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Page 5 of 7
Columbia Funds Stipulation
Cantor Fitzgerald - Stipulation
CE Capital Limited - Fine
CE Capital - Certification
Connolly, Arthur - Certification
Voya Financial Advisors - 2018 CD-Rest-NOIF
UBS Financial Services - 2007 Consent Order
Tyrol, Lee et al - CD-Rest-NOIF
Vir-Sec Inc and Christopher Murphy-CD-Rest-NOIF
Tyrol, Lee - Findings and Order
Waterfund LLC et al - Stipulation
Vision Travel - FINE
Harbor Vista - NOID-CD-NOIF
Gray, Robert Lawrence - CD-NOIF
Gray, Robert Lawrence - Hearing Decision
