Securities Regulation
Choose from one of the following Securities categories:
1. Securities Regulation
| Type | Name of Action | Date |
|---|---|---|
| Consent Order |
IN THE MATTER OF Edward D. Jones & Co., L.P. |
Adopted 12/20/24 |
| Consent Order |
IN THE MATTER OF TradeStation Crypto, Inc. |
Adopted 04/23/24 |
| Administrative Consent Order |
IN THE MATTER OF Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. |
Adopted 03/06/24 |
| Administrative Consent Order |
IN THE MATTER OF Robinhood Financial |
Adopted 11/01/23 |
| Consent Order |
IN THE MATTER OF Nexo Capital Inc. |
Adopted 10/20/23 |
| Consent Order |
IN THE MATTER OF BlockFi Lending, LLC |
Adopted 03/24/22 |
| Consent Order |
IN THE MATTER OF Solium Financial Services, LLC |
Adopted 09/08/20 |
| Consent Order |
IN THE MATTER OF LPL FINANCIAL, LLC |
Adopted 02/18/19 |
| Consent Agreement |
IN THE MATTER OF CARNEY CAPITAL MANAGEMENT COMPANY AND STEPHEN T CARNEY |
Adopted 03/28/19 |
| Order of Dismissal |
IN THE MATTER OF CLEARPATH WEALTH MANAGEMENT, LLC AND PATRICK CHURCHVILLE, PRESIDENT |
Adopted 01/22/19 |
| Decision |
IN THE MATTER OF BETSY SACHS AND BROOKE SACHS |
Adopted 12/28/18 |
| Consent Agreement |
IN THE MATTER OF MORGAN STANLEY SMITH BARNEY LLC |
Adopted 08/29/18 |
| Consent Agreement |
IN THE MATTER OF KAREN M. EMMA |
Adopted 07/05/18 |
| Consent Agreement |
IN THE MATTER OF KEVIN K. HANDLEY |
Adopted 04/09/18 |
| Consent Agreement |
IN THE MATTER OF THEODORE E. MARANDA |
Adopted 08/01/17 |
| Consent Order |
IN THE MATTER OF CHRISTOPHER F. VEALE |
Adopted 05/22/17 |
| Order of Revocation |
IN THE MATTER OF BROOKVILLE CAPITAL PARTNERS LLC, AND ALI HABIB MAYAR |
Adopted 03/02/17 |
| Emergency Order to Cease and Desist |
IN THE MATTER OF VENTRUM ENERGY CORP., VENTRUM LOUSISIANA, LLP., VENTRUM LOUSISIANA, LLP., PHASE 2, ANDREW VANSLEE MANAGING PARTNER AND AARON BERGMAN REPRESENTATITVE, INDIVIDUALLY |
Adopted 10/14/16 |
| Consent Order |
IN THE MATTER OF ALI HABIB MAYAR |
Adopted 02/23/16 |
| Consent Agreement |
IN THE MATTER OF ANTONIO P. DOSSANTOS |
Adopted 01/28/16 |
| Emergency Order to Cease and Desist |
IN THE MATTER OF ANTONIO P. DOS SANTOS |
Adopted 10/5/15 |
| Emergency Order to Cease and Desist | IN THE MATTER OF T&T TAX ADVISORY GROUP,INC., T&T RETIREMENT SPECIALIST, UNIQUE FINANCIAL SERVICES, TIMOTHY M. KELLY, THEODORE E. MARANDA, AND GETEASY GROUP | Adopted 09/16/15 |
| Administrative Consent Order |
IN THE MATTER OF CITIGROUP GLOBAL MARKETS, INC. |
Adopted 07/22/15 |
| Request For Leave To Amend Order To Show Cause |
IN THE MATTER OF CLEARPATH WEALTH MANAGEMENT, LLC |
Adopted 06/10/15 |
| Consent Order Making Findings and Imposing Remedial Sanctions |
IN THE MATTER OF BARRET & CO. |
Adopted 04/13/15 |
| Consent Agreement |
IN THE MATTER OF BAILEY WEALTH ADVISORS, INC. |
Adopted 12/16/14 |
| Consent Agreement |
IN THE MATTER OF M.W. ARAGAO INVESTMENT ADVISORS LLC |
Adopted 12/03/14 |
| Order Requiring Surety Bond |
IN THE MATTER OF GRAND STREET INVESTORS, LLC |
Adopted 11/18/14 |
| Consent Agreement |
IN THE MATTER OF GRAND STREET INVESTORS, LLC |
Adopted 11/18/14 |
| Consent Agreement |
IN THE MATTER OF MAUCH INVESTMENT SERVICES |
