Enforcement Actions Administrative

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

In the Matter of JP Morgan Chase & Co.: Consent Order, Fine

In the Matter of American Capital Investments Corp.; Dan Gootee AKA Danny L. Gootee; Martin Mair; and Malinda Zarate

In the Matter of the Dealer Registration of Credit Suisse Securities (USA) LLC: Consent Order, Fine

In the Matter of Zachary Ranstead Pittinger and Navigant Advisors LLC: Reprimands, Fines; Investment Adviser Registration Granted

Pending hearing on request to revoke the registrations of Triton Financial LLC and Kurt Branham Barton

In the Matter of 808 Investments LLC; 808 Energy 2 LLC; 808 Energy LLC; and Patrick S Carter: Cease and Desist Order, Fine

In the Matter of William N. Kirshner: Cease-and-Desist Order