NOTE: Stipulations of Fact and Consent to Penalty (SFC); Offers of Settlement (OS); and Letters of Acceptance Waiver, and Consent (AWC) are entered into by Respondents without admitting or denying the allegations, but consent is given to the described sanctions & to the entry of findings. Additionally, for AWCs, if FINRA has reason to believe a violation has occurred and the member or associated person does not dispute the violation, FINRA may prepare and request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing before a hearing panel, and any right of appeal to the National Adjudicatory Council, the SEC, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted. The letter shall describe the act or practice engaged in or omitted, the rule, regulation, or statutory provision violated, and the sanction or sanctions to be imposed.

A&F Financial Securities, Inc.
AWC/2008011649201

Activa Capital Markets, Inc.
AWC/2009015972001

Alan D. Schell
2009017694001

Benjamin Burl Abbott III
AWC/2008015676801

Bernard Robert Markowitz (Principal)
AWC/2009021131201

Brandon Michael Kappes
AWC/2010022662401

Cory Todd Schmelzer (Principal)
AWC/2007008935002

Daniel David Misch
AWC/2009016756101

Daniel Lee Kurtz
AWC/2009020618301

Dante Thomas Garcia DeMiro
AWC/2008012498701

David Gustav Much
AWC/2007008935001

David Michael Pagliarulo
AWC/2009017267701

Donnelly Penman & Partners and Charles Kirk Haggarty (Principal)
AWC/2009016347901

Dwight John Schaefer
AWC/2008012636401

Fox Financial Management Corporation and James Edward Rooney Jr. (Principal)
OS/2008011592201

Frank Marasco
AWC/2005002134102

Global Strategic Investments, LLC and Cesar Gabriel Hernandez (Principal)
AWC/2009016158801

Gregory Lee Oldham
AWC/2009016709017

Heather D. Pepo
2008014734701

Jack Clark Smith Jr.(Principal)
AWC/2007011125102

Jamaine Kwesi Aggrey
AWC/2010021167401

Jennifer Veronica Himes
AWC/2008015411501

Julio Enrique Serrano
2009017710701

Junior Kim
AWC/2009017798901

Kelly Lee Flaherty
AWC/2009016709016

Kelvin Shaw (
AWC/2008015411502

Kenn Arden Hugos
AWC/2008016344401

Kenya Reed
AWC/2009017054201

Kyle T. Nolen
AWC/2009020798901

Li Kopp (Principal) aka Sabrina Kopp, Li Guo, and Sabrina Guo
AWC/2008015308001

Mark Edward Diemer (Principal)
AWC/2009016254302

Mark Wayne Mills (Principal)
AWC/2008015357301

Mark William Beggs
AWC/2009018374401

Merrill Lynch, Pierce, Fenner & Smith Incorporated
AWC/2008015403102

Morris Noriaki Kunita (Principal)
AWC/2009019051902

Premier Group, Inc.
AWC/2008011618101

Randall Allen Gissendaner
AWC/2009016709013

Randall Walter Hess (Principal)
AWC/2007008310201

Raymond Wing Fai Lau
AWC/2009019051901

Robert John Postma
AWC/2009019449201

Robert Lee Yingling
AWC/2009016709014

Rodney Brian Moss
AWC/2009016709015

Ronald Laverne Kersey
AWC/2009016709012

Scarlett Loree Smith
AWC/2010021373001

Scott Douglas Pionk (Principal)
AWC/2009018512901

Shawn Patrick Koerner
AWC/2009019876801

Stanley Mark Kobin (Principal)
OS/2008011678304

Stephen Nicholas Severio
AWC/2008015083301

Timothy James Carroll
AWC/2009016531801

Tracy Marie Lamoreaux
AWC/2009019285301

Victor W. Chan
AWC/2009021029613

William Hanson Hauser
AWC/2010022661001

Antonio Gata Bolinao Sr.
AWC/2009017831001

Aura Financial Services, Inc. and Timothy Michael Gautney (Principal)
OS/2008011565203

