2011 Notices and Orders

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

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 E+Trade Securities LLC- Consent Order (3/25/11)

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

In the matter of Michael A. Sweet, Sr. and Financial Partners, Inc. – Consent Order (4/7/2011)

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

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

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

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).