Archives: Administrative Actions

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Millennial Financial Group, Inc.; Mackey (Tyree); King (Jeremy); Miner (Pat G.)

Morgan Asset Management, Inc.; Morgan Keegan & Company

Morgan Stanley DW Inc.

Morgan Stanley & Co. Incorporated

Multi-Financial Securities Corporation; Batten (James A.); Lodge (James E.)

Niece (Richard C.); Gardner (Philip); Seascape Management Co., LLC; First Security Investor Services, Inc.; Van Kasper LLC

Niece (Richard C.); Gardner (Philip); Seascape Management Co., LLC; Wells Fargo Securities LLC

Paul Fredrick Johnson

Pennaluna and Company