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Page 14 of 21
Janice L. Zdun Consent Order
Conditional Registrations - Securities Division
Omniview-Discala-Am CD-Rest-NOIF
Harrison Douglas Conditional Order
Omniview-Discala-CD-Rest-NOIF
Endeavor Mgt Solutions-Doyle-CD-Rest-NOIF
M and I Brokerage Services Consent
Ehinger, Nelson Jr. Consent Order
Maxim Group LLC Stipulation
Dear, Charles-Modified Consent Order
MIT Associates-Vacating Order
RBS Securities Inc - Consent Order
Rafal, John - 2017 Consent Order
Rafal, John - CD-NOIR-NOIF
Proequities Inc - 2018 Consent Order
