Securities Regulation
Choose from one of the following Securities categories:
Securities Regulation
Securities
| Type |
Name
of Action |
Date |
| 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 |
| Final Order of Dismissal | IN THE MATTER OF NEIL PATRICK McNULTY, SR. AND ASSOCIATES, INC d/b/a McNULTY MANAGEMENT GROUP, NEIL P. McNULTY, OWNER/PRESIDENT
| Adopted 04/27/11 |
| 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 |
Charities Regulation
Charities Regulation
| Type |
Name
of Action |
Date |
| 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 |
Franchises Regulation
Franchises Regulation
| Type |
Name
of Action |
Date |
| 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 |
| Cease and Desist Order | IN THE MATTER OF NEIL PATRICK MCNULTY, SR. and ASSOCIATES, INC. d/b/a MCNULTY MANAGEMENT GROUP; NEIL P. MCNULTY, OWNER/PRESIDENT
| Adopted 01/20/11 |
| 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 |
| 
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