| Document Date: 2012-09-25 12:10:59
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City Warren / Nanjing / Hoboken / / Company Hold Brothers On-Line Investment Services LLC / Demostrate LLC Trade / GWW / Trade Alpha Corporate Ltd / Hold Brothers Inc. / W.W. Grainger / -Line Investment Services / LLC / Boston Stock Exchange / / Country United States / China / British Virgin Islands / / Currency pence / USD / / Event Person Communication and Meetings / / IndustryTerm adequate surveillance systems / overseas traders / algorithmic traders / retail customer traders / / Organization FINRA / Securities and Exchange Commission / / Person Robert Vallone / William Tobias / Steven Hold / Steve Hold / Tobias Respondents / / Position manager / broker / registered broker-dealer / Chief Compliance Officer and Chief Financial Officer / senior executive / broker-dealer / supervisor / executive / president and co-founder / representative / trader / dealer / managing member / owner / Vallone’s supervisor / / ProvinceOrState New Jersey / New York / Pennsylvania / Delaware / California / / Technology alpha / /
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Hold Brothers On-Line Investment Services, LLC, Demostrate, LLC, Trade Alpha Corporate, Ltd, Steven Hold, Robert Vallone, and William Tobias