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 Avericom, LLC and Peter W. Bowman – Order to Cease and Desist (3/19/10)
In the Matter of PPE-Life, Inc., Rick Crocker and John Barter – Order to Cease and Desist (5/25/10)
In the Matter of 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 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 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)