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)