SECURITIES

Administrative Actions

2010

Senior Financial Strategies, Inc.
d/b/a Pinnacle Investment Advisers
Thomas N. Cooper
Susan B. Cooper
July 30, 2010

First Legacy Securities, LLC
July 29, 2010

Ryan N. Shubin
July 29, 2010

Tcadvisors Network Inc.
July 29, 2010

Basalt Capital LLC
July 28, 2010

Rosand Enterprises, Inc.
Robert R. Anderson
Paul V. Rossetti
July 28, 2010

MetLife Securities, Inc.
July 27, 2010

MetLife Securities, Inc.
July 26, 2010

Lincoln National Financial
July 23, 2010

Union Trust Credit Service
Connie Stewart
July 23, 2010

Arthur Lin
Gloria Lin
July 22, 2010

Paradigm Wealth Management, Inc.
July 22, 2010

American Constantine Insurance Company Limited
July 21, 2010

Howard Richmond
July 16, 2010

National Opportunities LLC
Worldwide Marketing and Associates, LLC
July 16, 2010

Fabio B. Herrera
July 15, 2010

John Burns
a/k/a John T. Burns III
July 15, 2010

Jeffery D. Hum
The Hum Group
July 14, 2010

Charles H. Landwer
Accurate Financial Group, Ltd.
July 13, 2010

Mega Entertainment Group II, LLC
Alex Field
Gary Fishkin
Edward Renko
July 13, 2010

Ernest Noy
Evanston Business Management Group, Inc.
a/k/a Evanston Consultants Funding Group, Inc.
July 12, 2010

Jerry Miller
ER Urgent Care Management Co., Inc.
ER Urgent Care Holdings, Inc.
July 12, 2010

LPL Financial Corporation
f/k/a Linsco/Private Ledger Corporation
July 12, 2010

LPL Financial Corporation
f/k/a Linsco/Private Ledger Corporation
July 12, 2010

Robert R. Petersen
First U.S. Equities, Inc.
First Federal Equities, Inc.
July 8, 2010

Conrad Schwocha
July 7, 2010

FRMH, LLC
July 7, 2010

Hassan Washington
July 7, 2010

Jim Crofoot
Asset Management Alliance, LLC
July 6, 2010

Walter Rockwell
Jim Vincent a/k/a Jim Vateli
Chicago Visitor Hospitality Club, Inc.
July 2, 2010

William J. Martys ICG, Inc.
July 2, 2010

William K. Phillips
July 2, 2010