SECURITIES

Administrative Actions

2011

Beckford's Transport Corporation
Franklyn Beckford Jr.
Franklyn Beckford Sr.
Sarah Beckford
March 31, 2011

John L. Frazier
Tax Recovery Team
March 31, 2011

Putnam Energy, LLC
March 30, 2011

Spencer Clarke LLC
March 30, 2011

Berry Resources, Inc.
Ralph Berry
March 29, 2011

William E. Milam
March 29, 2011

Timothy A. Hancock
TNT Investments I Inc.
March 28, 2011

Eric Anthony Foster
March 28, 2011

The Maxim Group, LLC
March 28, 2011

Steven Kent
March 28, 2011

Timothy J. Roth
Keyop Exercise, Inc.
March 25, 2011

Michael Jesse Vera
March 24, 2011

Ronald G. Fara
March 24, 2011

Inverness Securities, LLC
March 22, 2011

George Douglas Bates
March 21, 2011

Gregory Leo Schroer
March 21, 2011

Jason Nicholas Slezak
March 21, 2011

Kenneth Norman Young
March 21, 2011

Peter Whitfield
March 21, 2011

Ryan J. Pierce
March 21, 2011

Terry Wayne Hansard
March 21, 2011

Aaron Todd Fields
March 18, 2011

Albert Dixon Bryant
March 18, 2011

Albert Dudley Mcewen
March 18, 2011

Angelo Zenez
March 18, 2011

Daniel Nieves
March 18, 2011

Darryl Antonio Johnson
March 18, 2011

Debra Jo Otlewis
March 18, 2011

Donald Mark Hutchinson
March 18, 2011

Dorsey Christian
March 18, 2011

George Edward Langlois
March 18, 2011

Gerald V. MCcadd
March 18, 2011

Jacqueline Kae Childress-Mitchell
March 18, 2011

Jeffrey Terrence Graff
March 18, 2011

John Eugene Roe
March 18, 2011

John Naurice Baker
March 18, 2011

John Michael Bayer
March 18, 2011

Joseph Richard Rauktys
March 18, 2011

Kevin Laurence Molloy
March 18, 2011

Kimberly Sheri' Smith
March 18, 2011

Lisandro Gutierrez
March 18, 2011

Lowell Terry Allen
March 18, 2011

Margaret Kopecki
March 18, 2011

Michael Joseph Farinella
March 18, 2011

Michael Leslie Broadus
March 18, 2011

Michael Paul Curtis
March 18, 2011

Michelle W. Starks
March 18, 2011

Neal Alexander Ritter
March 18, 2011

Neville B. Allen
March 18, 2011

Patrick Timothy Murphy
March 18, 2011

Peter Thomas Coules
March 18, 2011

Prince Joseph Manjooran
March 18, 2011

Robert Wolfolk Sr.
March 18, 2011

Sequoia Group, Inc.
Michael T. Kimmelman
March 18, 2011

Shearer Sampson & Associates
March 18, 2011

Spencer Elliott Williams
March 18, 2011

Stephen R. Collins
March 18, 2011

Tina Marie Adams
March 18, 2011

Shawn D. Baldwin
CMG Institutional Trading, LLC
March 17, 2011

Alan Richard Lew
March 16, 2011

Andrew John Hall
March 16, 2011

David Tarleton Brooks
March 16, 2011

George Willis Scholz
March 16, 2011

Gregory Arthur Pfaff
March 16, 2011

Jason Bradley Schwieder
March 16, 2011

Jay Michael Pollack
March 16, 2011

Jonathan Michael Fiorito
March 16, 2011

Joseph Macaione
March 16, 2011

Leonard Todd Johnson
March 16, 2011

Marsha Maureen Peterson
March 16, 2011

Michael Jesse Vera
March 16, 2011

Michael Joseph Hovanec
March 16, 2011

Randall James Gabaldon
March 16, 2011

Randall Jean Davis
March 16, 2011

Richard J. Osty
Ronald Moore
RO Financial Group, LLC
RKM, Inc.
Heritage Community Homes, Inc.
Building Design System, LLC
March 16, 2011

Ronald Gerard Fara
March 16, 2011

Ryan Christopher Cole
March 16, 2011

Scott Christopher Loidl
March 16, 2011

Stephen Corley Carver
March 16, 2011

Stephen Matthew Weber
March 16, 2011

Stephen R. Collins
March 16, 2011

Susan Lynn Wolfe
March 16, 2011

Thomas John Hindes
March 16, 2011

Thomas William Rendl
March 16, 2011

William Anthony Gohs
March 16, 2011

William Harlan Teinowitz
March 16, 2011

Michael D. Hanke
March 15, 2011

Michael H. Hess
Quantum Holdings, LLC
March 15, 2011

Timothy John Roth
March 15, 2011

Philip W. Elizondo
Denise M. Elizondo
Lincoln Square Group, LLC
March 14, 2011

Randall Scott & Partners
March 11, 2011

Eagle Strategies LLC
March 11, 2011

Jesus Fernandez
Julio Garcia
SFC Investors, Inc.
March 11, 2011

Gary B. Martin
March 10, 2011

Lawrence Y. Lee
March 10, 2011

Germaine Pang
Krupp d/b/a Germaine Pang
March 9, 2011

Great Power Investments, LLC
Walter G. Martinez
March 9, 2011

James Sammons
Preacher's Investment Brokers
Preacher's Auto Detail
March 8, 2011

Jim Pantazelos
Destiny's Partners, Inc.
March 8, 2011

Merrill Lynch, Pierce, Fenner & Smith Inc.
March 4, 2011

Merrill Lynch, Pierce, Fenner & Smith Inc.
March 4, 2011

FRMH, LLC
March 4, 2011

John L. Frazier
Tax Recovery Team
March 4, 2011

Alan J. Nerad
March 2, 2011

Newbury Street Capital
March 2, 2011

Ron Elting
Ox Financial Group
March 1, 2011