| May 23, 2023 | James P. Galvin, Esq., Galvin Legal, PLLC |
| May 22, 2023 | James P. Galvin, Esq., Galvin Legal, PLLC |
| May 22, 2023 | James P. Galvin, Esq., Galvin Legal, PLLC |
| May 22, 2023 | James P. Galvin, Esq., Galvin Legal, PLLC |
| May 9, 2023 | James P. Galvin, Attorney |
| Apr. 7, 2023 | James P. Galvin, Attorney |
| Apr. 7, 2023 | James P. Galvin, Attorney |
| Apr. 7, 2023 | James P. Galvin, Attorney |
| Apr. 3, 2023 | Mignon McLemore, Associate General Counsel, Office of General Counsel, Financial Industry Regulatory Authority, Inc. |
| Dec. 21, 2022 | Russell Del Toro, Esq., TCM, P.S.C. |
| Dec. 7, 2022 | Allen Wagner |
| Dec. 7, 2022 | Andrew Hartnett, NASAA President and Deputy Commissioner, Iowa Insurance Division, North American Securities Administrators Association, Inc. |
| Dec. 7, 2022 | Kevin M. Carroll, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association |
| Dec. 7, 2022 | Hugh D. Berkson, President, Public Investors Arbitration Bar Association |
| Dec. 7, 2022 | Celiza P. Bragança, Past-President, PIABA Foundation, Inc. and Jason R. Doss, Director Past-President and Founding Director, PIABA Foundation, Inc. |
| Nov. 21, 2022 | Tosh Grebenik |
| Nov. 10, 2022 | Mignon McLemore, Associate General Counsel, FINRA |
| Oct. 13, 2022 | Lee Greer |
| Oct. 12, 2022 | Ronald Beckner |
| Oct. 11, 2022 | John O’Bannon, CPFATM Financial Advisor, Diversified Financial Group |
| Oct. 11, 2022 | Michael P. Austin, CFP |
| Oct. 8, 2022 | Randall Evans, Quality Assurance, Forge Biologics |
| Sep. 6, 2022 | Scott Eichhorn, Acting Director, University of Miami, School of Law et al. |
| Sep. 6, 2022 | Robin M. Traxler, Senior Vice President, Policy & Deputy General Counsel, Financial Services Institute |
| Sep. 6, 2022 | Seth A. Miller, General Counsel, President, Advocacy & Administration, Cambridge Investment Research, Inc. |
| Sep. 6, 2022 | Michael S. Edmiston, President, PIABA |
| Sep. 6, 2022 | William A. Jacobson, Director, Cornell Securities Law Clinic |
| Sep. 6, 2022 | Melanie Senter Lubin, President and Maryland Securities Commissioner, North American Securities Administrators Association |
| Sep. 6, 2022 | Benjamin P. Edwards, Associate Professor of Law,
University of Nevada, Las Vegas, William S. Boyd School of Law |
| Sep. 6, 2022 | Celiza Bragança, President, PIABA and Jason R. Doss, Past-President and Founding Director, PIABA |
| Sep. 6, 2022 | Samantha Giuglianotti, Legal Intern, et al. |
| Sep. 6, 2022 | Jennifer W. Burke, Esq.
On Behalf of Hennion & Walsh, Inc. |
| Sep. 2, 2022 | Kevin M. Carroll, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association |
| Aug. 31, 2022 | Michael Neal |
| Aug. 31, 2022 | Meredith A. Webber, Financial Advisor |
| Aug. 31, 2022 | Edward J. Mcmahon, Series 27, 7, 63 Advisor |
| Aug. 31, 2022 | Bruce E. Supernault |
| Aug. 30, 2022 | Richard Mitchell, Financial Advisor |
| Aug. 30, 2022 | Trish Howe |
| Aug. 30, 2022 | Tosh Grebenik, Securities Attorney |
| Aug. 30, 2022 | Anonymous, PlanMember Sec |
| Aug. 30, 2022 | Charles Altizer, IAR/Advisor |
| Aug. 30, 2022 | Scott Sonnier, RIA |
| Aug. 30, 2022 | Frederick J. Dawson, Raymond James Financial Services |
| Aug. 30, 2022 | Ross Anderson, Certified Financial Planner |
| Aug. 30, 2022 | Louis Ambrosio, RIA |
| Aug. 30, 2022 | David Holland, Financial Advisor |
| Aug. 30, 2022 | Jen Ferguson, CEO, Symphony Financial Team |
| Aug. 30, 2022 | Jesse Lunin-Pack, Registered Rep |
| Aug. 24, 2022 | Monte Snider, Wealth Advisor |
| Aug. 24, 2022 | Dochtor Kennedy, President & Founder, AdvisorLaw, LLC |
| Aug. 24, 2022 | Josh Barber |
| Aug. 23, 2022 | James Maher, Maher Financial |
| Aug. 23, 2022 | Douglas W. O'Connell, Certified Financial Planner |
| Aug. 20, 2022 | David E. Robbins |
| Aug. 18, 2022 | Steven B. Caruso |
| Aug. 17, 2022 | KK, Financial Advisor, Financial Solutions |
| Aug. 16, 2022 | Lee Rycraft, Advisor |
| Aug. 16, 2022 | Justine Tobin, ER of Tobin Company Securities LLC |
| Aug. 16, 2022 | Gregory J. Karis, CEO Investment Advisor State Registered |
| Aug. 16, 2022 | Thomas Robbins, Certified Financial Advisor |
| Aug. 16, 2022 | Victoria Staudinger, Financial Advisor |
