Notices and Orders

Theodore J. Collins & Trust Management Associates

In the Matter of A.G. Edwards & Sons, Inc – Consent Order (Auguest 22, 2007)

In the Matter of Advantgage Advisory Services, Inc. and Kenneth J. Pujdak – Notice of Intent to Seek Denial of Pending Applications for Registration as an Investment Adviser Representative

In the Matter of Advantage Advisory Services, Inc., and Kenneth J. Pujdak – Consent Order (April 4, 2007)

In the Matter of E. Thomas Byrd, Jr. – Consent Order (January 31, 2007)

In the Matter of Capital Intrastate Funding, LLC – Notice of Intent to Seek the Issuance of a Stop Order Denying Effectiveness to a Registration Statement (October 9, 2007)

In the Matter of Capital Investment Funding, L.L.C. – Notice of Intent to seek the Issuance of a Stop Order Denying Effectiveness to a Registration Statement and to Seek the Issuance of an Order Revoking Available Exemptions (May 11, 2007)

In the Matter of Capital Investment Funding, L.L.C. – Resolution Letter (February 19, 2008)

In the Matter of Cambridge Credit, Inc., and Anne C. Brown – Consent Order (July 31, 2007)

In the Matter of Christopher A. Corso, Sr. – Order Revoking Registration and Imposing a Permanent Bar from Registration (August 21, 2008)

In the Matter of Christopher A. Corso, Sr. – Motion for an Order Revoking Registration and Imposing a Permanent Bar from Registration (August 21, 2007)

In the Matter of Craig James Doherty – Order to Cease and Desist (July 29, 2008)

In the Matter of William Martin Fjeran, Jr. – Order to Cease and Desist (November 7, 2007)

In the Matter of William Martin Fjeran, Jr. – Consent Order (February 27, 2008)

In the Matter of Homer Graham and Victory Petroleum Resources Holdings, LLC – Order to Cease and Desist (November 6, 2007)

In the Matter of George Heffernan, Index Analysis Pool, L.P. and Index Analysis Services – Orders (February 9, 2007))

In the Matter of Martin Hunter and National Institute for Inventors – Order to Cease and Desist (August 10, 2007)

In the Matter of Edward H. Johnson – Administrative Complaint (December 14, 2006)

In the Matter of Edward H. Johnson – Cease and Desist Order, Permanent Bar from Registration and Administrative Fine (March 27, 2007)

In the Matter of Michael R. Kennedy d/b/a Michael R. Kennedy Investment Counsel – Order to Cease and Desist (June 18, 2007)

In the Matter of Michael R. Kennedy d/b/a Michael R. Kennedy Investment Counsel – Consent Order (June 21, 2007)

In the Matter of Live Oak Capital Group, LLC, Kenneth F. Brennan, and Gregory W. Sams – Order to Cease and Desist (June 5, 2007)

In the Matter of Peter L. McKee and American Converting Corporation – Order to Cease and Desist (September 7, 2007)

In the Matter of Tracy Mills and South Carolina Home Buyers – Consent Order (March 4, 2008)

In the Matter of Lucy Duncan-Schemen a/k/a Lucy Duncan and Carolina Linkages, Inc. d/b/a Carolinks – Order to Cease and Desist (October 12, 2007)

In the Matter of Lucy Duncan-Schemen a/k/a Lucy Duncan and Carolina Linkages, Inc. d/b/a Carolinks – Consent Order (February 1, 2008)

In the Matter of Wachovia Capital Markets, LLC – Administrative Consent Order (July 11, 2007)

In the Matter of Randy Wright and Melissa Wright Realty Investments, LLC – Order to Cease and Desist (October 22, 2007)

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

In the Matter of Kenneth Oakley Bush – Notice of Intent to Seek Order Revoking Agent & IAR Registrations (December 11, 2008)

In the Matter of Morgan Stanley & Co, Inc. – Consent Order (September 9, 2008)

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

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

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

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

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

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

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

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

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

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

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

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

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 Prosper Marketplace, Inc. – Administrative Consent Order (6/22/09)

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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 Chapman, a/k/a Darrell Chapman – Cease & Desist Order (7/19/10)

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 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 JP Morgan Chase & Co. – Consent Order (2/12/10)

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

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

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

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

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 John R. Davenport – Consent Order (11/5/10)

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

In the Matter of Morgan Stanley & Co – Complaint (1/6/11)

In the Matter of Morgan Stanley & Co – First Amended Complaint (2/4/11)

In the Matter of Morgan Stanley & Co – Consent Order (2/24/11)

In the Matter of William O. Smith & BC Fund and Management, LLC – C&D (3/2/11)

In the Matter of Ronald E. Satterfield and Graham Street FOREX Group, LLC – C&D (3/15/11)

In the Matter of JGO Financial and Shawn Wheeland – C&D (3/16/11).

