Archives: Administrative Actions

Set Advisors LLC

Selway Asset Management Inc., and Mark Matsko

SeaQuest Holdings LLC; Covino (Vince)

Schiess (Gary)

Russ Trading Inc.; Russo (Nicolas, Jr.); Cactus Partners LP.

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

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

Roberts (Teddy L.)

Roberts (Douglas S.)

RBC Capital Markets, LLC