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.

Stanley Mark Kobin (Principal)
OS/2008011678304

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

Jeffrey David Rosen (Principal)
AWC/2009021029611

April N. Berkholder
AWC/2009021029609

Randall Charles Ciesielski (Principal)
AWC/2009021029608

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

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

Jason R. Locke
AWC/2009021029606

Jason Thomas Plunkett
AWC/2009021029605

Mathew Valente
AWC/2009021029604

Stephen Denton
AWC/2009021029607

Eric Spencer Cott (Supervisor)
AWC/2009021029701

Daniel Walsh
AWC/2009021029602

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

Alvarez & Marsal Securities, LLC
AWC/2008011639901