Admin Actions Category: Securities
Budwee (Richard M., Jr.) d/b/a Budwee Financial Planning Services, Inc.
Budwee (Richard M., Jr.) d/b/a Budwee Financial Planning Services, Inc.
Carson (Paul Rae) d/b/a Carson International Capital Management, LLC
Carson (Paul Rae) d/b/a Carson International Capital Management, LLC
Prime Yield, Inc.; Carter (Bruce Edward); Zalewski (Dariusz a/k/a “Darek”)
Prime Yield, Inc.; Carter (Bruce Edward); Zalewski (Dariusz a/k/a “Darek”)
Turner (Shane Michael), an individual, and Network Financial Services, LLC operating as Network Investments
Turner (Shane Michael), an individual, and Network Financial Services, LLC operating as Network Investments
TWH Annuities & Insurance Agency, Inc.
TWH Annuities & Insurance Agency, Inc.
U.S. Bancorp Piper Jaffray Inc.
U.S. Bancorp Piper Jaffray Inc.
UBS Securities LLC; UBS Financial Services, Inc.
UBS Securities LLC; UBS Financial Services, Inc.
UBS Warburg LLC; UBS PaineWebber, Inc.
UBS Warburg LLC; UBS PaineWebber, Inc.
UCI Wealth Advisors LLC; Higgins (Travis)
UCI Wealth Advisors LLC; Higgins (Travis)
Ultimate Holdings Corporation; Rieser (William R.)
Ultimate Holdings Corporation; Rieser (William R.)