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.

Alan David Goddard Jr.
AWC/2009016157802

Alan Stuart Pattee
AWC/2010023232101

Alfred Rodriguez
AWC/2010025449301

Alternative Wealth Strategies, Inc.
AWC/2010021058401

Amir Aqeel
OS/2008012703401

Brett Michael Plew
AWC/2009018269501

Corinne A. Perrone
AWC/2010024718001

Danny Wayne Thomason
AWC/2010024090501

David Alan Schams
OS/2009018293201

Dawson James Securities, Inc, Albert James Poliak (Principal) and Douglas Fulton Kaiser (Principal)
OS/2009016158501

Edgemont Capital Partners, L.P.
AWC/2011025721201

Eric Lawrence Bloom (Principal)
AWC/2009016157801

Evan Taber
2010021196801

Hernan Charry Jr. aka Herman Charry (Principal)
AWC/2010022715607

Howard Sang Lee
AWC/2009019154301

Institutional Capital Management, Inc. and Daniel Lee Ritz Jr.(Principal)
AWC/2010022679801

Internet Securities and Michael Wayne Beardsley (Principal)
AWC/2009020930302

Isaiah Solomon
AWC/2009020265401

James Carl Gaul (Principal)
AWC/2010021058402

James Malcolm Reardon
AWC/2010021058404

Jared Robert Lynch
AWC/2011029347801

Jason Sean Harrison
AWC/2009018648901

Jeffrey Alan Smith (Principal)
AWC/2010022715605

Jeffrey Rachlin (Principal)
AWC/2010021058403

John Daniel Abbruzzese
AWC/2010021144501

John Maraldi Grover III
AWC/2010022180101

Joseph John Giuliano (Principal)
AWC/2009019382101

Kenneth William Gneuhs (Principal)
AWC/2010022715606

Raymond Thomas Blunk
OS/2007008935009

Richard Scott From aka Richard Scott Winther (Principal)
AWC/2010021116001

Ronak C. Patel
2010024540401

Ronald John Garabed Sr.
AWC/2010024175501

Ronald William Cheney
AWC/2010022535201

Scott Andreu Roges
AWC/2010024280601

Scott David McElhenny (Principal)
AWC/2009020124301

Stephen Michael Mazurek Jr.
AWC/2010021749202

Steven Gayne Winters (Principal)
OS/2009019911701

Steven Mark Peaslee (Principal)
OS/2009020134201

Thomas William Scanlon
AWC/2010024313001

v
AWC/2010021236201

William Alexis Cronin Jr.(Principal)
AWC/2011025885801

Brian Wade Boppre (Principal)
AWC/2009019125904

Brookstone Securities, Inc.,David William Locy (Principal),Mark Mather Mercier (Principal), and Antony Lee Turbeville (Principal)
OS/2009017275301

