Administrative Proceeding File No. 3-15546

Respondents

Brandolino, James L.

Release Date	Release Number	Other Release Numbers	Name of Document
Release Date: Nov. 20, 2013	Release Number:529	Other Release Numbers:	Name of Document: Initial Decision Making Findings and Imposing Sanction by Default
Release Date: Oct. 21, 2013	Release Number:AP-974	Other Release Numbers:	Name of Document: Postponement Order
Release Date: Oct. 2, 2013	Release Number:AP-935	Other Release Numbers:	Name of Document: Order Scheduling Hearing and Designating Presiding Judge
Release Date: Sept. 30, 2013	Release Number:34-70581	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: Nov. 20, 2013	Release Number:	Other Release Numbers:	Name of Document:Initial Decision Making Findings and Imposing Sanction by Default
Release Date: Sept. 30, 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: Jan. 15, 2014	Release Number:	Other Release Numbers:	Name of Document:Notice That Initial Decision Has Become Final
Release Date: Oct. 2, 2013	Release Number:	Other Release Numbers:	Name of Document:Order Scheduling Hearing and Designating Presiding Judge
Release Date: Oct. 21, 2013	Release Number:	Other Release Numbers:	Name of Document:Postponement Order