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Page 19 of 22
Rafal, John - CD-NOIR-NOIF
David Lerner Associates Inc - Consent
RBS Securities Inc - Consent Order
Cantor Fitzgerald - Stipulation
Hershman, Peter - CD-Disgorgement-NOIF
Meyers Associates - 2017 Consent Order
Meyers Associates LP - 2016 NOIR-CD-NOIF
Gray, Robert Lawrence - Hearing Decision
Rafal, John - 2017 Consent Order
Tricarico, Robert-Denial-Fine
Halcyon Cabot Partners, Ltd. - NOIR
Discala-Omniview Findings and Order
Halcyon Cabot Partners, Ltd. - REV
Harbor Vista - NOID-CD-NOIF
Allied Energy Inc - Certification