Biremis, Corp and Peter Beck (Principal)
AWC/2008014753602

Clinton James Lewis (Principal)
AWC/2009016863001

Conrad Lee Fitzwater
AWC/2009016709009

Corbett Leo Hankins Jr.
OS/2009016709002

Darla Lanette Williams
AWC/2009019338301

Dennis Lee Keating II (Principal)
AWC/2007011125101

Derrick Ray Shields
AWC/2008015144801

Dwayne Howard Kappell
AWC/2009016709005

Eddie Wayne Sawyers
AWC/2008015712501

Edward Francis Stetz Jr. (Principal)
AWC/2009018333301

Ethelbert Pacis Gazmen
AWC/2009018322101

Fredric Henry Gardner
AWC/2009020196301

Gary Michael Laskowski
2006003916901

Geraldine Ann Wert (Principal)
OS/2008015086401

Gregory Arthur Niebler
OS/2007009405201

Harold Dean Malicoat Jr.
AWC/2007009342201

Jerry Allen Smith
AWC/2009016709006

John Christopher Romanoff
2008014858101

Junying Bao
AWC/2009020840201

Kevin Lawrence Cohen (Principal), Dennis Stanley Kaminski (Principal), Gari Craig Sanfilippo (Principal)
EAF0400630001

Mandar Vijay Raut
AWC/2009017957801

Maria Alicia Wild
AWC/2010021987401

Mark Boyar & Company, Inc.
AWC/2008011794901

Moustafa Mahmoud Zayed (Principal)
2006003834901

NAME REDACTED
2009017472801

Patrick Joseph McConnell
AWC/2009020204101

Paul Michael Tavelman
AWC/2008015108101

Philip Rene Deroziere (Principal)
AWC/2009016976701

Roger Howard Garrett (Principal)
AWC/2009016709008

Ronald Arthur Knight (Principal)
AWC/2009016709007

Ronald Gabriel Klebba
AWC/2008014974201

Ryan Beck & Co. nka Stifel Nicolaus & Company, Incorporate
AWC/2008015700901

Ryan Keith Hardy
AWC/2009018334401

Sean Patrick Britton
AWC/2007011830002

Seton Securities Group, Inc.
AWC/2009016215601

Thomas Joseph Brough (Principal), Eric Robinson Elliott (Principal), Brian James Falabella, and Jonathan Jay Sheinkop
OS/2007011348301

Thomas Michael Petracek
AWC/2008015144802

Vincent Fedders
AWC/2009018330701

William Kevin Harrison
AWC/2008015740301

York Securities, Inc.
AWC/2008011762701

Alan Ray Tatgenhorst
2008014828301

Artha Lee Brooks (Principal)
AWC/2008015413103

Charles Patrick DiDomenico
AWC/2009021029612

Cislyn Louise Beckford
AWC/2009020374801

Commonwealth Church Finance, Inc. dba Charter Financial Services
AWC/2008011619001

Daniel Hope Hughes
AWC/2008012817301

Darryl Wayne Golter
AWC/2008015003201

David Alan Kossak
AWC/2008014690901

Douglas Joe Barker (Supervisor)
2007009520202

Duane Alan Carr
AWC/2008013303601

Farmers Financial Solutions, LLC
AWC/2008015341602

George Stephen Conwill (Principal)
AWC/2005003644601

Guy Steven Amico (Principal)
AWC/2007007151705

Hugh Alexander Ross Sr.
AWC/2008016154401

Intermountain Financial Services, Inc. and Kent Duane Sweat (Principal)
OS/2008011579401

Jamie Sutton Hardy
AWC/2009018407601

Jeffrey David Rosen (Principal)
AWC/2009021029611

Jerry Isaac Alboher
AWC/2009017838501

Kenneth Brown (Principal)
AWC/2007007151703

Kevin Bradley Martin (Principal)
AWC/2008012444203

Lisa Renee Mello (Principal)
AWC/2008012444202

Matthew Norman O’Brien
AWC/2009018063001

Michael Alan Dembin (Principal)
AWC/2009018019301

Michael Wayne Claiborne (Principal)
AWC/2009017323101

Newbridge Securities Corporation
AWC/2007007151704

Nicholas Bryan Hemby
AWC/2010022588301

Nicholas Michael Rubino
2008014873201

NWT Financial Group, LLC, David Eric Niederkrome (Principal), and Stephen Rudolph Rodgers (Principal)
AWC/2009016295901

