Admin Actions Category: Securities

RBC Capital Markets, LLC

Roberts (Douglas S.)

Rodgers (Trecia D.) d/b/a Rodgers Financial Services

Royal Wealth Management, Inc. d/b/a Northstar Capital; Royal (Brian M.)

Schiess (Gary)

SeaQuest Holdings LLC; Covino (Vince)

Selway Asset Management Inc., and Mark Matsko

Set Advisors LLC

Shaw (Michael RW) a/k/a Michael R. Shaw d/b/a Michael Shaw Ministries and d/b/a MSM Ministries,

Simon (Peter A.) d/b/a Financial Planning Solutions