SECURITIES

Administrative Actions

2009

George N. Stokas
August 31, 2009

Anthony Pritchard
August 31, 2009

Hinsdale Associates, Inc.
August 28, 2009

Kevin Gray
SilverShore Investment Group
August 26, 2009

Business Brokers of America
Bilal Khaliq
August 21, 2009

London Life Financial
August 21, 2009

Jason R. Hyatt
Jay Johnson
Hyatt Johnson Capital, LLC
August 20, 2009

Russell H. Swenson
05914, Inc.
August 20, 2009

Tai Chi Pham
August 20, 2009

Windham Securities, Inc.
August 19, 2009

Windham Securities, Inc.
August 19, 2009

Here to Help Products, Inc.
Brian T. Williamson
August 18, 2009

Paul R. Quinn
Paul R. Quinn and Associates
August 18, 2009

Blake Anthony
Blake Anthon, Inc.
Solution Consulting Group Services, Inc.
Angela T. Freeman
August 14, 2009

David F. Brochu
August 14, 2009

Worldbanc Financial Group, Inc.
Gray Shelton
August 14, 2009

Toney Leora
Newbanc Commercial Group, Inc.
August 14, 2009

Sitka Pacific Capital
August 13, 2009

LG Investment Advisors, LLC
August 11, 2009

J & N Associates Illinois, Inc.
Junji Yamamoto
Naoko Yamamoto
August 6, 2009

Associated Capital Advance, LLC
Sandy Hoffman
August 4, 2009

Donald W. Kiley
August 4, 2009

LaVance Carson
Unicorn Communications, Inc.
August 3, 2009