Renee Lynn Coil
AWC/2008014756401

Richard Albert Bush (Principal)
AWC/2007007151702

Richard Michael Barber (Supervisor)
OS/2008015310801

Richard Totoy
2008015139801

Robin Fran Bush (Principal)
AWC/2007007151701

Rodney Louis Bruck
AWC/2009017310501

Scott Howard Goldstein (Principal)
AWC/2007007151706

Seaboard Securities, Inc., Anthony Joseph DiGiovanni Sr.(Principal), Sonya Terez Still (Principal) and Anthony Joseph DiGiovanni Jr.
OS/2007008724801

Steven Michael Mandala
AWC/2010022904801

Thomas R. Gilman
2008013474801

Timothy John Imhof
AWC/2007010580902

Amy Lou Marsh
AWC/2009018844901

Andrew Charles Callihan
OS/2007010731201

April N. Berkholder
AWC/2009021029609

Assent LLC
AWC/2007008882402

Cambridge Legacy Securities, L.L.C. Oran Ben Carroll (Principal), and Russell Kent Childs (Principal)
AWC/2007010684401

Christopher Brooks Mintz (Principal)
AWC/2009016922701

Clint Harley Keener
AWC/2007009431001

Coady Diemar Partners, LLC
AWC/2008011683801

Craig Lee Randall (Principal)
OS/2008013152301

David Charles Miller
AWC/2008013077101

David John DeWald
AWC/2009019041601

Domenic Carlo Ruggiero
AWC/2008015794901

Euro Pacific Capital, Inc.
AWC/2008015429401

First London Securities Corporation
AWC/2008011589801

Gregory Earl Hafen (Principal)
AWC/2009016709011

James Michael Rapuano Jr.
AWC/2010021463201

Jason Roberts Coles
AWC/2007010593501

John Allan Jones (Principal)
OS/2005001398602

John Leisen Kreuz (Principal)
AWC/2010021630301

Jonathan Ross Davidson
AWC/2009021029610

Joseph Anthony Devito (Principal)
AWC/2007008882403

KDC Merger Arbitrage Fund, LP
AWC/2007010580901

Louis John Liberatore Sr.
AWC/2008013937902

Marcia Jenay McLemore (Principal)
2008015708701

Marshell Earl Miller
OS/2007009413701

Martha Joyce Masterson
AWC/2008015381801

Michael Aaron Brady
AWC/2010022037401

Michael Alcide Poutre II (Principal)
AWC/2008011759201

Mike Robert Kilpatrick (Principal)
AWC/2007010828201

Murphy & Durieu
AWC/2008013233001

Nathan Joel Brenowitz (Principal)
AWC/2008013450201

Patrick Soungook Kim
AWC/2009018171101

Peggy Sue Harrell
OS/2009019962301

Randall Charles Ciesielski (Principal)
AWC/2009021029608

Richard Joseph Stratman
AWC/2009019569401

Stephen N. Richards
AWC/2009016955001

Steven Craig Vanderhoof (Principal)
AWC/2007011152601

Steven Emery Floyd
2009016586601

Steven M. Oates
AWC/2010021601801

Traci Renae Faulks
2008012897501

William Gregory Slonecker
2007009442501

William Ray Collins Jr
AWC/2008013648001

Alan David Marcus
AWC/2007008239002

Bradley Derek Buchanan
OS/2008015279301

Brookville Capital Partners LLC fka New Castle Financial Services LLC
AWC/2008011678303

Chapin Miller
AWC/2009016664401

Charles Wyman Shirey (Principal)
AWC/2008015696301

Citigroup Global Markets Inc
AWC/2009019551901

CMG Institutional Trading, LLC and Shawn Derrick Baldwin (Principal)
2006006890801

Danica Danialah King
AWC/2009017881901

Daniel Lee Widmer
AWC/2009016698302

David Alan Murrell
AWC/2008015274701

Donald Jay Carrig
AWC/2007008239004)