Cheryl Ann McMahon
AWC/2011027268801

Christopher James Neri
AWC/2009021029624

Corey Vernon Darling
AWC/2009020307101

Daniel Joseph Voccia II (Principal)
AWC/2009017195203

Daniel Lee Puplava (Principal)
AWC/2007010991901

Dennis Lee Grossman (Principal)
OS/2008011672301

Donald Anthony Duarte Jr.
2009018133802

Edgar Rhodes Hauser Jr
AWC/2010023178101

Eric Adam Axel
OS/2007010889202

Euro Pacific Capital, Inc.
AWC/2009016300801

Frank A. Gutta aka Fazel A. Gutta
AWC/2009017447501

Gavin Michael Wilson
AWC/2011027249601

Harmik Sarian
AWC/2010022545001

J.P. Turner & Company, LLC and James Edward McGrath (Principal)
OS/2009016612701

Jason Pedigo
AWC/2010025512501

Joanne Lynn Cramer (Principal)
AWC/2009020729101

John William Grant (Principal)
AWC/2011025940601

Kevin Francis Garvey (Principal)
OS/2009018183501

Kristen Anne Jacques
AWC/2010024077701

Krittibas Ray
AWC/2010023781701

Legent Clearing LLC, dba Legent Clearing
AWC/2008013543501

Michael Ray Howard (Principal)
OS/2008012282901

Nathan Eugene Calhoun
AWC/2011026223401

Nathaniel Aaron Finkin
AWC/2009020132901

Paul Leon White II
OS/2009017798201

Ralph Howly Phillips (Principal)
AWC/2009017746801

Richard Bert Howes
AWC/2011026308301

Richard Edwin Lenhardt Jr.
AWC/2009019388001

Scott Stafford McLean (Principal)
AWC/2010024607501

Steven Krasner aka Steven Zarkhin
AWC/2009019995901

Steven Lenard Jessup Jr.
AWC/2009021029623

Timothy Clarke Higgins
AWC/2010024338201

Tracey McInchak
AWC/2010022690601

Aaron Joseph Coculo
AWC/2011026065501

Andrew Joseph Longoria
2009019969101

Birkelbach Investment Securities, Inc. and Carl Max Birkelbach (Principal)
OS/2009016354101

