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Page 4 of 7
SE Ohio Shale & Oriskany Dev - Cert
Signal Lake Management et al - Findings and Order
Signal Lake Management et al - CD-NOIF
Silver Oak Securities Inc - Consent
Tirex Corp - Threshie, John - Consent Order
Swayze, Ashleigh - Consent Order
Stead-Fast Custom Linings LLC - Fine
Stead-Fast Custom Linings LLC - Certification
Discala-Omniview Findings and Order
David Lerner Associates Inc - Consent
Dratel Group Inc - NOIR
Dang, Hai Khoa - Cease and Desist Order
Dratel Group Inc - Revocation Order
Connolly, Arthur - Fine
Doyle, James Ward - Certification
