Changes to List of Firms We Regulate

For the period of 5/1/2015 through 5/31/2015

B

BLUE CAPITAL SEC
BLUE CAPITAL SECURITIES, INC.
NAME CHANGED TO: TRIBAL CAPITAL MARKETS, LLC

BLUE CAPITAL SEC
TRIBAL CAPITAL MARKETS, LLC
NEW NAME OF: BLUE CAPITAL SECURITIES, INC.

BLUE CAPITAL SEC
BLUE CAPITAL SECURITIES, INC.
NAME CHANGED TO: TRIBAL CAPITAL MARKETS, LLC

BLUE CAPITAL SEC
TRIBAL CAPITAL MARKETS, LLC
NEW NAME OF: BLUE CAPITAL SECURITIES, INC.

BROOKVILLE CAPIT
BROOKVILLE CAPITAL PARTNERS
MELVILLE, NY, USA
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES.

C

CLARKSON CAPITAL
CLARKSON CAPITAL MARKETS LLC
NAME CHANGED TO: D/B/A CLARKSONS PLATOU SECURITIES

CLARKSON CAPITAL
D/B/A CLARKSONS PLATOU SECURITIES
NEW NAME OF: CLARKSON CAPITAL MARKETS LLC

CRESSMAN ESSER S
CRESSMAN ESSER SECURITIES LLC
NAME CHANGED TO: MARIANA CAPITAL USA, LLC

CRESSMAN ESSER S
MARIANA CAPITAL USA, LLC
NEW NAME OF: CRESSMAN ESSER SECURITIES LLC

CV CAPITAL SECUR
CV CAPITAL SECURITIES, LLC
NAME CHANGED TO: CVCAPITAL SECURITIES, LLC

CV CAPITAL SECUR
CVCAPITAL SECURITIES, LLC
NEW NAME OF: CV CAPITAL SECURITIES, LLC

CV CAPITAL SECUR
CV CAPITAL SECURITIES, LLC
NAME CHANGED TO: CVCAPITAL SECURITIES, LLC

CV CAPITAL SECUR
CVCAPITAL SECURITIES, LLC
NEW NAME OF: CV CAPITAL SECURITIES, LLC

D

DE ROUTE
DE ROUTE
NEW YORK, NY, USA
RESIGNED

F

FIRST SAVINGS SE
FIRST SAVINGS SECURITIES, INC.
DOYLESTOWN, PA, USA
RESIGNED

FOURBRIDGES CAPIV
FOURBRIDGES CAPITAL ADVISORS, LLC
NAME CHANGED TO: FOURBRIDGES SECURITIES, LLC

FOURBRIDGES CAPI
FOURBRIDGES SECURITIES, LLC
NEW NAME OF: FOURBRIDGES CAPITAL ADVISORS, LLC

G

GARY GOLDBERG &
GARY GOLDBERG & CO., INC.
SUFFERN, NY, UNITED STATES
RESIGNED

GOTO CAPITAL MAR
GOTO CAPITAL MARKETS, INC.
NEW YORK, NY
RESIGNED

H

HALIFAX AMERICA
HALIFAX AMERICA LLC
15233 VENTURA BLVD., SUITE 605, SHERMAN OAKS, CA 91403
ADMITTED

HUNTER WISE SECU
HUNTER WISE SECURITIES, LLC
IRVINE, CA, USA
RESIGNED

K

KINGSBURY, LLC
KINGSBURY, LLC
EVANSTON, IL
RESIGNED

L

LAVAFLOW, INC.
LAVAFLOW, INC.
NEW YORK, NY, U.S.
RESIGNED

M

MANARIN SECURITI
MANARIN SECURITIES CORPORATION
OMAHA, NE, UNITED STATES
RESIGNED

MISSION CAPITAL
MISSION CAPITAL LLC
NEW YORK, NY
RESIGNED

N

NORIBA INVESTING
NORIBA INVESTING
WOODLAND HILLS, CA, USA
RESIGNED

R

RIVERSTONE CAPIT
RIVERSTONE CAPITAL SERVICES LLC
712 5TH AVENUE, NEW YORK, NY 10019
ADMITTED

 

S

SECONDMARKET, IN
SECONDMARKET, INC.
NAME CHANGED TO: GENESIS GLOBAL TRADING

SECONDMARKET, IN
GENESIS GLOBAL TRADING
NEW NAME OF: SECONDMARKET, INC.

SOUTHWEST MERCHA
SOUTHWEST MERCHANT GROUP, INC.
NAME CHANGED TO: WHITEROCK CAPITAL GROUP, INC

SOUTHWEST MERCHA
WHITEROCK CAPITAL GROUP, INC
NEW NAME OF: SOUTHWEST MERCHANT GROUP, INC.

T

TENOAKS ENERGY A
TENOAKS ENERGY ADVISORS, LLC
PARKWAY OFFICE CENTER NORTH, 14180 N. DALLAS PKWY., STE. 715, DALLAS, TX 75254
MAILING ADDRESS: 1020 CHERRYWOOD TRAIL, COPPELL, TX 75019
ADMITTED

THE BOND HOUSE
THE BOND HOUSE
NAME CHANGED TO: NEIGHBORLY SECURITIES

THE BOND HOUSE
NEIGHBORLY SECURITIES
NEW NAME OF: THE BOND HOUSE

TIGERRISK CAPITA
TIGERRISK CAPITAL STRATEGIES LLC
100 FIRST STAMFORD PL, 4TH FL W, STAMFORD, CT 06902
ADMITTED

TRIBAL CAPITAL M
TRIBAL CAPITAL MARKETS, LLC
NAME CHANGED TO: TRIBAL CAPITAL MARKETS, LLC

TRIBAL CAPITAL M
TRIBAL CAPITAL MARKETS, LLC
NEW NAME OF: TRIBAL CAPITAL MARKETS, LLC

V

VOLANT LIQUIDITY
VOLANT LIQUIDITY, LLC
7 WORLD TRADE CENTER, SUITE 3301, NEW YORK, NY 10007
ADMITTED

VONTOBEL DISTRIB
VONTOBEL DISTRIBUTORS LLC
1540 BROADWAY, 38TH FLOOR, NEW YORK, NY 10036
MAILING ADDRESS: 1540 BROADWAY,, 38TH FLOOR, NEW YORK, NY 10036
ADMITTED

W

WELLS FARGO INST
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
CHARLOTTE, NC, UNITED STATES
RESIGNED

WESTCOUNTRY FINA
WESTCOUNTRY FINANCIAL
CHARLOTTE, NC, UNITED STATES
RESIGNED

W.J. BLUM & SONS
W.J. BLUM & SONS, LLC
GARDEN CITY, NY, UNITED STATES
RESIGNED

W. R. TAYLOR & C
W. R. TAYLOR & COMPANY, LLC
MONTGOMERY, AL, USA
RESIGNED