Enforcement Actions Administrative

In the Matter of the Dealer Registration of The Street Inc. and the Agent Registration of Robert Wesley Stout: Suspensions

IN THE MATTER OF THE AGENT REGISTRATION OF SHERRIE JANE MALONE

IN THE MATTER OF INVESTMENT ADVISER REPRESENTATIVE REGISTRATION OF JEREMY MCGILVREY AND THE INVESTMENT ADVISER REGISTRATION OF HCW ASSET MANAGEMENT, LLC

IN THE MATTER OF THE DEALER REGISTRATION OF RBC CAPITAL MARKETS CORPORTION

IN THE MATTER OF ROLANDO GOMEZ

IN THE MATTER OF RESOURCES, LLC: MICHAEL J. BRODERICK; AND PAUL MCCARTHY

IN THE MATTER OF THE DEALER REGISTRATION OF CAPROCK SECURITIES, INC. AND THE AGENT REGISTRATION OF DARYL ALLISON

IN THE MATTER OF THE APPLICATION FOR THE INVESTMENT ADVISER REPRESENTATIVE AND AGENT REGISTRATIONS OF NOOR SIRAJ AMIRALI

IN THE MATTER OF THE SALE AND MARKETING OF AUCTION RATE SECURITIES BY MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IN THE MATTER OF ANDREW W. WEST A/K/A ANDY WEST AND ERIC WILLIAM KELLER A/K/A ERIC KELLER, RESPONDENTS