Admin Actions Category: Securities

UBS Warburg LLC; UBS PaineWebber, Inc.

UVEST Financial Services Group, Inc.

Wachovia Capital Markets, LLC

Wachovia Securities, LLC; Wachovia Capital Markets, LLC

Wade (Randall Martin); First Wall Street Corporation

Walker, Matthew and Pinnacle Plus Capital LLC

Whiting (Kim)

Williams (Kelvin Barth); Assurance Financial, Inc.

Williams, Schiller & Styer Wealth Management LLC

World Group Securities, Inc.; Schiess (Gary); Whiting (Kim)