Enforcement Actions Administrative

In the Matter of the Investment Adviser Registration of Michael Keith Parish: Suspension, Fine

In the Matter of the Agent Registration of Trevor M. Carney: Fine, Reprimand

In the Matter of the Investment Adviser Registration of Provident Capital Management Inc.: Suspension, Fine

In the Matter of the Dealer Registration of PTI Securities & Futures LP: Fine, Reprimand

In the Matter of DBack Capital Inc. and Kenneth Edward Shelton: Agreed Cease and Desist Order

In the Matter of Raymond Hill, Mark Diaz, and Wales Marketing and Consultancy: Emergency Cease and Desist

In the Matter of the Investment Adviser Representative Registration and the Agent Registration of Marie P. Goforth: Registration Granted; Suspension

In the Matter of the Investment Adviser Representative Registration of Kermit Gordon Gable Jr.: Suspension

In the Matter of the Agent Registration and Investment Adviser Representative Registration of Brad Cain: Fine, Reprimand

In the Matter of the Investment Adviser Representative Registration of Robert Yrshus: Suspension, Fine, Registration Granted