2009 Administrative Actions

12/8/2009

In the Matter of Paul W. Gillis, Jr., d/b/a Financial Advisory Services
 

Notice of Charges
Stipulation and Consent Order
 

11/23/2009

In the Matter of Credit Suisse Securities (USA) LLC
 

Stipulation for Consent Order and Consent Order regarding Auction Rate Securities

11/19/2009

Press Release

In the Matter of JPMorgan Chase & Co.

Stipulation for Consent Order and Consent Order regarding Auction Rate Securities

10/1/2009

Press Release

In the Matter of Stifel, Nicolaus & Company, Incorporated

Notice of Charges
Stipulation for Consent Order
Consent Order

9/3/2009

In the Matter of RBC Capital Markets Corporation

Stipulation for Consent Order and Consent Order

8/21/2009

In the Matter of John A. Russell

Notice of Charges
Order Granting Summary Judgment
Final Order

7/21/2009

In the matter of Prosper Marketplace, Inc.

Stipulation for Consent Order
Consent Order
 

7/16/2009

In the Matter of Banc of America Securities, LLC and Banc of America Investment Services, Inc.

Stipulation for Consent Order
Consent Order regarding Auction Rate Securities

6/17/2009

In the Matter of Merrill Lynch Pierce Fenner & Smith Incorporated

Stipulation for Consent Order and Consent Order regarding Auction Rate Securities

4/20/2009

In the Matter of Wachovia Securities, LLC and Wachovia Capital Markets, LLC

Stipulation for Consent Order and Consent Order regarding Auction Rate Securities

4/20/2009

In the Matter of Robert W. Priest and Bob Priest Financial, Inc.

Stipulation for Consent Order
Consent Order

3/9/2009

In the Matter of Citigroup global Markets Inc.

Stipulation for Consent Order and Consent Order regarding Auction Rate Securities