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Page 6 of 7
Discala-Omniview Findings and Order
Halcyon Cabot Partners, Ltd. - REV
Harbor Vista - NOID-CD-NOIF
Allied Energy Inc - Certification
Columbia Funds Stipulation
Wilbanks Securities Inc-REV-CANC
Senior Financial Advisors - Leavitt - Consent Order
Scott, Ralph Upton - Stipulation
Advanced Business Banking Solutions LLC - Stip
Moreau Investment Mgt Co - Consent Order
Bakitas, Thomas M - CD-NOIF
Leland Energy Inc et al - CD-NOIF
Connolly, Arthur - Certification
Connolly, Arthur - Fine
Evans, John W. - Consent Order
