Archives: Administrative Actions

Ray (Doyle G.); Financial Consulting Incorporated

Raymond James & Associates, Inc.; Raymond James Financial Services, Inc.

RBC Capital Markets Corp.

RBC Capital Markets, LLC

Roberts (Douglas S.)

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

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

Schiess (Gary)

SeaQuest Holdings LLC; Covino (Vince)

Selway Asset Management Inc., and Mark Matsko