NNM, SC AND OTC SECURITIES. CONSITUTES A PATTERN OF LATE TRADE REPORTING IN VIOLATION OF NASD CONDUCT RULE 2110. Status: Final Sanction Detail: FINE IN THE AMOUNT OF $5000.00 WAS PAID IN FULL ON MAY 14, 2002. Summary: FINE IMPOSED