Changes to List of Firms We Regulate

For the period of 7/1/2015 through 7/31/2015

A

ACHILLES SECURIT
ACHILLES SECURITIES, LLC
NEW YORK, NY, USA
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES

ASTON DIEL SECUR
ASTON DIEL SECURITIES, LLC
NAME CHANGED TO: CLICK IPO, LLC

ASTON DIEL SECUR
CLICK IPO, LLC
NEW NAME OF: ASTON DIEL SECURITIES, LLC

B

BALTRA CAPITAL L
BALTRA CAPITAL LLC
NEW YORK, NY, USA
RESIGNED

BLACKBOOK CAPITA
BLACKBOOK CAPITAL LLC
NAME CHANGED TO: BLACKBOOK CAPITAL, INC.

BLACKBOOK CAPITA
BLACKBOOK CAPITAL, INC.
NEW NAME OF: BLACKBOOK CAPITAL LLC

BMA SECURITIES
BMA SECURITIES
NAME CHANGED TO: BMA SECURITIES, LLC

BMA SECURITIES
BMA SECURITIES, LLC
NEW NAME OF: BMA SECURITIES

BRINSON PATRICK
BRINSON PATRICK SECURITIES CORPORATION
NAME CHANGED TO: WYCHE SECURITIES, INC.

BRINSON PATRICK
WYCHE SECURITIES, INC.
NEW NAME OF: BRINSON PATRICK SECURITIES CORPORATION

C

CHARLES W. PACE
CHARLES W. PACE SECURITIES GROUP, INC.
NAME CHANGED TO: MATCH-POINT SECURITIES, LLC

CHARLES W. PACE
MATCH-POINT SECURITIES, LLC
NEW NAME OF: CHARLES W. PACE SECURITIES GROUP, INC.

D

DALEY & TANG SEC
DALEY & TANG SECURITIES LLC
900 N. MICHIGAN AVENUE, SUITE 1720, CHICAGO, IL 60611
ADMITTED

E

EDGECREST CAPITA
EDGECREST CAPITAL (USA) INC.
TORONTO ONTARIO, CANADA
RESIGNED

EQUIBASE CAPITAL
EQUIBASE CAPITAL MARKETS, LLC
CHICAGO, IL
RESIGNED

F

FALLLINE SECURIT
FALLLINE SECURITIES LLC
10 CORBIN DRIVE, DARIEN, CT 06820
ADMITTED

FIRST BERMUDA SE
FIRST BERMUDA SECURITIES LTD.
HAMILTON, BERMUDA
RESIGNED

FIRST MIDWEST SE
FIRST MIDWEST SECURITIES, INC.
BLOOMINGTON, IL, UNITED STATES
RESIGNED

FORBES PRIVATE C
FORBES PRIVATE CAPITAL GROUP
NAME CHANGED TO: FOCUSPOINT PRIVATE CAPITAL GROUP

FORBES PRIVATE C
FOCUSPOINT PRIVATE CAPITAL GROUP
NEW NAME OF: FORBES PRIVATE CAPITAL GROUP

G

G.RESEARCH, INC.
G.RESEARCH, INC.
NAME CHANGED TO: G.RESEARCH, LLC

G.RESEARCH, INC.
G.RESEARCH, LLC
NEW NAME OF: G.RESEARCH, INC.

GLEN EAGLE ADVIS
GLEN EAGLE ADVISORS LLC
NAME CHANGED TO: GLEN EAGLE WEALTH, LLC

GLEN EAGLE ADVIS
GLEN EAGLE WEALTH, LLC
NEW NAME OF: GLEN EAGLE ADVISORS LLC

GLOBAL ARENA CAP
GLOBAL ARENA CAPITAL CORP
NEW YORK, NY, UNITED STATES
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES.

GLOBAL HUNTER SE
GLOBAL HUNTER SECURITIES, LLC
NEW ORLEANS, LA, USA
RESIGNED

GRACE FINANCIAL
GRACE FINANCIAL GROUP LLC
SOUTHHAMPTON, NY, USA
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES

GROSVENOR SECURI
GROSVENOR SECURITIES LLC
NAME CHANGED TO: GRV SECURITIES LLC

GROSVENOR SECURI
GRV SECURITIES LLC
NEW NAME OF: GROSVENOR SECURITIES LLC

H

HANCOCK SECURITI
HANCOCK SECURITIES GROUP, LLC
NAME CHANGED TO: DETALUS SECURITIES, LLC

HANCOCK SECURITI
DETALUS SECURITIES, LLC
NEW NAME OF: HANCOCK SECURITIES GROUP, LLC

HEARTLAND INVEST
HEARTLAND INVESTMENT ASSOCIATES, INC.
HIAWATHA, IA, UNITED STATES
RESIGNED

I

INTL FCSTONE SEC
INTL FCSTONE SECURITIES INC.
NAME CHANGED TO: INTL FCSTONE FINANCIAL INC.

