2009 Notices and Orders

In the Matter of Kenneth Oakley Bush – Notice of Intent to Seek an Order Revoking Respondent’s Agent & IAR Registrations

In the Matter of Kenneth Oakley Bush – Consent Order (3/25/09)

In the Matter of Kenneth Oakley Bush – Consent Order (March 25, 2009)

In the Matter of Wachovia Securities LLC & Wachovia Capital Markets – Admin. Consent Order (April 13, 2009)

In the matter of Louis H. Rivas and The FOREX Project- Order to Cease and Desist (April 27, 2009)

In the Matter of CP Smith Enterprises, Inc., Calvin C. Smith & Roger K. Hall – Cease & Desist Order (5/7/09)

In the matter of Reginald B. Lesley, d/b/a Reggie’s Service Inc.- Consent Order (May 13, 2009)

In the Matter of Prosper Marketplace, Inc. – Administrative Consent Order (6/22/09)

In the Matter of Samuel N Smith – C&D (6/30/09)

In the Matter of Citigroup Global Markets, Inc. – Consent Order (7/15/09)

In the Matter of Banc of America Securities LLC – Consent Order (7/28/09)

In the Matter of Scaffe, David M. – NOI to Seek Permanent Bar (8/11/09)

In the Matter of Watkins, Samuel V. – Cease & Desist Order (8/12/09)

In the Matter of Grounsell, Richard L. – Cease & Desist Order (8/27/09)

In the Matter of Merrill Lynch, Pierce, Fenner & Smith, Incorporated – Consent Order (8/31/09)

In the Matter of Samuel N. Smith – Consent Order (11/4/09)

In the Matter of Joel L. Gillespie, Thomas G. Carls, Carls Financial Group, Bridgewater – C&D (12/4/09)

In the Matter of Marc Hubbard and Sports Dimension, Inc. (SDI)- Cease & Desist Order (12/15/2009)

In the Matter of David Michael Scaffe – Order Imposing a Permanent Bar From Registration (12/16/09)

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