Adopted 11/18/14 |
| Consent Agreement |
IN THE MATTER OF LPL FINANCIAL LLC |
Adopted 08/29/14 |
| Consent Order | IN THE MATTER OF J.P. MORGAN SECURITIES, LLC. | Adopted 06/02/14 |
| Consent Order | IN THE MATTER OF UBS FINANCIAL SERVICES, INC. | Adopted 11/18/13 |
| Consent Order | IN THE MATTER OF RBC CAPITAL MARKETS, LLC | Adopted 11/05/13 |
| Consent Agreement | IN THE MATTER OF LEE KRASNER GROUP, LTD | Adopted 04/24/13 |
| Consent Order | IN THE MATTER OF STEPHEN E. GAGNON | Adopted 03/25/13 |
| Consent Order | IN THE MATTER OF LELAND ENERGY INC.,LELAND KENTUCKY HOLDINGS, INC., STEPHEN THOMPSON, PRESIDENT, AND KIRTAN KHALSA REPRESENTATIVE INDIVIDUALLY | Adopted 01/11/13 |
| Consent Order Making Findings and Imposing Remedial Sanctions | IN THE MATTER OF MML INVESTORS SERVICES, LLC | Adopted 12/06/12 |
| Consent Order | IN THE MATTER OF BRIAN R. MCKENNA | Adopted 11/14/12 |
| Consent Agreement | IN THE MATTER OF KLR INVESTMENT ADVISORS, LLC | Adopted 11/13/12 |
| Consent Order | IN THE MATTER OF UVEST FINANCIAL SERVICES GROUP, INC. | Adopted 10/15/12 |
| Consent Agreement | IN THE MATTER OF COASTAL MANAGEMENT GROUP, LLC - MICHAEL G. RILEY | Adopted 09/11/12 |
| Consent Order | IN THE MATTER OF BANKERS LIFE AND CASUALTY COMPANY and BLC FINANCIAL SERVICES, INC. | Adopted 06/19/12 |
| Final Order of Dismissal | IN THE MATTER OF FALCON LTD., ROCCO P. DESIMONE, AND GAIL M. DESIMONE | Adopted 04/23/12 |
| Emergency Order to Cease and Desist | - IN THE MATTER OF LELAND ENERGY, INC., LELAND KENTUCKY HOLDINGS, INC., STEPHEN THOMPSON, PRESIDENT AND KIRTAN KHALSA, REPRESENTATIVE INDIVIDUALLY | Adopted 03/05/12 |
| Consent Agreement | IN THE MATTER OF LEONARD MARTIN & ASSOCIATES, INC. | Adopted 11/09/11 |
| Consent Order | IN THE MATTER OF LAURIE MARIE TURCHETTI | Adopted 11/01/11 |
| Consent Agreement | IN THE MATTER OF LEONARD MARTIN & ASSOCIATES, INC. | Adopted 09/13/11 |
| Consent Order | IN THE MATTER OF RAYMOND JAMES & ASSOCIATES, INC., AND RAYMOND JAMES FINANCIAL SERVICES, INC. | Adopted 08/26/11 |
| Final Order of Dismissal | IN THE MATTER OF ROBERTA NARRIN | Adopted 07/14/11 |
| Decision and Final Order | IN THE MATTER OF MARTIN BENJAMIN FEIBISH | Adopted 06/20/11 |
| Consent Order | IN THE MATTER OF BANCO ESPÍRITO SANTOS S.A. | Adopted 03/04/11 |
| Consent Agreement | IN THE MATTER OF GEA SPHERE, LLC | Adopted 12/14/10 |
| Consent Agreement | IN THE MATTER OF MORGAN KEEGAN & CO., INC. | Adopted 11/30/10 |
| Consent Agreement | IN THE MATTER OF CBG FINANCIAL GROUP, INC. | Adopted 11/16/10 |
| Consent Order | IN THE MATTER OF WELLS FARGO INVESTMENTS, LLC | Adopted 08/25/10 |
| Consent Order | IN THE MATTER OF STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD #793) | Adopted 08/10/10 |
| Consent Agreement | IN THE MATTER OF HOLD BROTHERS ONLINE INVESTMENT SERVICES LLC | Adopted 08/10/10 |
| Consent Order | IN THE MATTER OF UBS SECURITIES, LLC AND UBS FINANCIAL SERVICES, INC. | Adopted 05/25/10 |
| Consent Agreement | IN THE MATTER OF GOLDMAN, SACHS & CO. | Adopted 04/30/10 |
| Cease and Desist Order | IN THE MATTER OF M & M IRON WORKS, LLC. MARIO M. PERRETTA, AND SEAN M. BOYLE | Adopted 03/30/10 |
