Enforcement Actions Administrative

In the Matter of David Del Castillo AKA David Castillo AKA David M. Huaracha AKA David Omar Huaracha, Now Doing Business As International Forex Fund: Notice of Hearing

In the Matter of David Del Castillo AKA David Castillo AKA David M. Huaracha AKA David Omar Huaracha, Now Doing Business as International Forex Fund: Emergency Cease and Desist Order

In the Matter of the Investment Adviser Representative Registration of Sarah Helen Hancock: Revoked

In the Matter of Woodbridge Mortgage Investment Fund 3 LLC and Robert H. Shapiro: Cease and Desist

In the Matter of the Investment Adviser Registration of Mowery Capital Management LLC and the Investment Adviser Representative Registration of Frederick Eugene Mowery: Fines; Cease and Desist

In the Matter of the Investment Adviser Registration of Jim Poe & Associates Inc. and the Investment Adviser Representative Registration of James Emory Poe: Reprimand, Revocation

In the Matter of the Dealer Registration of Scottrade Inc: Fine, Reprimand

In the Matter of the Investment Adviser Registration of Donald Lee Laseter D/B/A Financial Consulting Services: Registration Granted with Reprimand, Fine

In the Matter of the Dealer Registration of LPL Financial LLC: Reprimand, Fine

In the Matter of the Investment Adviser Registration of Ronald Eugene Harrison: Suspension, Undertaking