Admin Actions Category: Securities

RPM Machine, Inc.; Riegert (Franz); Riegert (Fae A.)

RPM Machine, Inc.; Riegert (Franz); Riegert (Fae A.)

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)