Enforcement Actions Administrative

In the Matter of the Dealer Registration of Morgan Stanley & Co. Inc.: Fine; Repurchase of Auction Rate Securities

In the Matter of the Dealer Registrations of UBS Securities LLC and UBS Financial Services Inc.: Fine; Repurchase Agreement

In the Matter of Willie Otis Mills: Agreed Cease and Desist Order

In the Matter of Arturo Livas: Agreed Cease and Desist Order

In the Matter of the Dealer Registration of Fox Financial Management Corp., the Agent Registration of James Edward Rooney Jr., and Fox Life Settlements LLC: Reprimand; Cease and Desist from violating the Texas Securities Act; Order of Compliance

In The Matter of Gulfstream Oil and Gas Inc. and Ace Harold Park: Emergency Cease and Desist Order

In the Matter of the Agent Registration of Monte Sue Houston: Reprimand, Fine

Pending Hearing on Request to Revoke the Agent Registration of Leon Parvizian

In the Matter of the Investment Adviser Representative Registration of Kurt Branham Barton: Registration Revoked

In the matter of the application for Investment Adviser Registration of Halter Global Opportunity Fund Management LLC: Reprimand; Fine; Registration Granted