Dustin E. Polage
OS/2008014784001

Edward D. Jones & Co., L.P.
AWC/2007010537701

Erik Carl Peterson (Principal)
AWC/2008014435301

Erin Alyse Outten
AWC/2009018117901

Frank Gerallimo Manziano
OS/2009016956501

George Ernest Reilly (Principal)
2007007329501

Heidi Jo Baldridge
AWC/2009021005001

Jarem Barry Bingham
AWC/2009017621401

Jason R. Locke
AWC/2009021029606

Jason Thomas Plunkett
AWC/2009021029605

John William Pena (Principal)
OS/2007010533701

Joshua T. Thatcher (Principal)
AWC/2009018404901

Kenneth Francis Jewell
AWC/2009017425001

Leo Timothy Buggy (Principal)
OS/2008016455801

Marissa Miranda McDermott (Supervisor)
AWC/2009017349601

Mark Andrew Jamgochian
AWC/2009018304601

Marshalle Adine Wright
AWC/2009017320301

Mathew Valente
AWC/2009021029604

Michael Frederick Siegel
C05020055

Michael Wayne Beardsley (Principal)
AWC/2009017653801

Portales Partners, LLC
AWC/2009016184701

Quinton Jeffries-Hernandez
2008015002801

Raymond James Financial Services, Inc.
AWC/2007010730701)

Rebecca Ann Kortman
AWC/2009016790401

Richard Michael Bowers (Principal)
2006003916901

Robert Michael Marcus
AWC/2007008239003

Robert Norman Gest Jr. (Supervisor)
OS/2007011348301

Samuel Kenneth Johnson
AWC/2009017292301

Stephen Alan Jaffe
AWC/2009018230901

Stephen Denton
AWC/2009021029607

Susan Magourik
2008014644201

Thomas George Fullerton (Supervisor)
AWC/2007011920701/2009018009501

Allan J. Satterfield
OS/2005001398602

Andres Barcenas Jr.
AWC/2008014940401)