In the Matter of Echo Energy Group, Dave Marlin & Paul Martin – Consent Order (3/10/11)

In the Matter of Omar Rasmi Shalabi – Notice of Intent to Revoke Agent & Investment Adviser Representative Registrations (4/1/11)

In the Matter of Jay Peroni and Faith Based Investor, LLC – Notice of Intent to Seek the Revocation of Investment Adviser and Investment Adviser Representative Registrations (5/23/11).

In the Matter of Infinity Business Group, Inc., Wade B. Cordell, Otis Bradshaw Cordell, John F. Blevins, Bryon K. Sturgill, and Haines Hargrett – Complaint (5/26/11).

In the Matter of Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., James C. Kelsoe, Jr., Brian B. Sullivan, Gary S. Stringer and Michele F. Wood – Administrative Consent Order as to Respondents Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., and James C. Kelsoe, Jr. (6/22/11).

In the Matter of Sanco Services, Inc. & Steve Selengut – Consent Order (6/9/11).

In the Matter of Todd A Blasena – Order to Cease & Desist (4/1/11).

In the Matter of Kelly Malone, Eugene Royals, and the Coastline Group, LLC – Order to Cease & Desist (7/5/11).

In the Matter of Cody Neil Rogers – Summary Suspension of Investment Adviser Representative Registration & Notice of Intent to Revoke Investment Adviser Registration and Impose a Permanent Bar (7/14/11).

In the Matter of Richard A. Krochmal and Mutual Modeling Associates, Inc. – Order to Cease & Desist (7/21/11).

In the Matter of Paul Pomfret, PDP Management, LP (d/b/a PDP Capital Investments, and PDP Growth Fund, LP – Order to Cease & Desist (7/27/11).

In the Matter of Pinnacle Management Group, LLC & Michael Amos – Consent (8/22/11).

In the Matter of Raymond James & Associates, Inc., & Raymond James Financial Services, Inc. – Consent Order(8/25/11).

In the Matter of Joyce M. Loney (aka “Anna Loney”) and Shaker Enterprises, Inc. – C&D (8/24/11).

In the Matter of Robert Dunnell House – C&D (8/24/11).

In the Matter of Cody Neil Rogers – Consent Order (9/8/11).

In the Matter of J.C. Smith & Key Investment Holdings – Cease & Desist Order (9/14/11).

In the Matter of Jay Peroni & Faith Based Investor, LLC – Consent Order (9/27/11).

In the Matter of Gary Bish, Robert A. Pikaart, John Mitchell, and Grand Strand Enterprises, Inc. – Order to Cease and Desist (9/21/11).

In the Matter of Paul Pomfret, PDP Management, LP (d/b/a “PDP Capital Investments”), and PDP Growth Fund, LP – Consent Order (10/6/11).

In the Matter of Kevin Seth Baltimore – Consent Order (10/20.11).

In the Matter of Washington Parks – Consent Order (11/16/11).

In the Matter of Richard L. Grounsell and Collaborative Med, LLC – Consent Order (1/11/12).

In the Matter of David H. Thompson – Cease & Desist (2/8/12).

In the Matter of Ronnie Gene Wilson and Atlantic Bullion & Coin, Inc. – Complaint (3/12/12).

In the Matter of Ronnie Gene Wilson and Atlantic Bullion & Coin, Inc. – Temporary Restraining Order (3/22/12).

In the Matter of Ronnie Gene Wilson and Atlantic Bullion & Coin, Inc. – Motion for Temporary Restraining Order (3/22/12).

In the Matter of Ronnie Gene Wilson and Atlantic Bullion & Coin, Inc. – Amended Complaint (3/22/12).

In the Matter of Stephen P. Richmond and Great Nation Financial Corporation – Consent Order (3/21/12).

In the Matter of Ronnie Gene Wilson and Atlantic Bullion & Coin, Inc. – Consent Order Granting Temporary Injunction (4/2/12).

In the Matter of Richard P. Krochmal, Mutual Modeling Associates, Inc., and Mutual Modeling Associates of the Carolinas, LLC – Final Order (4/11/12).

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