Brookstone Securities, Inc.
AWC/2009016158302

Bryan Lee Addington
2010021774001

Capital Financial Services, Inc.
AWC/2009019125903

CBG Financial Group, Inc.
AWC/2010021106701

Christopher P. Smith
AWC/2009019838802

David Do-Yong Lee
AWC/2010023019701

Diana Y. Tao
AWC/2011027996201

Edward Lee Pinney Jr.
AWC/2010024882501

Felipe J. Lorie
2009019867201

Frank Bianculli
AWC/2009016911202

Frank Porporino Jr.
AWC/2010022072601

Frost Brokerage Services, Inc.
AWC/2008014620601

Gordon Michael Budreau
AWC/2010021222101

Jaime Campos Lopez
AWC/2009018640401

Jeremy Nathan Swank (Principal)
AWC/2010021615501

Jerry William Burch (Principal)
2005000324301

Jo Ann Marie Head
2009017530101

Karl Henry Rodriguez (Supervisor)
AWC/2011026130701

Kellyann Fortney
OS/2009020645901

Lonnie Lee Dusenberry
AWC/2010022516401

Marcus Patrick Camp (Principal)
AWC/2009019276101

Markus Beat Pletscher
AWC/2009019969801

Michelle Yvette Mangum
AWC/2009017685301

Miguel Alex Rosas
AWC/2010024396001

NAME REDACTED
AWC/2010022728801

Patrick Francis Harte Jr. (Principal)
2006004666601

Patrick Thomas Walker (Principal)
AWC/2008011724302

Ronald Marvin
AWC/2010021174501

Roseann Bunshaft
AWC/2010024803101

Ruben Velez
AWC/2010025242801

Stephen Christopher Montgomery (Principal)
AWC/2009021029707

Steve R. Caudle
AWC/2010022881701

Vikas Goel
AWC/2009020539701

William James Lasko (Principal)
OS/2009020174801

Yaman Huseyin Sencan (Principal)
AWC/2009016323801

Andrew George Spotts
2009018661801

Ayre Investments, Inc. and Timothy Tilton Ayre (Principal)
OS/2009016252601

Brian Scott Brewer (Principal)
OS/2005002244102

Carmela Lina Moro Knieriem
AWC/2010024724901

Charles Caputo Jr.
OS/2009016885101

Colleen Anne Averill
AWC/2009018941502

David John Klecka Jr. (Principal)
OS/2010021189601

David Matthew Chase
AWC/2010021866301

Devin Raj Anand
2009017302001

E1 Asset Management, Inc.
AWC/2010021038901

Frank Patrick O’Lear Jr. (Supervisor)
AWC/2010022872001

H. Beck, Inc.
AWC/2009016150001

James Leo Carroll
AWC/2009016911201

Jason Forsythe Jacobs
AWC/2010022262601

Jeffrey L. Larson
OS/2010021928801

John Rolland Haeffele
AWC/2009019590501

John Thomas Pappas
AWC/2010021962101

Julia Merritt Cameron
AWC/2010023339801

Marilyn Geen Martindell
AWC/2009020518901

Matthew Crump
AWC/2011028107401

Matthew Sunghoon Kim
AWC/2010023500401

Merrill Lynch, Pierce, Fenner & Smith, Incorporated
AWC/2009020383001

Michael Braden Golembiesky
AWC/2011026436301

Nanes, Delorme Capital Management LLC
AWC/2009016349601

Nicholas C. Dito
AWC/2009020432101

OC Securities, Inc.
AWC/2010021779801

Richard Barry Holody
AWC/2010022152201

Richard Harold Byerly
OS/2009017492201

Scott J. Baklenko
AWC/2009019500401

Scott Roy Pierson
AWC/2009020572801

Searle & Co. and Robert Southworth Searle (Principal)
AWC/2009016262101

Terry Tin Sing Tang (Principal)
AWC/2010021897401

Thomas Michael Aretz
2009017764301

Timothy Charles Cross
AWC/2010021640302

Veritrust Financial, LLC
AWC/2008011640802

Vision Securities Inc. and Daniel James Gallagher
2008011701203

Aaron Lee Boehm (Supervisor)
AWC/2010022029101

Alan English Smith (Principal)
2008014961701

Colby R. Swartz
OS/2008016187201

David Lee Cheviron (Principal)
AWC/2010022831701

Dennis Osborn Beadle
AWC/2009021029706

Deutsche Bank Securities Inc. and Adrienne Barrett Tubridy (Supervisor)
AWC/2008013864402

Indiana Merchant Banking and Brokerage Co., Inc.
AWC/2009016067901

Jacen Darrel Work (Principal)
AWC/2009021029621

James Spottswood Gibson
AWC/2009019827801

Jared Austin Poe
AWC/2010021867401

John Edward Good Jr.
AWC/2010023094301

John Paul Mondello
AWC/2009019573901

Joshua Albert Galiani
2009017619001

Larry Richard Gregory
AWC/2011026406001

Leroy Henry Paris II (Principal)
AWC/2009019070102

LPL Financial LLC
AWC/2010021545201

Midtown Partners & Co., LLC
OS/2008012242901

Miguel Angel Murillo
OS/2008014728701

NAME REDACTED
OS/2009018050201

Paul Tao Jan
AWC/2010021640701

Priscilla G. Sabado
AWC/2010022394901

Richard A. Garaventa
OS/2009017072301

Robert Laurence Cochran
AWC/2009018883101

Sammie Bernard Taylor
AWC/2009018240401

Scott Thomas Brandt
AWC/2009017603801

Timothy D. Camarillo
OS/2010023612301

Trustmont Financial Group, Inc. and Peter Daniel Dochinez (Principal)
AWC/2009016311801

Alfonso Fiero (Principal)
2008015329001

Andrew Joseph Franz
AWC/2010025073601

Bart Chad Christensen
AWC/2009018990002

Brian Daniel Parker (Principal)
AWC/2008015729701

Brookstone Securities, Inc. and David William Locy (Principal)
AWC/2009019837303

Brown Associates, Inc.
AWC/2009016207701

Bryan C. McCabe
AWC/2009021029617

Casey W. Smith
AWC/2009018573101

Catherine Laura Baker
AWC/2009021029618

Dane Raymond Henry
AWC/2009018021801

Dareth Amber Martin
OS/2009019349301

David Allen Naefke
AWC/2009016728501

David Lewis Tieger
AWC/2009018325701

Donna Marie Miller
2010021623401

Edward Philip Gelb (Principal)
AWC/2009019466601

Frank J. Scarcello III
2010021368801

Frederick Xavier Veile III
AWC/2009020153401

Garden State Securities, Inc. and Kevin John DeRosa (Principal)
AWC/2009018819201

