Enforcement Actions Administrative

IN THE MATTER OF THE DEALER REGISTRATION OF BROAD STREET SECURITIES, INC.

IN THE MATTER OF SIMPLE SCRAP INVESTMENTS, LLC AND LARRY D. LEACH

IN THE MATTER OF ADELANTE COMMUNICATIONS AND ALEX AVILA

IN THE MATTER OF THE DEALER REGISTRATION OF INVESTORS CAPITAL CORP. AND THE AGENT REGISTRATIONS OF ROBERT EDWARD GROUX SR. AND NOEL RAY VINCENT

IN THE MATTER OF THE DEALER REGISTRATION OF MARINER INVESTMENT GROUP AND THE AGENT REGISTRATION OF JOE FARNHAM MOORE, JR.

IN THE MATTER OF THE DEALER REGISTRATIONS OF BANC OF AMERICA SECURITIES LLC AND BANC OF AMERICA INVESTMENT SERVICES, INC.

IN THE MATTER OF THE DEALER AND INVESTMENT ADVISER REGISTRATION OF MILKIE/FERGUSON INVESTMENTS, INC.

IN THE MATTER OF THE AGENT AND INVESTMENT ADVISER REPRESENTATIVE REGISTRATIONS OF JOSE LUIS VINAS

IN THE MATTER OF PENTULTIMATE ASSOCIATES, LLC; GOLD RIBBON FINANCIAL; AND DAVID J. RIBEIRO

IN THE MATTER OF THE BEST MOVERS OF HOUSTON, AND PATRICK CURRY