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Q 350 Ely Quinn Youm - CO
Rejda, Troy - Consent Order
Reddy, Walter B III - Sovereign - Stip
R & R Wealth Strategies LLC - Stipulation
RNT Wealth Management - Fine
Cantone Research - CD-Rest-NOIR
CE Capital Ltd et al - CD-Rest-NOIF
Cantone Research - Consent Order
Bridgewater Communications - Consent
Columbia Funds Stipulation
Cantor Fitzgerald - Stipulation
CE Capital Limited - Fine
CE Capital - Certification
Connolly, Arthur - Certification
Voya Financial Advisors - 2018 CD-Rest-NOIF
