| Type |
Name of Action |
Date |
| 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 |
State of Rhode Island,
Department of Business Regulation
,