Securities Regulation

Choose from one of the following Securities categories:

1. Securities Regulation

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Securities
Type Name of Action Date
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

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

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