Proceeding Number		Date		Title
2006007544401		12/28/10		M. Paul De Vietien
2006005318801		12/22/10		Kent M. Houston
2007009848801		12/17/10		Dante J. DiFrancesco
2006005696601		10/21/10		Westrock Advisors, Inc.
2007008358101		10/15/10		Vincent P. McCrudden
E102003025201		10/15/10		Robert Conway and Kakit Ng
2005000879302		10/8/10		Legacy Trading Co., LLC and Mark Alan Uselton
2008012026601		10/7/10		CMG Institutional Trading, LLC and Shawn D. Baldwin
2006003834901		8/19/10		Moustafa M. Zayed
EAF0400630001		8/18/10		Kevin L. Cohen, Dennis S. Kaminski, and Gari C. Sanfilippo
2007010306901		7/30/10		FCS Securities and Dale Kleinser
2005000835801		7/26/10		Harry Friedman
2005003188901		5/10/10		Richard G. Cody
2006006890801		5/5/10		CMG Institutional Trading LLC and Shawn D. Baldwin
E8A2004072203		4/23/10		Jonathan M. Skiba
CLGO50021		3/3/10		John Patrick Leighton and Kenneth D. Pasternak
2005001729501		2/26/10		Gerald J. Kesner
2006003738501		2/24/10		Mission Securities Corporation and Craig M. Biddick