Enforcement Actions Administrative

In the Matter of the Dealer Registration of UBS Financial Services Inc.: Reprimand, Fine

In the Matter of the Dealer Registration of RBC Capital Markets LLC: Reprimand, Fine

In the Matter of the Investment Adviser Representative Registration of Douglas Bruce Shaw: Suspension

In the Matter of the Investment Adviser Registration of Wealth Solutions Inc. and the Investment Adviser Representative Registration of Richard Dwayne Blair: Reprimand, Undertaking

In the Matter of TriStar Equity and Tom Carter: Agreed Cease and Desist Order

In the Matter of Affordable Leasing and Finance LP; Leap Frog Capital LP; Your Dollar Builder LLC; and Bruce A. Craig: Emergency Cease and Desist Order

In the Matter of Texas Investment & Trust Co., Whittle Development Inc., and Robert S. Whittle: Agreed Cease and Desist Order

In the Matter of the Investment Adviser Representative Registration of Jason Allen D'Amato: Suspension

In the Matter of the Investment Adviser Representative Registration of Tracy Morgan Spaeth: Suspension

In the Matter of Cliff Rock Capital Management LLC and Charles W. Gorman: Agreed Cease and Desist Order