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Page 6 of 7
Freeman, Brandi - Certification
Forman, Rogers III Certification CD
Woodard, Matthew - Consent Order
Waterfund LLC et al - Stipulation
Wilbanks Securities Inc - NOIR-NOIC
Wyllins, Raymond-Consent Order
Wilbanks Securities Inc-REV-CANC
Cantone Research - CD-Rest-NOIR
CE Capital Ltd et al - CD-Rest-NOIF
Cantone Research - Consent Order
Bridgewater Communications - Consent
Blaine Capital LLC - Stipulation
Columbia Funds Stipulation
Cantor Fitzgerald - Stipulation
CE Capital Limited - Fine