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.

AOS, Inc. dba TradingBlock
AWC/2009016353501

Aric Ellis Kent
AWC/2011027218201

Bradley John Delp
AWC/2009018233803

Bruce Benjamin Katz
OS/2009018906501

Centrade Securities Corp.
AWC/2009016149901

Cleves Richard Delp (Principal)
AWC/2009018233802

Daryl Eugene Allison (Principal)
AWC/2009017068502

David Vankuren Tolley
AWC/2010022046801

Eytan Nisim Naftali
AWC/2010024522201

First Bermuda Securities (BVI) LTD and Jeffrey Gerald Conyers (Principal)
AWC/2010021124201

Hantz Financial Services, Inc and Bruce Frederick Coleman (Principal)
AWC/2008012747901

James Joseph Ahmann
AWC/2009019041001

Jimmy Mitchel Davidson
AWC/2010024519401

Joyce Ann Kauffmann (Principal)
AWC/2011027218201

MetLife Securities, Inc.
AWC/2010021506001

Michael Adam Lichtenstein
AWC/2009016157803

Michael William Bozora (Principal)
AWC/2009018816501

MML Investors Services, LLC
AWC/2010020873501

Patricia Elizabeth Collantes (Supervisor)
AWC/2008013231504

Phillip Peter Borup (Principal)
OS/2008014385101

Puritan Securities, Inc. later known as First Union Securities, Inc
AWC/201002087520

REDACTED
AWC/2009020797001

Richard Paul Counts
AWC/2010024445201

Robert Allen Pierce (Principal)
AWC/2009020245901

Rod R. Cushing
AWC/2010021662101

Rosalie Hodes Fields
AWC/2008015984201

Shawn David Young
AWC/2011028116701

Toni Leynett Bowen
AWC/2009017068501

TriCor Financial, LLC and Frank Aguilar (Principal)
AWC/2010025513101

Valmark Securities, Inc. and Richard Michael Arceci (Principal)
OS/2009018817601