Grant Williams L.P.
AWC/2009016225201

John Stultz Poland
AWC/2010023613401

Jose Luis Vinas
2009017198901

Kenneth Richard Campbell III (Principal)
AWC/2010024997001

Kevin Todd Mehlman
AWC/2009018297901

Kimberlie Munsie Clark (Principal)
AWC/2010025003701

Lauren Tricia Cyrus (Principal)
AWC/2009017399501

Lien Thi Huynh
AWC/2009018467001

Manuel Jose Leon Jr. (Principal)
AWC/2010024861802

Maritza Del Carmen Cruz
AWC/2009019865801

Matthew John Iskric
AWC/2009017857501

Michael Wilson Adams (Principal)
AWC/2010023818301

National Securities Corporation and Matthew G. Portes (Principal)
AWC/2009019068201

Nicole R. Palumbo
AWC/2010023810201

Patrick Shawn Kennedy (Supervisor)
AWC/2009018671501

Prakash Devendranath Simha
AWC/2009020863401

Prestige Financial Center, Inc. and Lawrence Gary Kirshbaum (Principal)
AWC/2009016405902

Ryan Jeffrey Kirkpatrick
2006004666601

Salvatore Demeo Jr.
2009018139301

Sammy Gail Page
AWC/2011027424501

Searle & Co. and Robert Southworth Searle (Principal)
AWC/2010022352301

Shaun Michael Donahue
AWC/2009021029619

Stephen James Nicklas
AWC/2010025194301

Thomas Michael Kinser
2009017466201

Timothy Martin Foster
AWC/2008015078602

Tina Marie Newman (Principal)
2008011719501

UBS Securities LLC
AWC/2009018057401

Wendy Rice Stern
AWC/2009018870401

Abhijit Chakrabortti
AWC/2009017892301

Ameriprise Financial Services, Inc.
AWC/2008013648002

Brean Murray Carret & Co., LLC
AWC/2009016262303

Canaccord Genuity, Inc. fka Canaccord Adams, Inc.
AWC/2009016251601

Carla Wendy Cooper
AWC/2010023825201

Charles Edward Severt Jr.
2010023062101

Cholia Hicks
AWC/2010022212301

Daniel Scott Sheedy
OS/2008015180901

David Alan Kepes
AWC/2009019009101

David Elijah McKee (Principal)
AWC/2008011640801

Dean Irwin Cronister (Principal)
AWC/2009016709019

Edward R. Von Lumm IV
AWC/2010024607801

Eric Lichtenstein (Principal)
AWC/2009018339703

Francis Paul Anton II
AWC/2009018062601

Freddy A. Medina
2009016551301

Geoffrey Richards Securities Corp.
AWC/2009015971101

Holly Ann Gunnette
OS/2006004943101

Jeffrey Nicholas Lombardi (Principalo)
AWC/2010023537101

John Brady Benson Sr.
AWC/2009019322201

Jon Tadd Roberts
AWC/2009018509601

Joseph Stephen Orendorff
2009016698303

Matthew Mark Rairigh
AWC/2009018240001

Michael Douglas Larsen
2009018143701

Michael Wayne Evans
OS/2009017222501

Monex Securities, Inc.
AWC/2008014078801

Montford Sater Will (Principal)
AWC/2009018334601

Morgan Stanley & Co. Incorporated
AWC/2009017072302

NFP Securities, Inc.
AWC/2007011393902

Oscar Tomas Ortiz III
2009019460001

Philip Kenneth Mahler (Principal)
AWC/2009017244601

Portfolio Advisors Alliance, Inc. and Marcelle Long (Principal)
OS/2008011640602

Robert Joseph Oftring (Principal)
AWC/2009019996501

Scott Davis Johnson (Princiipal)
AWC/2009018077101

Shanoa Adrianne Rose Akins
AWC/2011027093001

Uzo Omar Chima (Principal)
AWC/2006007105101

Brewer Financial Services, LLC , Adam Gary Erickson (Principal) and Steven John Brewer
AWC/2010023252701

Bulltick, LLC, Javier Guerra (Principal) and Victor Manuel Robles (Principal)
AWC/2006006958101

