In the Matter of Richard L. Grounsell and Collaborative Med, LLC – Consent Order (1/11/12).
In the Matter of Stephen P. Richmond and Great Nation Financial Corporation – Complaint (2/2/12).
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 Kelly Malone, Eugene Royals, and Coastline Group, LLC – Orders (3/21/12).
In the Matter of Ronnie Gene Wilson and Atlantic Bullion & Coin, Inc., and Southern First Bancshares, Inc. – Motion for Temporary Restraining Order (3/22/12).
In the Matter of Ronnie Gene Wilson and Atlantic Bullion & Coin, Inc., and Southern First Bancshares, Inc. – Temporary Restraining Order (3/22/12) .
In the Matter of Ronnie Gene Wilson and Atlantic Bullion & Coin, Inc., and Southern First Bancshares, Inc. – Consent Order Granting Temporary Injunction (4/2/12) .
In the Matter of ProEquities, Inc. – Consent Order (7/17/12).
In the Matter of Robert Marzbanian. – Cease & Desist Order (8/2/12).
In the Matter of Allen Charles Johnson & Joy Enterprise Inc, – Cease & Desist Order (8/2/12).
In the Matter of Jeffrey Garland Kelly. – Cease and Desist Order (8/10/12).
In the Matter of Michael D. Lowery – Cease and Desist Order (8/22/12).
In the Matter of UVEST Financial Services Group, Inc. – Consent Order (9/10/12).
In the Matter of Joseph A. Hilton – Cease and Desist Order (10/11/12).
In the Matter of Joey R. Preston – Complaint (10/23/12).
In the Matter of Joel Sledge – Order to Cease and Desist (12/17/12).