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Page 18 of 22
Endeavor Mgt Solutions - Cert
Freeman, Brandi - Certification
Vir-Sec Inc and Christopher Murphy-CD-Rest-NOIF
Waterfund LLC et al - Stipulation
Blaine Capital LLC - Stipulation
Wilbanks Securities Inc - NOIR-NOIC
Pinheiro, John A - CD-NOIF
Hunjo LLC - Stipulation
CE Capital - Certification
CE Capital Ltd et al - CD-Rest-NOIF
CE Capital Limited - Fine
Augment Securities Inc - Stipulation
Hanley and Associates LLC - Stipulation
Woodard, Matthew - Consent Order
Voya Financial Advisors - 2018 CD-Rest-NOIF
