Securities Regulation

• Final Order - IN THE MATTER OF GREGG T. RENNIE
  Adopted 09/02/09
• Consent Order - IN THE MATTER OF RBC CAPITAL MARKETS CORPORATION
  Adopted 08/04/09
• Consent Order - IN THE MATTER OF JPMORGAN CHASE & CO.
  Adopted 08/04/09
• Consent Order - IN THE MATTER OF AMERIPRISE ADVISOR SERVICES, INC. (formerly) H&R BLOCK FINANCIAL ADVISORS, INC. and DEAN J. CANNING, Sr.
  Adopted 07/24/09
• Consent Order - IN THE MATTER OF BANC OF AMERICA LLC and BANC OF AMERICA INVESTMENT SERVICES, INC.
  Adopted 07/14/09
• Consent Order - IN THE MATTER OF CITIGROUP BLOBAL MARKETS INC.
  Adopted 04/30/09
• Consent Order - IN THE MATTER OF WACHOVIA SECURITIES, LLC and WACHOVIA CAPITAL MARKETS, LLC
  Adopted 04/28/09
• Consent Agreement - IN THE MATTER OF STRATEGIC POINT INVESTMENT ADVISORS, LLC and PROGESSIVE FINANCIAL STRATEGIES. LLC
  Adopted 02/12/09
• Consent Order - IN THE MATTER OF DAVID J. REINDEL
  Adopted 01/21/09
• Consent Agreement - IN THE MATTER OF BTS SECURITIES CORPORATION
  Adopted 09/22/08
• Consent Agreement - IN THE MATTER OF THURSTON SPRINGER MILLER HERD & TITAK
  Adopted 09/22/08
• Consent Order - IN THE MATTER OF MORGAN STANLEY & CO. INCORPORATED
  Adopted 06/18/08
• Emergency Order - IN THE MATTER OF SOUNDBOX CORPORATION - THOMAS CARLEY, PRESIDENT
  Adopted 01/28/08
• Consent Order - IN THE MATTER OF DAVID L. ULLOM
  Adopted 11/26/07
• Consent Agreement - IN THE MATTER OF KLR INVESTMENT ADVISORS, LLC
  Adopted 09/16/07
• Consent Order - IN THE MATTER OF MORGAN STANLEY & CO. INCORPORATED
  Adopted 07/03/07
• Consent Agreement - IN THE MATTER OF PICCERELLI, GILSTEIN WEALTH SERVICES, LLC
  Adopted 05/22/07
• Consent Order - IN THE MATTER OF ABNER, HERRMAN & BROCK, LLC
  Adopted 05/11/07
• Consent Agreement - IN THE MATTER OF LINCOLN FINANCIAL ADVISORS CORP.
  Adopted 03/16/07
• Consent Agreement - IN THE MATTER OF MANARIN SECURITIES CORPORATION.
  Adopted 03/07/07
• Consent Order - IN THE MATTER OF WACHOVIA CAPITAL MARKETS, LLC.
  Adopted 01/16/07
• Consent Order - IN THE MATTER OF POND EQUITIES CORP.
  Adopted 01/02/07
• Consent Agreement - IN THE MATTER OF JANNEY MONTGOMERY SCOTT LLC.
  Adopted 12/21/06
• Consent Agreement - IN THE MATTER OF SHAREHOLDERS SERVICE GROUP, INC.
  Adopted 09/28/06
• Consent Order - IN THE MATTER OF: MICHAEL J. PALAZZO Respondent.
  Adopted 09/18/06
• Consent Order Making Findings and Imposing Remedial Sanctions - IN THE MATTER OF Young Oil Corporation. Anthony Young, and Steve Garmon Individually
  Adopted 09/06/06
• Consent Agreement - IN THE MATTER OF MAUCH INVESTMENT SERVICES
  Adopted 08/21/06
• Consent Order Making Findings and Imposing Remedial Sanctions - IN THE MATTER OF FIG Partners, LLC
  Adopted 08/16/06

Charities Regulation

• Emergency Order to Summarily Suspend Registration - IN THE MATTER OF VETERANS FAMILY FUND
  Adopted 06-10-09
• Consent Agreement - IN THE MATTER OF VETERANS OF THE VIETNAM WAR, INC. & THE VETERANS COALITION
  Adopted 06-03-09
• Consent Agreement - IN THE MATTER OF GOLD LINE PROMOTIONS, INC.
  Adopted 04-23-09
• Emergency Order to Cease and Desist - IN THE MATTER OF THOMAS J. GITY, SR.
  Adopted 03-18-09
• Stipulation - IN THE MATTER OF INFINITY MARKETING FIRM AND MARK HEMPHILL
  Adopted 02-11-09
• Stipulation - IN THE MATTER OF INFINITY MARKETING FIRM AND MARK HEMPHILL
  Adopted 01-12-09
• Emergency Order to Suspend Registration - IN THE MATTER OF FOCUS MARKETING GROUP INC.
  Adopted 12/22/08
• Order - IN THE MATTER OF INFINITY MARKETING FIRM AND MARK HEMPHILL
  Adopted 12/12/08
• Order - IN THE MATTER OF INFINITY MARKETING FIRM AND MARK HEMPHILL
  Adopted 12/05/08
• Consent Agreement - IN THE MATTER OF GRISWOLD & GRISWOLD, INC.
  Adopted 10/30/08
• Consent Agreement - IN THE MATTER OF GLORIA GEMMA BREAST CANCER RESOURCE FOUNDATION
  Adopted 10/08/08
• Consent Agreement - IN THE MATTER OF NEWPORT ART MUSEUM & ART ASSOCIATION
  Adopted 09/12/08
• Consent Agreement - IN THE MATTER OF FOCUS GROUP MARKETING
  Adopted 07/15/08
• Consent Agreement - IN THE MATTER OF KAM FUNDRAISING, INC.
  Adopted 05/16/08
• Consent Agreement - IN THE MATTER OF HANNAH STREET CONSULTING, INC.
  Adopted 05/13/08
• Final Order - IN THE MATTER OF THOMAS J. GITY.JR
  Adopted 02/04/08
• Final Order - IN THE MATTER OF PATRICK P. KANE, JR
  Adopted 01/28/08
• Consent Agreement - IN THE MATTER OF JUSTICE COMMUNICATIONS
  Adopted 11/26/07
• Consent Agreement - IN THE MATTER OF ALEX MCCRAY
  Adopted 05/10/07
• Consent Agreement - IN THE MATTER OF RHODE ISLAND COMMUNITY FOUNDATION
  Adopted 05/04/07

Franchises Regulation

• Consent Order - IN THE MATTER OF PET BUTLER FRANCHISE SERVICES CORPORATION
  Adopted 11/14/08
• Cease and Desist Order - IN THE MATTER OF TRISTATE ENTERPRISES, LLC
  Adopted 07/24/08
• Consent Agreement - IN THE MATTER OF Authentic Pizza Company dba Pier Pizza Company.
  Adopted 01/31/07
• Consent Agreement - IN THE MATTER OF REGAL NAILS FRANCHISE SYSTEMS, LLC.
  Adopted 12/22/06
• Consent Order Making Findings and Imposing Remedial Sanctions - IN THE MATTER OF Jersey Mike's Franchise Systems, Inc.
  Adopted 09/06/06