Arthur Albert Halleen
OS/2008014611101

Baron Capital, Inc.
AWC/2009016315201

Blaine Carter Davis
AWC/2009016750801

Charles Edward O’Hara IV (Principal)
AWC/2010021348701

Cheryl Ann Daniel
AWC/2008013810201

David Laifer
OS/2007010941701

Denver Arlene Kalkofen
OS/2008015168701

Douglas Kyle Haas
2007011016301

E*Trade Clearing LLC
AWC/2007009471101

E*Trade Securities LLC
AWC/2007009471102

Edward William Overdyke
AWC/2008014701201

Eric Spencer Cott (Supervisor)
AWC/2009021029701

Greg Scott Schaefer (Principal)
2008012034701

Harold Lee Glover Jr. (
AWC/2008015254101

Investscape, Inc. and Richard Michael Lim (Principal)
AWC/2008011737101

James Michael Porrazzo
2007009436401

Jason K. Bronsky
AWC/2010021551101

Jill Meredith Swisher
AWC/2009021029603

John Paul Coen (Principal)
AWC/2008016448101

Kenia Bailey
AWC/2008016247401

Kevin John McPhee
AWC/2009016763601

Kristen Kimberly Leu
AWC/2009018495001

Lori Elizabeth Simpson
AWC/2009017046701

Luis Arguelles (Principal)
2009016608201

Mark Steven Gardner (Principal)
AWC/2008015914301

Marsco Investment Corporation and Mark E. Kadison (Principal)
AWC2009016078101

Mary Alice Siver-Walters
AWC/2009017915701

Matthew James Ferber Sr.
AWC/2009017295301

Nathan Eugene Calhoun
AWC/2009018652501

Nerissa Threatt (nka Nerissa Berry)
AWC/2009017840601

Noble Bradford Trenham (Principal)
2007007377801

Noor Siraj Amirali
AWC/2008014608801

Richard Aaron Paul
AWC/2008013523101

Richard Elmer Gilbert (Principal)
AWC/2008014574101

Robert Edward Groux Sr.
AWC/2008012755301

Robert Martin Martinez
AWC/2009018362902

Ryan Nicholas Shubin
AWC/2009016597401

Stephen A. Hancock
AWC/2009020044301

William Blaze Krusheski (Principal)
AWC/2008011640601

Brookstone Securities, Inc.
AWC/2008011675701

Bryan David Budvitis
2008016013501

Colleen Marie McMahon-Hill
2008016040401

Conrad Michael Lawrence
OS/2009019042201

Donald Edwin Derieg
AWC/2007009070901

EDI Financial, Inc.
AWC/2009016266601

EKN Financial Services Inc.
2005002259501

Garden State Securities, Inc.
AWC/2008011696501

Gregory Ray
AWC/2008016200501

James Harold Opheim
AWC/2009018820201

Jennifer Evelyn Cheeseman
AWC/2009017334901

Jerry Perlman
AWC/2008011707002

Joel Barrett
2008014006701

John Andrew Polychronis
2009018386601

John Roy Boyer
AWC/2008016202501

Joseph Arthur Bailey
AWC/2006004466102

Juan Carlos Montanez-Gonzalez
AWC/2008016449501

Kevin Michael John O’Connor (Principal)
AWC/2007011308803

Louis Salerno
2008015360301

Mark McEwen (Principal)
2008014940601

Marvin J. Tick
AWC/2008015322101

Michael Patrick Maser
AWC/2009017001301

Michael Phillip Dunham (Principal)
AWC/2008016130001

Paul Arnold Nilssen (Principal)
AWC/2007011308802

PlanMember Securities Corporation
AWC/2009016589701

Ralph Charles Johnson (Principal)
AWC/2008013469901

Robert Franklin Hockensmith Jr.
OS/2008013190801

Ronald Douglas Rogers
AWC/2008014061001

Scott Anthony Harwell (Supervisor)
AWC/2008014617801

Shawn Patrick Casuccio
2008015240601

Stephen Paul Krauss
AWC/2009017313901

Tiffany Leigh Zachary
AWC/2008015839101

Victor Manuel Olivo Jr.
2009017290101

Wall Street Money Center Corp.
AWC/2008011725601

Walter Allen Ellis (Principal)
2007007873101

A.B. Watley Direct, Inc.
OS/2005001121401

Alexander Dobric
OS/2009016953101

Alvin Charles Ramsey
AWC/2008015421501

Andrew Mark Ruby
AWC/2009017832001

Ariel Pena
AWC/2009018511001

Christopher William Shanahan
AWC/2008014404801

Daniel Glenn Carlen (Principal)
AWC/2009016529101

Daniel Walsh
AWC/2009021029602

Darrell Steven Current
AWC/2008012421501

David Bigelow Crocker
OS/2007011151502

Dedric Hillery Gill III
AWC/2009017234001

Douglas Seth Land
AWC/2008014999101

Harold Sheldon Minsky
AWC/2007010287101

Henry Thomas Goode II
AWC/2008015747801

Jason Allen Groth
AWC/2007007981002

Jerome Joseph Stellick
AWC/2008012196501

Jose Cecilio DeCastro
AWC/2008013962101

Kyle Patrick MacDonald
OS/2009018375901

M. B. Schreiber (Principal)
AWC/2007010982301

Maria-Ysabelle Marinas Tiongson
AWC/2009018202201

Mark Francis Harper
2007011333401

Martin David Batstone
AWC/2007007981001

Michael John Rukujzo (Principal)
AWC/2007009609202

Mission Securities Corporation and Craig Michael Biddick (Principal)
2006003738501

NAME DELETED PER BROKEANDBROKER.COM
AWC/2009020780101

Natasha Michelle Kuykendall
AWC/2008013065301

Register Financial Associates, Inc.and George Robert Register (Principal)
OS/2007011496203

