SECURITIES

Administrative Actions

2011

Bradley P. Schieber
December 29, 2011

Corneal Science Corporation
Dr. Allan Touch
December 29, 2011

Dragon Fire Solutions
Andrew V. Dungey
December 29, 2011

Lawrence A. Kreindel
December 29, 2011

Jonathan M. Riogoni
December 28, 2011

Upper Quadrants Capital Management, LLC
James H. Stanley, Jr.
December 28, 2011

Heritage, Inc.
d/b/a Heritage Deposit Brokers
December 27, 2011

John C. Nori
December 27, 2011

Eric Anthony Foster
December 21, 2011

Fran Span Global, LLC
The Healthy Life Style Place of OakPark, LLC
Physicians Wellcare Centers of America
December 21, 2011

John Sikaras
December 21, 2011

Peter Anthony Mazzara
Omni Group Partners, Ltd
Alpha Life Holdings, Ltd.

Carl G. Moose
Infinity Wind Technology N.A. LLC
Infinity Wind Technology LLC
December 20, 2011

Steven W. Salutric
December 20, 2011

Peter Alan Maren
December 19, 2011

Chadwick Creech
Yuwen Creech
Streamone, LLC
December 16, 2011

Dealer Auction Access, Inc.
December 16, 2011

Dennis P. Karau
December 16, 2011

Douglas W. Jenkins
December 16, 2011

Jerome P. Sweeney II
December 16, 2011

Keith T. Johnson
December 16, 2011

Ray Pacific Global Assets, LP
Ray Pacific Assets Management, LLC
Ray Krittibas
December 16, 2011

Associated Financial Services, Inc.
December 15, 2011

Salvador Almonte
December 14, 2011

Dustin P. Shafer
December 13, 2011

Michael Harbert
December 13, 2011

Darcey L. Folkerts
Robert McAoy
Full Circle Strategies, Ltd
December 12, 2011

Lawrence Y. Lee
LYL Investment Corporation
December 9, 2011

Lawrence Y. Lee
December 9, 2011

Mark W. Johnson
December 9, 2011

Michael J. Stahl Jr.
December 9, 2011

Peter V. Eliades
December 9, 2011

Richard R. Kelsey
Ispottedyou.com
December 9, 2011

William J. Murphy
December 8, 2011

Elie Mellul
a/k/a Eli Mellul
Traders Capital, LLC
December 6, 2011

Alvin Joseph Boutte, Jr.
December 4, 2011

Gail D. Dugas
December 1, 2011

Robert Iver Kelley Jr.
December 1, 2011

William F. Baumann
December 1, 2011