Trustmont Advisory Group, Inc..

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action

Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
1062112
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
DOCHINEZ, PETER, DANIEL
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
2.
Principal Sanction:
Other
Other Sanctions: 
N/A
3.
Date Initiated (MM/DD/YYYY): 
06/06/2011
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
2009016311801

5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
TRUSTMONT FINANCIAL GROUP, INC.
6.
Principal Product Type:
No Product
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
FINRA RULE 2010, NASD RULES 2110, 3011(C), 3012, MSRB RULE G-27: A MEMBER FIRM, ACTING THROUGH DOCHINEZ, THE FIRM'S PRESIDENT, CHIEF
EXECUTIVE OFFICER (CEO) AND PRINCIPAL, FAILED TO ESTABLISH, MAINTAIN AND ENFORCE AN ADEQUATE SYSTEM OF SUPERVISORY CONTROL
POLICIES AND PROCEDURES THAT (A) TESTED AND VERIFIED THAT ITS SUPERVISORY PROCEDURES WERE REASONABLY DESIGNED WITH RESPECT TO
THE ACTIVITIES OF THE FIRM AND ITS REGISTERED REPRESENTATIVES AND ASSOCIATED PERSONS TO ACHIEVE COMPLIANCE WITH APPLICABLE
SECURITIES LAWS AND REGULATIONS AND (B) CREATED ADDITIONAL OR AMENDED SUPERVISORY PROCEDURES WHERE THE NEED WAS IDENTIFIED BY
SUCH TESTING AND VERIFICATION. SPECIFICALLY, THE FIRM'S SUPERVISORY CONTROL POLICIES AND PROCEDURES FAILED TO ADDRESS THESE
REQUIREMENTS: DESIGNATING A PRINCIPAL RESPONSIBLE FOR THE FIRM'S SUPERVISORY CONTROL POLICIES AND PROCEDURES; TESTING AND
VERIFICATION TO ENSURE REASONABLY-DESIGNED SUPERVISORY PROCEDURES; UPDATING THE FIRM'S WRITTEN SUPERVISORY PROCEDURES TO
ADDRESS DEFICIENCIES NOTED DURING TESTING; DESIGNATING A PRINCIPAL RESPONSIBLE FOR THE ANNUAL REPORT TO SENIOR MANAGEMENT ON
THE FIRM'S SYSTEM OF SUPERVISORY CONTROLS PROCEDURES, SUMMARY OF TEST RESULTS, SIGNIFICANT IDENTIFIED EXCEPTIONS, AND ANY
ADDITIONAL OR AMENDED PROCEDURES; IDENTIFYING PRODUCING MANAGERS AND ASSIGNING QUALIFIED PRINCIPALS TO SUPERVISE SUCH
MANAGERS; USING THE "LIMITED SIZE AND RESOURCES" EXCEPTION FOR PRODUCING MANAGERS' SUPERVISION, INCLUDING DOCUMENTING THE
FACTORS RELIED ON IN DETERMINING THAT THE EXCEPTION IS NECESSARY; ELECTRONICALLY NOTIFYING FINRA OF ITS RELIANCE ON THE "LIMITED
SIZE AND RESOURCES" EXCEPTION; REVIEWING AND MONITORING ALL TRANSMITTALS OF CUSTOMER FUNDS AND SECURITIES; REVIEWING,
MONITORING AND VALIDATING CUSTOMER CHANGES OF ADDRESS AND CUSTOMER CHANGES OF INVESTMENT OBJECTIVES; AND PROVIDING
HEIGHTENED SUPERVISION OVER THE ACTIVITIES OF EACH PRODUCING MANAGER. IN ADDITION, THE FIRM, ACTING THROUGH DOCHINEZ, FAILED TO
CONDUCT INDEPENDENT TESTS OF THE FIRM'S ANTI-MONEY LAUNDERING COMPLIANCE PROGRAM (AMLCP) IN 2007 AND 2008, AS REQUIRED BY NASD
RULE 3011.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Acceptance, Waiver & Consent(AWC)
11. Resolution Date (MM/DD/YYYY):
06/06/2011
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
CIVIL AND ADMINISTRATIVE PENALTY(IES)/FINE(S)
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
IF DISPOSITION RESULTED IN A FINE, PENALTY, RESTITUTION, DISGORGEMENT OR MONETARY COMPENSATION, PROVIDE: MONETARY RELATED
SANCTION TYPE: CIVIL AND ADMINISTRATIVE PENALTY(IES)/FINE(S) TOTAL AMOUNT: $ 10,000.00 PORTION LEVIED AGAINST THE SUBJECT: $
10,000.00 PAYMENT PLAN: IS PAYMENT PLAN CURRENT? RADIO BUTTON NOT SELECTED YES RADIO BUTTON NOT SELECTED NO DATE PAID BY THE
SUBJECT (MM/DD/YYYY): 06/21/2011 RADIO BUTTON SELECTED EXACT RADIO BUTTON NOT SELECTED EXPLANATION IF NOT EXACT, PROVIDE
EXPLANATION: WAS ANY PORTION OF PENALTY WAIVED? RADIO BUTTON NOT SELECTED YES RADIO BUTTON SELECTED NO
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
FINRA RULE 2010, NASD RULES 2110, 3011(C), 3012, MSRB RULE G-27: A MEMBER FIRM, ACTING THROUGH DOCHINEZ, THE FIRM'S PRESIDENT, CHIEF
EXECUTIVE OFFICER (CEO) AND PRINCIPAL, FAILED TO ESTABLISH, MAINTAIN AND ENFORCE AN ADEQUATE SYSTEM OF SUPERVISORY CONTROL
POLICIES AND PROCEDURES THAT (A) TESTED AND VERIFIED THAT ITS SUPERVISORY PROCEDURES WERE REASONABLY DESIGNED WITH RESPECT TO
THE ACTIVITIES OF THE FIRM AND ITS REGISTERED REPRESENTATIVES AND ASSOCIATED PERSONS TO ACHIEVE COMPLIANCE WITH APPLICABLE