Carl Henry Blanchard
AWC/2010021436501

Cesar Madrigal
2009019322001

Charles Hyman Brown (Principal)
AWC/2008011707003

Christian Genitrini
AWC/2010022859701

Dale Allen Eppler
AWC/2009018149601

Denise Lynn Gizankis
AWC/2010021840402

Devon Coulin McLean
AWC/2009016806001

Dinesh Devraj Suchak Jr.
AWC/2010021600601

Douglas Daniel Ivan (Principal)
AWC/2010022805201

Edward Charles Bartlett III
AWC/2009019969201

Eric Langholtz
AWC/2009017282801

Eric Renard Garrison (Principal)
AWC/2009020931201

First Dallas Securities Incorporated
AWC/2009016267801

Firstrade Securities Inc.
AWC/2009016640101

Gary Scot Cohen (Principal)
AWC/2009020792101

Grand Capital Corp. and Eliezer Gross Homnick (Principal)
AWC/2007008158203

Irving Louis Adler
AWC/2010021436801

John Godfried Croes Jr.
AWC/2009017291201

Jon David Kurzmann
AWC/2009018783801

Jose Antonio Rivera
AWC/2010022031601

Joshua Daniel Gould
AWC/2010024945501

Lloyd Kramer (Principal)
AWC/2008011707004

Mark Hermann Pollack
AWC/2009019904201

Michael Jon Davies
OS/2009020069601

Michael Paul Dickamore
2009017212301

Michael Steven Jacobson
AWC/2009017282401

Newbridge Securities Corporation
AWC/2009016159401

Paul Ricky Mata (Principal)
AWC/2009017465601

Penena Karpel McRoberts
AWC/2009017606101

Puritan Securities, Inc. nka First Union Securities, Inc. and Nathan Perry Lapkin (Principal)
AWC/2009017339801

Pyramid Financial Corp. and John Hsu a/k/a Juan Hsu (Principal)
2008011600501

Reba Rose Cope
2009020243101

Registered Rep
AWC/2010021348101

Robin Bruce Davidson (Principal)
OS/2008016063601

Robin Fran Bush (Principal)
AWC/2009016159402

Robin Fran Bush (Principal)
AWC/2009016159402

Scott Jeffrey Adler
AWC/2010021436901

Thomas W. McMahon
AWC/2010024706201

TradeStation Securities, Inc.
AWC/2010023770401

UVEST Financial Services Group, Inc.
AWC/2008012048601

Weston International Capital Markets LLC
AWC/2009016198601

William Thomas Hernandez,
AWC/2010025260501

Alvin Waino Gebhart Jr. (Principal) and Donna Traina Gebhart (Principal)
C0220020057

Anthony Edward Guaimano (Principal0
AWC/2008012444205

Charles Joseph Fiorucci
AWC/2010022424201)

Christopher Malchin
AWC/2010021389601

Courtlandt Gerdes Miller (Principal)
OS/2008013183601

DaLean Annette Rials (Supervisor)
AWC/2009019405601

Daniel A. Contreras (Principal)
AWC/2009018398701

Earnest Flowers III
OS/2009016956601

Gifford Keith Jordon
AWC/2010024417101

Hyon Chu Kang
AWC/2010022258701

James Gabor Doering (Principal)
AWC/2009018661401

Janet A. McDermott (Supervisor)
AWC/2010022100601

Jennifer J. Guelinas
AWC/2010025098101

John Milton Rose
AWC/2010022089101

Kevin Leslie Moyer (Principal)
AWC/2009020137301

Linda Louise Johnson
AWC/2010021494801

Michael William Keleher
OS/2008013229701

Mission Securities Corporation and Craig Michael Biddick (Principal)
2006003738501

