Enforcement Actions Administrative

In the Matter of Moses Guerra: Agreed Cease and Desist Order

In the Matter of James Eric Viveros: Agreed Cease and Desist Order

In the Matter of Alfaro Oil & Gas LLC; Pinnacle Partners Financial Corp.; and Brian Keith Alfaro: Consent Cease and Desist Order

In the Matter of the Investment Adviser Registration of STS-Advisors Ltd. and the Investment Adviser Representative Registration of Richard Lewis Bruce: Default Order; Registrations Revoked

In the Matter of the Dealer Registration of E*TRADE Securities LLC: Fine, Corrective Actions

In the Matter of The Stamford Group Inc.; Stamford Portfolio Management LLC; Stamford Group 2004C LLC; Deborah A. Wilcox; Keith Holcomb; and David R. Jung: Modified Emergency Cease and Desist Order

In the Matter of the Agent Registration of Joseph Andrew Sugg II: Cease and Desist Order

In the Matter of Senior Moments, Robert "Bob"Martins and Virginia Marie Martins: Emergency Cease & Desist Order

In the Matter of the Investment Adviser Registration of Hunt Advisors LLC and the Investment Adviser Representative Registration of John Ward Hunt: Notice of Hearing to Determine Revocation of Registrations

In the Matter of AGAP Life Offerings LLC, Charles D. Madden and Matthew Searle: Order Modifying Emergency Cease and Desist Order