Enforcement Actions Administrative

In the Matter of The Investment Adviser Registration of Warner Financial Group, Inc. and The Investment Adviser Representative Registration of Mark Taylor Warner: Reprimand, Fine

In the Matter of the Agent and Investment Adviser Representative Registrations of John Edward Sprague: Suspension

In the Matter of Caroline B. Berthelot

In the Matter of the Application for Investment Adviser Representative Registration of Gary Martin Borsch: Reprimand

In the Matter of the Application for Investment Adviser Representative Registration of David Bruce Prilliman: Reprimand

In the Matter of the Dealer Registration of IMS Securities Inc.: Reprimand, Fine

In the Matter of the Investment Adviser Registration of Duncan Private Wealth Management LLC and the Investment Adviser Representative Registration of Donovan Colin Duncan: Registrations Revoked

In the Matter of Global Eagle Media Inc., RMB International Distribution Inc., Waverider International LLC, and Bruce F. Brown: Agreed Cease and Desist Order

In the Matter of the Investment Adviser Registration of Dennis Tate Brock D/B/A B&F Investment Strategies: Suspension

In the Matter of the Investment Adviser Registration of Duncan Private Wealth Management LLC and the Investment Adviser Representative Registration of Donovan Colin Duncan: Notice of Hearing