SECURITIES LAWS AND REGULATIONS AND (B) CREATED ADDITIONAL OR AMENDED SUPERVISORY PROCEDURES WHERE THE NEED WAS IDENTIFIED BY
SUCH TESTING AND VERIFICATION. SPECIFICALLY, THE FIRM'S SUPERVISORY CONTROL POLICIES AND PROCEDURES FAILED TO ADDRESS THESE
REQUIREMENTS: DESIGNATING A PRINCIPAL RESPONSIBLE FOR THE FIRM'S SUPERVISORY CONTROL POLICIES AND PROCEDURES; TESTING AND
VERIFICATION TO ENSURE REASONABLY-DESIGNED SUPERVISORY PROCEDURES; UPDATING THE FIRM'S WRITTEN SUPERVISORY PROCEDURES TO
ADDRESS DEFICIENCIES NOTED DURING TESTING; DESIGNATING A PRINCIPAL RESPONSIBLE FOR THE ANNUAL REPORT TO SENIOR MANAGEMENT ON
THE FIRM'S SYSTEM OF SUPERVISORY CONTROLS PROCEDURES, SUMMARY OF TEST RESULTS, SIGNIFICANT IDENTIFIED EXCEPTIONS, AND ANY
ADDITIONAL OR AMENDED PROCEDURES; IDENTIFYING PRODUCING MANAGERS AND ASSIGNING QUALIFIED PRINCIPALS TO SUPERVISE SUCH
MANAGERS; USING THE "LIMITED SIZE AND RESOURCES" EXCEPTION FOR PRODUCING MANAGERS' SUPERVISION, INCLUDING DOCUMENTING THE
FACTORS RELIED ON IN DETERMINING THAT THE EXCEPTION IS NECESSARY; ELECTRONICALLY NOTIFYING FINRA OF ITS RELIANCE ON THE "LIMITED
SIZE AND RESOURCES" EXCEPTION; REVIEWING AND MONITORING ALL TRANSMITTALS OF CUSTOMER FUNDS AND SECURITIES; REVIEWING,
MONITORING AND VALIDATING CUSTOMER CHANGES OF ADDRESS AND CUSTOMER CHANGES OF INVESTMENT OBJECTIVES; AND PROVIDING
HEIGHTENED SUPERVISION OVER THE ACTIVITIES OF EACH PRODUCING MANAGER. IN ADDITION, THE FIRM, ACTING THROUGH DOCHINEZ, FAILED TO
CONDUCT INDEPENDENT TESTS OF THE FIRM'S ANTI-MONEY LAUNDERING COMPLIANCE PROGRAM (AMLCP) IN 2007 AND 2008, AS REQUIRED BY NASD
RULE 3011.