Enforcement Actions Administrative

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

IN THE MATTER OF THE DEALER REGISTRATION OF MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IN THE MATTER OF THE AGENT REGISTRATION OF TONI LEYNETT HALDENBY

IN THE MATTER OF THE AGENT REGISTRATIONS OF DOUGLAS RAY BOUSAID AND KYLE TIMOTHY HOLLAND, THE DEALER REGISTRATION OF FIFTH STREET CAPITAL, LLC, AND THE APPLICATION FOR AGENT REGISTRATION OF BRIAN GRAYSON KIDDER