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Securities Regulation

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Securities Regulation

Securities
Type Name of Action Date
Consent OrderIN THE MATTER OF UBS FINANCIAL SERVICES, INC. Adopted 11/18/13
Consent OrderIN THE MATTER OF RBC CAPITAL MARKETS, LLC Adopted 11/05/13
Consent AgreementIN THE MATTER OF LEE KRASNER GROUP, LTD Adopted 04/24/13
Consent OrderIN THE MATTER OF STEPHEN E. GAGNON Adopted 03/25/13
Consent OrderIN 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 SanctionsIN THE MATTER OF MML INVESTORS SERVICES, LLC Adopted 12/06/12
Consent OrderIN THE MATTER OF BRIAN R. MCKENNA Adopted 11/14/12
Consent AgreementIN THE MATTER OF KLR INVESTMENT ADVISORS, LLC Adopted 11/13/12
Consent OrderIN THE MATTER OF UVEST FINANCIAL SERVICES GROUP, INC. Adopted 10/15/12
Consent AgreementIN THE MATTER OF COASTAL MANAGEMENT GROUP, LLC - MICHAEL G. RILEY Adopted 09/11/12
Consent OrderIN THE MATTER OF BANKERS LIFE AND CASUALTY COMPANY and BLC FINANCIAL SERVICES, INC. Adopted 06/19/12
Final Order of DismissalIN 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 AgreementIN THE MATTER OF LEONARD MARTIN & ASSOCIATES, INC. Adopted 11/09/11
Consent OrderIN THE MATTER OF LAURIE MARIE TURCHETTI Adopted 11/01/11
Consent AgreementIN THE MATTER OF LEONARD MARTIN & ASSOCIATES, INC. Adopted 09/13/11
Consent OrderIN THE MATTER OF RAYMOND JAMES & ASSOCIATES, INC., AND RAYMOND JAMES FINANCIAL SERVICES, INC. Adopted 08/26/11
Final Order of DismissalIN THE MATTER OF ROBERTA NARRIN Adopted 07/14/11
Decision and Final OrderIN THE MATTER OF MARTIN BENJAMIN FEIBISH Adopted 06/20/11
Final Order of DismissalIN 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 OrderIN THE MATTER OF BANCO ESPÍRITO SANTOS S.A. Adopted 03/04/11
Consent AgreementIN THE MATTER OF GEA SPHERE, LLC Adopted 12/14/10
Consent AgreementIN THE MATTER OF MORGAN KEEGAN & CO., INC. Adopted 11/30/10
Consent AgreementIN THE MATTER OF CBG FINANCIAL GROUP, INC. Adopted 11/16/10
Consent OrderIN THE MATTER OF WELLS FARGO INVESTMENTS, LLC Adopted 08/25/10
Consent OrderIN THE MATTER OF STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD #793) Adopted 08/10/10
Consent AgreementIN THE MATTER OF HOLD BROTHERS ONLINE INVESTMENT SERVICES LLC Adopted 08/10/10
Consent OrderIN THE MATTER OF UBS SECURITIES, LLC AND UBS FINANCIAL SERVICES, INC. Adopted 05/25/10
Consent AgreementIN THE MATTER OF GOLDMAN, SACHS & CO. Adopted 04/30/10
Cease and Desist OrderIN THE MATTER OF M & M IRON WORKS, LLC. MARIO M. PERRETTA, AND SEAN M. BOYLE Adopted 03/30/10
Final OrderIN THE MATTER OF KIM BO Adopted 12/04/09
Consent OrderIN THE MATTER OF MORGAN STANLEY & CO. INCORPORATED (CRD #8209) Adopted 11/30/09
Consent OrderIN THE MATTER OF CREDIT SUISSE SECURITIES (USA) LLC. Adopted 11/27/09
Final OrderIN THE MATTER OF GREGG T. RENNIE Adopted 09/02/09
Consent OrderIN THE MATTER OF RBC CAPITAL MARKETS CORPORATION Adopted 08/04/09
Consent OrderIN THE MATTER OF JPMORGAN CHASE & CO. Adopted 08/04/09
Consent OrderIN THE MATTER OF AMERIPRISE ADVISOR SERVICES, INC. (formerly) H&R BLOCK FINANCIAL ADVISORS, INC. and DEAN J. CANNING, Sr. Adopted 07/24/09
Consent OrderIN THE MATTER OF BANC OF AMERICA LLC and BANC OF AMERICA INVESTMENT SERVICES, INC. Adopted 07/14/09
Consent OrderIN THE MATTER OF CITIGROUP GLOBAL MARKETS INC. Adopted 04/30/09
Consent OrderIN THE MATTER OF WACHOVIA SECURITIES, LLC and WACHOVIA CAPITAL MARKETS, LLC Adopted 04/28/09
Consent AgreementIN THE MATTER OF STRATEGIC POINT INVESTMENT ADVISORS, LLC and PROGESSIVE FINANCIAL STRATEGIES. LLC Adopted 02/12/09
Consent OrderIN THE MATTER OF CHRISTOPHER NOWAK Adopted 02/03/09
Consent OrderIN THE MATTER OF DAVID J. REINDEL Adopted 01/21/09
Consent AgreementIN THE MATTER OF BTS SECURITIES CORPORATION Adopted 09/22/08
Consent AgreementIN THE MATTER OF THURSTON SPRINGER MILLER HERD & TITAK Adopted 09/22/08
Consent OrderIN THE MATTER OF MORGAN STANLEY & CO. INCORPORATED Adopted 06/18/08
Emergency OrderIN THE MATTER OF SOUNDBOX CORPORATION - THOMAS CARLEY, PRESIDENT Adopted 01/28/08
Consent OrderIN THE MATTER OF DAVID L. ULLOM Adopted 11/26/07
Consent AgreementIN THE MATTER OF KLR INVESTMENT ADVISORS, LLC Adopted 09/16/07
Consent OrderIN THE MATTER OF MORGAN STANLEY & CO. INCORPORATED Adopted 07/03/07
Consent AgreementIN THE MATTER OF PICCERELLI, GILSTEIN WEALTH SERVICES, LLC Adopted 05/22/07
Consent OrderIN THE MATTER OF ABNER, HERRMAN & BROCK, LLC Adopted 05/11/07
Consent AgreementIN THE MATTER OF LINCOLN FINANCIAL ADVISORS CORP. Adopted 03/16/07
Consent AgreementIN THE MATTER OF MANARIN SECURITIES CORPORATION. Adopted 03/07/07
Consent OrderIN THE MATTER OF WACHOVIA CAPITAL MARKETS, LLC. Adopted 01/16/07
Consent OrderIN THE MATTER OF POND EQUITIES CORP. Adopted 01/02/07
Consent AgreementIN THE MATTER OF JANNEY MONTGOMERY SCOTT LLC. Adopted 12/21/06
Consent AgreementIN THE MATTER OF SHAREHOLDERS SERVICE GROUP, INC. Adopted 09/28/06
Consent OrderIN THE MATTER OF: MICHAEL J. PALAZZO Respondent. Adopted 09/18/06
Consent Order Making Findings and Imposing Remedial SanctionsIN THE MATTER OF Young Oil Corporation. Anthony Young, and Steve Garmon Individually Adopted 09/06/06
Consent AgreementIN THE MATTER OF MAUCH INVESTMENT SERVICES Adopted 08/21/06
Consent Order Making Findings and Imposing Remedial SanctionsIN THE MATTER OF FIG Partners, LLC Adopted 08/16/06
Emergency Cease and Desist OrderIN THE MATTER OF WILLIAM G. STANLEY, STONEWOOD TRUST Adopted 05-25-05



