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Page 17 of 22
RNT Wealth Management - Fine
Silver Oak Securities Inc - Consent
Bridgewater Communications - Consent
Harbor Vista-Denial-Fine
Martinez-Ayme Financial Group - Revocation
Trade-PMR Inc. - Consent Order
Tricarico, Robert - NOID-CD-REST-NOIF
Rockingham Capital-Frew-Consent Order
Tricarico, Robert - Cert
RNT Wealth Mgt LLC - Cert
R & R Wealth Strategies LLC - Stipulation
Johnson, Javeir - Fine
Pearson and Associates - Stipulation
Seiler, Thomas E. - Consent Order
AFT Logistics LLC - Fine