Richard Alan Englander
AWC/2007008882401

Richard Albert Seefried (Principal)
OS/2007008443101

Rob William Friemoth Jr.
AWC/2007010328201

Roslyn E. Bixby
AWC/2009016572701

Samuel Madigan Pierce
AWC/2008015405101

Steven Vincent Donato
AWC/2009021029601

William Edward Herlihy (Principal)
AWC/2008013490901

William Frederick Brahe Jr.
2008014231001

Benjamin Yost White
AWC/2008016114801

Bentley-Lawrence Securities, Inc. and Richard Lawrence Coskey (Principal)
OS/2007011333401

Daryl Gene Bank (Principal) and Gregory Dean Bodoh
OS/2008012955301)

David Warren Polifroni Sr.
AWC/2006007102501

Denis William Kraemer Jr.
2006006192901

Douglas Richard Smith (Principal)
OS/2008012211601

Gregory Gerard Meyer
AWC/2008016397801

Healthcare Community Securities Corporation
AWC/2008011702001

Heriberto Americo Artiga Sr.
AWC/2009017673201

Horus River Brown
OS/2008013380501

Jennifer Birrell Young
2008012237901

Joseph Peter Stephens
AWC/2007011815501

Kenneth Ray Prevett Jr.
AWC/2008014399401

Kirlin Securities, Inc., Andrew Joseph Israel (Principal) and Anthony Joseph Kirincic (Principal)
EAF0400300001

Laura Anne Potts
AWC/2009018291401

Leonard Charles Brown
OS/2007009081801

Merrill Lynch, Pierce, Fenner & Smith Incorporated
AWC/2008012391401

Michael Scott Heslep
AWC/2008011629602

Ramius Securities LLC
AWC/2007010580701

Robert Paul Aamodt (Principal)
AWC/2009016700301

Rodney Jack Bradley
AWC/2009017114101

Roger Odell Hudspeth II
OS/2008012955302

Ryan Matthew Nestor
OS/2008012540201)

Sherman Marc Bloom
AWC/2009018368401

Stephen George Condos and Chuck A. Roberts
AWC/2007010398801

Steven Howard Delott
AWC/2007011393901

Valores Finamex International, Inc. and Vincent Anthony Buchanan (Principal)
AWC/2009016196001

Victor Craig Campbell (Principal)
AWC/2009019015201

William Frederick Nord
AWC/2008012826101

William Paul Pecoriello
AWC/2007011193302

William Robert Colston (Principal)
AWC/2008012057401

A.B.Watley Direct, Inc.
OS/2005003391301

Andrew Kevin O’Fee
OS/2008012052401

Arthur Braden Diggs Jr.
AWC/2008013992501

Brockington Securities, Inc.
AWC/2008011660901

Casimir Capital, L.P.
AWC/2006006836301

Charles Jesse Duff
AWC/2008011678301

Chi Tu Chow
AWC/2007009453201

E*Trade Securities LLC
AWC/2008011727801

Edgar Davis Mock III
AWC/2009016258201

Fifth Third Securities, Inc.
AWC/2008011703401

Foreside Distribution Services, L.P.
AWC/2008011737901

Gary Ira Purcell
AWC/2009020546301

George Albert Montes
AWC/2005000346105

Jeffrey Alan Gielau
AWC/2009016698301

Jeffrey Allen Davis
OS/2008015704401

Jennifer M. Davis
OS/2007007754801

John Brian Busacca III
E072005017201

Jose Ricardo Santillan
AWC/2008016181501

Karen L. Fence
AWC/2008014020401

Kevin Joseph Sylla
AWC/2007010889201

Leonard Kahn
AWC/2008013363601

Linda Marie Allen
AWC/2007010771801

Manuel Peter Asensio
CAF20030067

Melissa Dawn Curry
AWC/2009017865401

Melvin Lee Peterson
AWC/2005000346106

Michael D. Rhodes
AWC/2009018521601

Neil Rolla Harrison
AWC/2008015617301

Nomura Securities International, Inc.
AWC/2007011877901

Rani Tarek Jarkas
OS/2005003052001

Raymond James & Associates, Inc.
AWC/2008015756901

Stephen Alan Hackett
2008013690201

Steven William Sauer
AWC/2008014156001

Susan Mary Pelloth
AWC/2009017537301

Thomas James Sinclair
AWC/2008016123101

Alvarez & Marsal Securities, LLC
AWC/2008011639901

Aurora Capital LLC
AWC/2008011646701

Bradley Adam Sustrin (Supervisor)
AWC/2009016760902

Bruce Edward Hammonds
OS/2008013990501

Christopher Michael Minor
AWC/2008012469101

Cristobal L. Garcia
2008016441101

David Steven Forman
OS/2007007989901

Dennis Ray Thompson Sr. (Principal) and Dennis Ray Thompson Jr.
AWC/2005001398604/ #2005001398603

