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Page 14 of 21
Debt Management Inc.-Summ Susp-Temp CD-Rest-NOI CD-Rev-CP
Greater Norwalk Area Credit Union - Consent Order
Atlantic Alchemy Co. LLC - Cond Regis
Roth, Michael J - Consent Order
O'Keefe, Yolanda - Consent Order
Holland, Paul G. - Consent Order
Mongillo, Philip - Consent Order
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