Enforcement Actions Administrative

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

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