Admin Actions Category: Enforcement Orders

UBS Securities LLC; UBS Financial Services, Inc.

UBS Warburg LLC; UBS PaineWebber, Inc.

UCI Wealth Advisors LLC; Higgins (Travis)

Ultimate Holdings Corporation; Rieser (William R.)

UVEST Financial Services Group, Inc.

Wachovia Capital Markets, LLC

Wachovia Securities, LLC; Wachovia Capital Markets, LLC

Wade (Randall Martin); First Wall Street Corporation

Walker, Matthew and Pinnacle Plus Capital LLC

Walker (Timothy Ray)