National Securities Corporation
OS/2008011571801

Ray Joseph Starner
AWC/2010022383001

Richard Mark McKinnon
AWC/

Robert Lee Keys (Principal)
OS/2009017125101

Sanjeev Jayant Shah
2009017788201

Susan Mae Karn
AWC/2010022067901

William Robert Whitehurst
AWC/2010021401001

Woodrock Securities, L.P.
AWC/2009016279401

Workman Securities Corporation
AWC/2009018818401

Canaccord Genuity Inc. fka Canaccord Adams, Inc.
AWC/2008012243901

Christina Marie Neumeyer
AWC/2009018415201

Christine Mary Ryerson (Principal)
AWC/2009020567801

Craig Harold Schwarten
AWC/2008012927502

Craig Michael Bettencourt
AWC/2010023336301

Dahlman Rose & Company, LLC
AWC/2009016138801

Dane Carl Sternecker
AWC/2009016781201

David Michael Brown
AWC/2009016590801

David Wayne Bombard
AWC/2009019977001

Donna Marlene DiMaggio
AWC/2009018193801

Dustin Kent Jefferies (Principal)
AWC/2009018919701

Edward Gerald Spinelli
AWC/2009018288301

Edward Howard Schrufer Jr. (Principal)
AWC/2008013198902

Eric Damien Kallies
AWC/2009016654401

First Clearing, LLC
AWC/2008012791101

First New York Securities L.L.C.
AWC/2006005271003

James Robert Riolo (Principal)
AWC/2010022499001

Joe Evan Still and John Richard Still
OS/2008014358101

John Leslie White
AWC/2009016876801

Jordan Anne Arnold
AWC/2009018327001

Joseph Jeffrey Mattia (Supervisor)
OS/2008016120501

Kyle Egress
AWC/2009021029705

Lillian S. Scales
AWC/2010023669001

LPL Financia Corporation nka LPL Financial LLC
AWC/2009016922702

LPL Financial Corporation nka LPL Financial LLC
AWC/2009016570001

M. Paul De Vietien
2006007544401

NAME REDACTED (Supervisor)
AWC/2008014144201

Puritan Securities Inc. aka First Union Securities, Inc.
AWC/2008012927503

Robert John Griffin
AWC/2009020328201

Roger Craig Fulton (Principal)
AWC/2009018041101

Stanley Jerome Keyes (Principal)
OS/2009017605101

Stuart Phillip Miller
AWC/2009018219101

Teri Sue Shepherd (Principal)
AWC/2009017136101

Vincent Michael Bruno (Principal)
AWC/2009018771701

William Echeverri
AWC/2009016948201

Andrew Gregory McGrath
AWC/2009018123301

Andy Young Lee
AWC/2008015985601

Benjamin Harry Cohen
AWC/2009017087301

Bobb Arthur Meckenstock (Principal)
OS/2008011612602

Bradley John Delp
AWC/2007008935005

Buka Uzoma Nwigwe aka Chukwuebuka Nwigwe
#2009019332001

Carlos C. Sarmiento Jr.
OS/2009019888601

Carson Jay Woods
AWC/2009021029616

Chapin, Davis
AWC/2010021065701

Christopher Gregory Gibas (Principal)
AWC/2005002244703

Clark Alexander Reinhard
AWC/2010021577101

Cynthia Ann Bulinski
AWC/2005002244704

Dallas Ray Seagraves II (Principal)
2007009181101

Daniel Michael Doderer
AWC/2009020824101

David Scott Isolano (Principal)
OS/2007007253803

Dennis O’Neal Blackstone (Principal)
2009020488001/AWC

Derek Matthew Christenson
2009019406701

Dorval Knight McLaughlin Jr.(Principal)
AWC/2008016319801

Douglas Christopher Green (Principal)
2008012444201

Francis Thomas Duffy (Principal)
AWC/2008013287601

Gregory James Buchholz
AWC/2010023931401

Hansel Clarence Cua Lee
2008015280701

Jack Thomas Kennebeck (Principal)
AWC/2009019042001

Jarred A. Milliner
AWC/2010021764801

Jason Leekarl Beckett
AWC/2009016600001

Joshua A. Ellis
AWC/2009016923602

Kim Edward Elverud (Principal)
OS/2008013429301

Laura Jane Leiker (Principal)
AWC/2010022030901

Linda Mary Bakalis Schurr
AWC/2007009073002

Lochlainn Ohaimhirgin
AWC/2007008935006

Louis A. Wright (Principal}
AWC/2007010986202

Mamoru Takeuchi aka Marr Takeuchi
AWC/2009017628301

Mark Peter Erlich
AWC/2008012634701

Martin Dean White Sr. (Principal)
AWC/2008012577601

MBSC Securities Corporation, BNY Mellon Capital Markets LLC and BNY Mellon Securities LLC
AWC/2010021312001

