Enforcement Actions

Date	Type of Order	Subjects of Order
August 17, 2009	Administrative Consent Order	JP Morgan Chase & Co.
June 22, 2009	Administrative Consent Order	RBC Capital Markets Corporation
June 22, 2009	Administrative Consent Order	Merrill Lynch, Pierce, Fenner & Smith Incorporated
June 12, 2009	Administrative Consent Order	Banc of America Securities LLC Banc of America Investment Services, Inc.
May 19, 2009	Administrative Consent Order	Prosper Marketplace, Inc.
May 14, 2009	Consent Order	Pelican Development, L.L.C.
April 6, 2009	Consent Order	Life Partners Inc.
April 1, 2009	Administrative Consent Order	Wachovia Securities, LLC Wachovia Capital Markets, LLC
April 1, 2009	Administrative Consent Order	Citigroup Global Markets Inc.
March 23, 2009	Consent Order	Jammie N. Avila

Archived Enforcement Orders
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