| Final Order | IN THE MATTER OF KIM BO | Adopted 12/04/09 |
| Consent Order | IN THE MATTER OF MORGAN STANLEY & CO. INCORPORATED (CRD #8209) | Adopted 11/30/09 |
| Consent Order | IN THE MATTER OF CREDIT SUISSE SECURITIES (USA) LLC. | Adopted 11/27/09 |
| 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 GLOBAL 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 CHRISTOPHER NOWAK | Adopted 02/03/09 |
| 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 |
| Emergency Cease and Desist Order | IN THE MATTER OF WILLIAM G. STANLEY, STONEWOOD TRUST | Adopted 05-25-05 |
2. Charities Regulation
| Type | Name of Action | Date |
|---|---|---|
| Consent Agreement | IN THE MATTER OF FILOMENA FUND | Adopted 05/23/23 | Consent Order | IN THE MATTER OF DENNIS TURCHETTA, DT ENTERPRISES, LLC. | Adopted 11/16/15 |
| Consent Agreement | IN THE MATTER OF ALPHA ONE FOUNDATION, INC. | Adopted 03/27/15 |
| Decision and Cease and Desist Order | IN THE MATTER OF RONALD ROTATORI, RONNIE D. AND ASSOCIATES | Adopted 11/12/13 |
| Consent Agreement | IN THE MATTER OF ALLERGY & ASTHMA NETWORK/MOTHERS OF ASTHMATICS, INC. | Adopted 08/25/11 |
| Consent Agreement | IN THE MATTER OF HERITAGE FOUNDATION | Adopted 07/06/11 |
| Consent Agreement | IN THE MATTER OF AMYOTROPHIC LATERAL SCLEROSIS | Adopted 06/06/11 |
| Consent Agreement | IN THE MATTER OF EAST COAST MARKETING GROUP | Adopted 05/18/11 |
| Consent Order | IN THE MATTER OF GRISWOLD & GRISWOLD, INC. | Adopted 05/06/11 |
| Consent Agreement | IN THE MATTER OF CROHN'S & COLITIS FOUNDATION OF AMERICA, INC. | Adopted 12/01/10 |
| Consent Agreement | IN THE MATTER OF WATERSHED GROUP, LLC | Adopted 11/10/10 |
| Consent Agreement | IN THE MATTER OF SHARE GROUP, INC. | Adopted 08/04/10 |
| Final Order | IN THE MATTER OF FOCUS MARKETING GROUP | Adopted 02/16/10 |
| Final Order | IN THE MATTER OF INFINITY MARKETING FIRM AND MARK HEMPHILL, PATRICK KANE, EUGENE ZAYDES, SHELDON LUTHER, MARGARET DUNPHY, GERALD AUBIN AND LYLE LOHSE | Adopted 12/15/09 |
| 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 |
3. Franchises Regulation
| Type | Name of Action | Date |
|---|---|---|
| Cease and Desist Order |
IN THE MATTER OF SmartPA GLOBAL LTD, ANDREW WRIGHT, and SARRA BEJAOUI, et al |
Adopted 09/05/2018 |
| Consent Agreement |
IN THE MATTER OF KWENCH JUICE FRANCHISING, INC. AND CHRISTOS GREGORIS |
Adopted 02/13/2017 |
| Consent Order Making Findings and Imposing Remedial Actions |
IN THE MATTER OF FIT BODY BOOTCAMP, INC. |
Adopted 09/16/2016 |
| Consent Order Making Findings and Imposing Remedial Actions |
IN THE MATTER OF WEATHERSBY GUILD, INC. |
Adopted 06/29/15 |
| Consent Agreement | IN THE MATTER OF TMA FRANCHISING, INC. d/b/a THE MOSQUITY AUTHORITY | Adopted 10/07/13 |
| Cease and Desist Order | IN THE MATTER OF TRISTATE ENTERPRISE, ANTHONY DESIMONE, AND DAVID A. CIVETTI | Adopted 04/23/2012 |
| Decision | IN THE MATTER OF CRD ENTERPRISES INC. d/b/a JAN-PRO CLEANING SYSTEMS OF SOUTHERN NEW ENGLAND | Adopted 06/07/11 |
| Consent Order | IN THE MATTER OF FETCH! PET CARE, INC. | Adopted 01/28/11 |
| 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 |