In the Matter of:  Ameritrade Inc. * SEC-2009-58

In the Matter of: Banc of America Securities, LLC * SEC-2009-20

In the Matter of: Donald Chouinard * SEC-2011-136

In the Matter of: Citigroup Global Markets Inc. * SEC-2009-4

In the Matter of: Cornerstone Financial ( Keith Kovick )* CDV-2009-157 * ADV-2009-157

In the Matter of: Credit Suisse Securities (USA) LLC * SEC-2009-59

In the Matter of: DBSI Inc. * 08-12687

In the Matter of: Duetsche Bank Securities Inc. * SEC-2009-39

In the Matter of: First Fidelity Financial Marketing Group of Central MT ( Koostra ) * SEC-2009-56

In the Matter of: Donald A. Garberg * 07-31-09-316C

In the Matter of: KMS Financial Services * SEC-2009-73

In the Matter of: LPL Financial Corporation * SEC-2009-46

In the Matter of: Merrill Lynch, Pierce, Fenner & Smith * SEC-2009-78

In the Matter of: JP Morgan Chase and Company * SEC-2009-38

In the Matter of: Sean M. Morgan * 07-31-09-316C

In the Matter of: Ronald Moschetta * SEC-2009-14 and CDV-2010-685

In the Matter of: Next Financial Group * SEC-2009-89

In the Matter of: Prosper Marketplace * SEC-2009-26

In the Matter of: RBC Capital Markets Corporation * SEC-2009-34

In the Matter of: Wachovia Securities, LLC * SEC-2009-5

In the Matter of: Wexl Financial * 03-16-09-2841