Dome Securities Corp.
AWC/2009016131601

Ema Bekirovik
2008013684301

Eric Lowell Small (Principal)
AWC/2007007345601

George Ernest Reilly (Principal)
2006006518904

Gina Marie Crawford Sims
2008012948801

Grant Thomas Weiss
AWC/2008013690301

Hilda Asencio
2008014573101

Hudson Etienne Sr
AWC/2008015957201

Investment Distributors, Inc.
AWC/2009016117101

James Jonathon Fraser Buchanan
2008013001701

James Thomas Farrell III
AWC/2008014827101

Jason David Fox
AWC/2009017154401

Jeannette J. Martens
AWC/2008015946101

John Bradley Carter (Principal)
2008012796701

John Richard Noble
AWC/2008012721301

Kathryn Lorraine Ellis
AWC/2007007345602

Leslie Klaserner Robey
AWC/2008014692901

Max Jack Safdie (Principal)
OS/2007009440601

Michael James Jorgensen (Principal)
2008014433601

Michael Thomas DiPuppo (Supervisor) and Robert Michael DiPuppo
AWC/2008013742101

Name Redacted by RRBDLAW
2008012102601

Paul Ernest Yankie (Principal)
AWC/2008012237201

Regal Securities, Inc.
AWC/2007007344801

Richard Louis Galterio (Principal)
AWC/2008011736102

Richard Walter Bohlinger Jr.
AWC/2008014832801

Robin Emily Katz
AWC/2009019057101

Rogelio A. Villa Jr.
AWC/2009019029201

Sally Jean Gray
2008013179601

Sandra Loretta Guay
AWC/2008013937601

Stoever, Glass & Company, Inc. and Michael Francis Carrigg (Principal)
AWC/2007007247301

Thomas H. Collop Jr.
AWC/2008016441801

Westrock Advisors, Inc.
AWC/2007008162201

William Robert Young
AWC/2008014271201

Willis Scudder Georgia III
2008014358201

Benjamin Gideon Geller
AWC/2007011920901

Brian Havens
AWC/2008015121101

Carlos Daniel Rivera
2007010600101

Daphne Michelle Easley
2008013474501

David Alan Tucker
AWC/2008014583501

David Nelson Cherry
AWC/2009016709003

J.J.B. Hilliard,W.L. Lyons, LLC
AWC/2007009463801

Jeffrey Paul Dungan
AWC/2008015824001

Jessie Everett Airington
AWC/2008015428301

Jesup & Lamont Securities Corp.
OS/2007007255603

John Michael Campbell
AWC/2008011565202

Justin C. Sidaway
2008013305801

Kevin Patrick Brennan
AWC/2007007358604

Laidlaw & Company (UK) LTD.
AWC/2007007315501

Lawrence Lathan Powell Jr.
AWC/2008012476501

Michael Gerald Delano III
AWC/2008013543001

Michael Lewis Axel
AWC/2007011308801

Ralph Matthew Shino
E3A2005003702

Rene Francisco Palacios
2007011375301

Richard John Iavecchia
2007009425301

Scott Ryan Tischler
2007008370701

Shaniqua N.White
OS/2008015003001

Shellie Lin Newton
AWC/2008014143701

Stuart David Baron
AWC/2008012408101

Thailia Alisa Tucker
AWC/2007011330602

TIAA-CREF Individual & Institutional Services, LLC
AWC/2007011343301

Timothy E. Nenoff
AWC/2008012437501

Tracy L. Clifford
AWC/2008015218401

Yajaira Santos
AWC/2008015473301