2010 Notices and Orders

In the Matter of Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; Brian B. Sullivan; Gary S. Stringer; Michele F. Wood

In the Matter of Charles Duane Tinsley, St., Mark Tinsley, and Liquid Armour USA, Inc – Cease & Desist Order (1/20/10 )

In the Matter of Joel L. Gillespie, Thomas G. Carls, Carls Financial Group, Bridgewater – C&D as to Respondents Carls and Carls Financial Group (2/1/10)

In the Matter of RBC Capital Markets Corporation – Consent Order (2/5/10)

In the Matter of James L. Rapholz- Cease & Desist Order (2/10/2010)

In the Matter of JP Morgan Chase & Co. – Consent Order (2/12/10)

In the Matter of Oren Eugene Sullivan – NOI to Seek Revocation of Registration & Perm. Bar (2/22/10)

In the Matter of Credit Suisse Securities (USA) LLC – Consent Order (2/25/10)

In the Matter of Stephen Timothy Hall – Consent Order (3/5/10)

In the Matter of Morgan Stanley & Co. Incorporated – Consent Order (3/11/10)

In the Matter of Deutsche Bank Securities, Inc. – Consent Order (3/11/10)

In the Matter of James T. Orr, Debra Orr and Bounty Land Finance, Inc. – Cease & Desist (3/16/10)

In The Matter Of: Michael Mark McAdams, Robert Dane Freeman, Sr., and Global Holdings Group, LLC- Cease & Desist Order (March 18, 2010)

In the Matter of Avericom, LLC and Peter W. Bowman – C&D (3/19/10)

In the Matter of Avericom, LLC and Peter W. Bowman – Order to Cease and Desist (3/19/10)

In the Matter of Robert E. Smithfield (a.k.a Robert E. Smith) & Marlton Acceptance Corporation – Order to Cease and Desist (5/13/10)

In the Matter of Oren Eugene Sullivan – Order Imposing a Revocation of Registration & Permanent Bar From Registration (5/14/10)

In the Matter of PPE-Life, Inc., Rick Crocker and John Barter – Order to Cease and Desist (5/25/10)

In the Matter of South East Real Estate Solutions, Inc., Anthony B. Grant & Michael D. Holmes – Order to Cease & Desist (5/28/10)

In the Matter of James T. Orr, Debra Orr and Bounty Land Finance, Inc. – Consent Order as to Respondent Debra Orr (6/15/10)

In the Matter of Ace Development and Management-McDonough, LLC d/b/a Ace Management, LLC, Larry K. Morey and James E. Brown – Cease & Desist Order (6/16/10)

In the Matter of Imperia Invest IBC, Global Wealth Lifepath, Inc., Werner Jahnsen, Steve Baker, and Jody Dunn – Cease & Desist Order (6/24/10)

In the Matter of Clifton Rodney Michael (a/k/a C. Rodney Michael a/k/a Rodney Michael and R & M Loans, Inc. – Cease & Desist Order (6/28/10)

In the Matter of John Lee Wells and Contractor Protection, Inc. – Order to Cease and Desist (7/1/10)

In the Matter of John W. Elkins and Asset Protection Systems, Inc. – Consent Order (7/15/10)

In the Matter of Beyond Diamonds Investments, Inc. and Darial Chatman, a/k/a Darrell Chatman, a/k/a Darrell Chapman – Cease & Desist Order (7/19/10)

In the Matter of Goldman, Sachs & Co – Consent Order (8/9/10)

In the Matter of Clifton Rodney Michael – Consent Order (8/23/10)

In the Matter of Wells Fargo Investments, LLC – Consent Order (8/23/10)

In the Matter of E*Trade Securities, LLC – Complaint (8/24/10)

In the matter of Pamela Brubaker Rippy and Asset Preservation Specialists, Inc. – Consent Order (9/13/10)

In the Matter of BellaRock Capital Management, Inc., and Matthew J. Jones – Order to Cease & Desist (9/17/10)

In the Matter of Dream Builders of South Carolina, Inc. & Darrell Chatman – Order to Cease & Desist (9/24/10)

In the matter of Bruce Rogers – Consent Order (10/4/10)

In the Matter of Stifel, Nicolaus & Company, Incorporated – Consent Order (10/4/10)

In the Matter of John R. Davenport – Consent Order (11/5/10)

In the matter of Pamela Brubaker Rippy, and Asset Preservation Specialists, Inc. – Notice of Intent to Seek the Revocation of Investment Adviser and Investment Adviser Representative Registrations (6/3/10).

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