Admin Actions Category: Securities

Stone (James C.) d/b/a JCS Advisory

Stephen Paul May; Options & Solutions Inc.

Strategic Capital Alternatives, LLC

Taylor Dean Ogden, and American Prosperity LLC

Thomas Weisel Partners, LLC

Timothy McReynolds; and June Lee McReynolds

Turner (Shane Michael), an individual, and Network Financial Services, LLC operating as Network Investments

TWH Annuities & Insurance Agency, Inc.

U.S. Bancorp Piper Jaffray Inc.

UBS Securities LLC; UBS Financial Services, Inc.