Enforcement Actions Administrative

In the Matter of the Dealer Registration of PTI Securities & Futures LP: Notice of Hearing

In the Matter of SoBell Corp. and Andrew Gambler: Emergency Cease and Desist Order

In the Matter of Bristol Lamar Whittington DBA Whitco Medical Overseas S.A.: Agreed Cease and Desist Order

In the Matter of the Investment Adviser Representative Registration of Michael Reed Hall: Cease and Desist; Fine; Reprimand

In the Matter of the Investment Adviser Registration of Marvin M. Slater DBA Marvin M. Slater & Associates: Cease and Desist; Suspension

In the Matter of the Dealer Registration of LPL Financial LLC: Consent Order

In the Matter of the Application for Investment Adviser Representative Registration of Jetmir Ahemeti: Reprimand, Suspension, Fine

In the Matter of the Dealer Registration of WFG Investments, Inc.: Reprimand, Fine

In the Matter of the Dealer Registration of Citigroup Global Markets Inc.: Consent Order, Fine

In the Matter of the Dealer Registration of TD Ameritrade Inc.: Reprimand, Fine