Michael Douglas Hanke
AWC/2009016739701

Michael Rozenbaum
AWC/2009016742001

Patrick Cissne
AWC/2009021029615

Paul Michael Rodak (Principal)
AWC/2007008935003

Peter Joseph Bonnell III (Principal)
AWC/2007009073001

Philip Michael O’Hearn (Principal)
AWC/2010022804601

Pinnacle Financial Group, LLC
AWC/2009015974501

Randall Edgar Robinson II
AWC/2010022635301

Randie Jill Sanford
AWC/2007011320901

Resource Horizons Group LLC
AWC/2009017637201

Richard G. Mailloux Sr.
AWC/2009017337801

Robert A. Hoffmann
2008014739501

Robert Anthony Yacovone (Principal)
AWC/2010021361001

Robert Charles Keane (Principal)
AWC/2007008935004

Ronald George Spomer II
AWC/2009018497601

Thomas Jones Charles Jr.
2008016036901

Timothy Robert Mays
AWC/2009020791701

Todd Randall Ware (Principal)
AWC/2007008935007

UBS Securities LLC
AWC/2010022093601

Andrew Thomas Wrigley
AWC/2009021029614

Antonio Herrero-Rovira (Principal)
2008013833601

Brecek & Young Advisors, Inc.
AWC/2008011574401

Cambridge Legacy Securities, L.L.C. and Tommy Edward Fincher (Principal)
AWC/2009020319001

Chad R. Duncan (Principal)
AWC/2009017755101

CMG Institutional Trading LLC and Shawn Derrick Baldwin (Principal)
2008012026601

Daniel J. Trolaro
AWC/2010021844401

David William Reimers (Principal)
AWC/2010022393501

David William Trende
2007008935010

Edmond Sloan Duvall
AWC/2008015702201

Fidelity Brokerage Services LLC
AWC/2008015470101

George Abbott Berry
AWC/2009017596901

Glendale Securities, Inc.
AWC/2009019747601/20060075263

Janney Montgomery Scott, LLC
AWC/2007009458001

Jenny Quyen Ta (Principal)
AWC/2010021538701

Jesup & Lamont Securities Corp
2009020539501

Joe Michael Kirk
AWC/2009017797201

John Henry Fernandez
AWC/2009019405801

Jupiter Distribution Partners, Inc.
AWC/2009015972701)

Kirk Alan Tessendorf
AWC/2009018272001

Legacy Trading Co., LLC and Mark Alan Uselton (Principal)
2005000879302

Leslie David Kruse
AWC/2009020491201

Lyndall Conway Medearis Jr. (Principal)
AWC/2008014825001

Mahmood Hasan Usmani
AWC/2010022476001

Marilyn Louise Yamanaka
AWC/2009016709018

NAME REDACTED
AWC/2009021029703

NEXT Financial Group, Inc.
AWC/2009016272902

Novin Ghaffari Nikou
OS/2008015095101

Peter Joseph Brandstaetter
AWC/2008014880601

Robert Charles Pollock
AWC/2009019042301

Robert John Zamecki (Principal)
AWC/2009016987401

Sharon Elsene Givens
2008014705101

Stephen Richard Ventura
AWC/2009018522001

Stuart Gregory Burchard (Principal)
OS/2008011656401

Torrey Pines Securities, Inc. and NAME REDACTED (Principal)
AWC/2007011125103

U.S Financial Investments, Inc.
OS/2009016309701

UBS Financial Services Inc.
AWC/2009017976301

Vincent Michael McGuire
OS/2007008239001

Vincent Patrick McCrudden (Principal)
2007008358101

William James McCluskey (Principal)
AWC/2009016262301

Winston John Cutter Jr.
OS/2009017532101

Sammons Securities Company, LLC and Carl Monroe Mook (Principal)
AWC/2009017821401