INTL FCSTONE SEC
INTL FCSTONE FINANCIAL INC.
NEW NAME OF: INTL FCSTONE SECURITIES INC.

INTL FCSTONE FIN
INTL FCSTONE FINANCIAL INC.
INTL FCSTONE PARTNERS L.P.
G.X. CLARKE & CO.
FCC INVESTMENTS, INC.
ENCOUNTER EQUITIES CORPORATION

INTREPID PARTNER
INTREPID PARTNERS, LLC
540 MADISON AVENUE, 21ST FLOOR, NEW YORK, NY 10022
MAILING ADDRESS: 49 EAST 86TH STREET - 7C, NEW YORK, NY 10028
ADMITTED

J

JOHNSTON BLAKELY
JOHNSTON BLAKELY & COMPANY, LLC
NAME CHANGED TO: CMC TRANSACTION SERVICES, LLC

JOHNSTON BLAKELY
CMC TRANSACTION SERVICES, LLC
NEW NAME OF: JOHNSTON BLAKELY & COMPANY, LLC

L

LAKE CHAMPLAIN B
LAKE CHAMPLAIN BROKERAGE SERVICES LLC
NEW YORK, NY
RESIGNED

LBC CAPITAL PART
LBC CAPITAL PARTNERS LLC
WASHINGTON, DC, USA
RESIGNED

JSB PARTNERS, LP
JSB PARTNERS, LP
WALTHAM, MA
RESIGNED

M

MANNA CAPITAL MA
MANNA CAPITAL MANAGEMENT
FALLS CHURCH, VA, UNITED STATES
RESIGNED

MERCHANT CAPITAL
MERCHANT CAPITAL, L.L.C.
MONTGOMERY, AL, UNITED STATES
RESIGNED

MFA SECURITIES,
MFA SECURITIES, LLC
1 HIGHWOOD DRIVE, TEWKSBURY, MA 01876
ADMITTED

MIAC CAPITAL MAR
MIAC CAPITAL MARKETS LLC
521 FIFTH AVENUE, SUITE 900, NEW YORK, NY 10175-0999
ADMITTED

N

NEW CITY CAPITAL
NEW CITY CAPITAL LLC
2029 CENTURY PARK EAST, 4TH FLOOR, LOS ANGELES, CA 90067
MAILING ADDRESS: 11243 WATSON DR., MOORPARK, CA 93021
ADMITTED

O

OTCEX
OTCEX
NAME CHANGED TO: OTCEX, LLC

OTCEX
OTCEX, LLC
NEW NAME OF: OTCEX

P

PANATTONI SECURI
PANATTONI SECURITIES, INC.
SACRAMENTO, CA, USA
RESIGNED

PSCO INTERNATION
PSCO INTERNATIONAL DISTRIBUTORS LTD. LLC
STAMFORD, CT, UNITED STATES
RESIGNED

R

RAYMOND C. FORBE
RAYMOND C. FORBES & CO., INC.
NEW YORK, NY, UNITED STATES
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES.

REALCADRE COMPAN
REALCADRE COMPANY
NAME CHANGED TO: REALCADRE LLC

REALCADRE COMPAN
REALCADRE LLC
NEW NAME OF: REALCADRE COMPANY

REVERE MERCHANT
REVERE MERCHANT SECURITIES, LLC
12 EAST 52ND STREET 3RD FLOOR, NEW YORK, NY 10022 ADMITTED

S

SMTX, LLC
SMTX, LLC
636 AVENUE OF THE AMERICAS, NEW YORK, NY 10011
MAILING ADDRESS: 636 AVENUE OF THE AMERICAS, NEW YORK, NY 10011
ADMITTED

STIFEL, NICOLAUS
TO FORM STIFEL, NICOLAUS & COMPANY, INCORPORATED
ACQUIRED STERNE, AGEE & LEACH, INC.

STIFEL, NICOLAUS
TO FORM STIFEL, NICOLAUS & COMPANY, INCORPORATED
ACQUIRED STERNE, AGEE AND LEACH, INC.

W

W.A. CAPITAL MAR
W.A. CAPITAL MARKETS
NEW YORK, NY, UNITED STATES
EXPELLED FOR FAILURE TO PAY FINES AND/OR COSTS

WHITEROCK CAPITA
WHITEROCK CAPITAL GROUP, INC
NAME CHANGED TO: HEXT CAPITAL GROUP INC

WHITEROCK CAPITA
HEXT CAPITAL GROUP INC
NEW NAME OF: WHITEROCK CAPITAL GROUP, INC