SECURITIES

Administrative Actions

2011

Signal Oil & Gas Company
James E. Van Blaricum
Steve Schoen d/b/a SJS Investments
October 31, 2011

Kabarec Financial Advisors, Ltd.
October 28, 2011

Derrick K. Jones
October 27, 2011

Kelvin Anthony Jones
October 27, 2011

Alfaro Oil & Gas, LLC
Brian Keith Alfaro
Pinnacle Partners Financial Corporation
October 26, 2011

Alvin Joseph Boutte, Jr.
October 26, 2011

Real Estate on the Radio, LLC
RB Consulting, Inc.
Ronald M. Vergara
October 26, 2011

Doley Securities, LLC
October 25, 2011

LPL Financial, LLC
f/k/a LPL Financial Corporation
October 24, 2011

LPL Financial, LLC
f/k/a LPL Financial Corporation
October 24, 2011

Todd Alan Shanholtzer
October 20, 2011

Michael H. Hess
Quantum Holdings, LLC
October 20, 2011

Brian Keith Richardson, Sr.
October 19, 2011

Charles Maurice Walls
October 19, 2011

Daniel Edward Sigman
October 19, 2011

Dennis P. Karau
October 19, 2011

Derrick K. Jones
October 19, 2011

Donald Lee Hooks, Jr.
October 19, 2011

Donnie D. Eddy
October 19, 2011

Douglas Wayne Jenkins
October 19, 2011

Dustin P. Shafer
October 19, 2011

Edwin Leroy McClendon
October 19, 2011

Eric Dale Grant
October 19, 2011

Firasat Ali Siddiqui
October 19, 2011

Gail Denise Dugas
October 19, 2011

Gerald Thomas McCullough
October 19, 2011

Howard M. Ramsamugh
October 19, 2011

Hubert Stalling
October 19, 2011

Jay Taparia
October 19, 2011

Jeffrey Sam DeCant
October 19, 2011

Jerome Patrick Sweeney, II
October 19, 2011

John Sikaras
October 19, 2011

Jon Marvin Fletcher
October 19, 2011

Keith Terrell Johnson
October 19, 2011

Kelvin Anthony Jones
October 19, 2011

Kevin Robert Strohl
October 19, 2011

Kimberly Sheri Smith
October 19, 2011

Leonard Edwin Belcher
October 19, 2011

Mark Wallace Johnson
October 19, 2011

Michael Alan Boese
October 19, 2011

Michael Anthony Lange
October 19, 2011

Michael C. Marron
October 19, 2011

Michael Joseph Williams
October 19, 2011

Milton Kelly Wright
October 19, 2011

Muminah Abdul-Malik
October 19, 2011

Patrick T. Dunaway
October 19, 2011

Peter Alan Maren
October 19, 2011

Reginald Lomax
October 19, 2011

Richard M. Borek
October 19, 2011

Richard Neil Rosenberg
October 19, 2011

Sahara Torres
October 19, 2011

Salvador Almonte
October 19, 2011

Thomas Patrick Fitzgerald
October 19, 2011

Timothy Leonchik
October 19, 2011

Todd Alan Hale
October 19, 2011

Wendy Meyers Simpson
October 19, 2011

William Frederick Baumann
October 19, 2011

Madison Avenue Securities, Inc.
October 18, 2011

Todd C. Smith
Retirement Planning Services
Travis Oliver
Electus Asset Holding LLC
Bruce Hongsermeier
October 14, 2011

Cor Development Group, Inc.
Alberto B. Colon
Artemio Rivera
October 13, 2011

Lombardi & Co., Inc.
October 13, 2011

Mohammed I. Khan
Ink Global Consulting, Inc.
Ink Global, LLC
Ink Global Capital, LLC
October 13, 2011

Sequoia Group, Inc.
Michael Kimmelman
October 12, 2011

Jason Kendrick Roberts
d/b/a JKR Asset Management
October 11, 2011

Scott McGinnis
Truearn.com
October 6, 2011

Stephen Aquilino
October 5, 2011

Ballentine Investments, Inc.
William Andrew Ballentine
October 3, 2011

Alvin Joseph Boutte, Jr.
October 3, 2011