Administrative Proceeding File No. 3-15527

Respondents

Ferraro, Alan

Release Date	Release Number	Other Release Numbers	Name of Document
Release Date: March 12, 2014	Release Number:34-71708	Other Release Numbers:	Name of Document: Notice That Initial Decision Has Become Final
Release Date: Jan. 30, 2014	Release Number:558	Other Release Numbers:	Name of Document: Initial Decision
Release Date: Oct. 16, 2013	Release Number:AP-962	Other Release Numbers:	Name of Document: Order Granting Joint Motion and Ordering Division to File Supplemental Materials
Release Date: Sept. 30, 2013	Release Number:AP-927	Other Release Numbers:	Name of Document: Order Scheduling Hearing and Designating Presiding Judge
Release Date: Sept. 26, 2013	Release Number:34-70534	Other Release Numbers:	Name of Document: Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing

Release Date	Release Number	Other Release Numbers	Name of Document
Release Date: Oct. 15, 2013	Release Number:	Other Release Numbers:	Name of Document:Joint Motion & Brief in Support of an Order Making Findings and Imposing Sanctions by Consent, and for Cancellation of Hearing and Prehearing Teleconference
Release Date: Jan. 30, 2014	Release Number:	Other Release Numbers:	Name of Document:Initial Decision
Release Date: Sept. 26, 2013	Release Number:	Other Release Numbers:	Name of Document:Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Release Date: March 12, 2014	Release Number:	Other Release Numbers:	Name of Document:Notice That Initial Decision Has Become Final
Release Date: Sept. 30, 2013	Release Number:	Other Release Numbers:	Name of Document:Order Scheduling Hearing and Designating Presiding Judge
Release Date: Oct. 16, 2013	Release Number:	Other Release Numbers:	Name of Document:Order Granting Joint Motion and Ordering Division to File Supplemental Materials