Charities Regulation

Charities Regulation
Type Name of Action Date
Consent AgreementIN THE MATTER OF ALZHEIMER'S DISEASE RESEARCH FOUNDATION d/b/a ALZHEIMER'S FUND Adopted 06/02/2014
Decision and Cease and Desist OrderIN THE MATTER OF RONALD ROTATORI, RONNIE D. AND ASSOCIATES Adopted 11/12/13
Consent AgreementIN THE MATTER OF ALLERGY & ASTHMA NETWORK/MOTHERS OF ASTHMATICS, INC. Adopted 08/25/11
Consent AgreementIN THE MATTER OF HERITAGE FOUNDATION Adopted 07/06/11
Consent AgreementIN THE MATTER OF AMYOTROPHIC LATERAL SCLEROSIS Adopted 06/06/11
Consent AgreementIN THE MATTER OF EAST COAST MARKETING GROUP Adopted 05/18/11
Consent OrderIN THE MATTER OF GRISWOLD & GRISWOLD, INC. Adopted 05/06/11
Consent AgreementIN THE MATTER OF CROHN'S & COLITIS FOUNDATION OF AMERICA, INC. Adopted 12/01/10
Consent AgreementIN THE MATTER OF WATERSHED GROUP, LLC Adopted 11/10/10
Consent AgreementIN THE MATTER OF SHARE GROUP, INC. Adopted 08/04/10
Final OrderIN THE MATTER OF FOCUS MARKETING GROUP Adopted 02/16/10
Final OrderIN 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 RegistrationIN THE MATTER OF VETERANS FAMILY FUND Adopted 06-10-09
Consent AgreementIN THE MATTER OF VETERANS OF THE VIETNAM WAR, INC. & THE VETERANS COALITION Adopted 06-03-09
Consent AgreementIN THE MATTER OF GOLD LINE PROMOTIONS, INC. Adopted 04-23-09
Emergency Order to Cease and DesistIN THE MATTER OF THOMAS J. GITY, SR. Adopted 03-18-09
StipulationIN THE MATTER OF INFINITY MARKETING FIRM AND MARK HEMPHILL Adopted 02-11-09
StipulationIN THE MATTER OF INFINITY MARKETING FIRM AND MARK HEMPHILL Adopted 01-12-09
Emergency Order to Suspend RegistrationIN THE MATTER OF FOCUS MARKETING GROUP INC. Adopted 12/22/08
OrderIN THE MATTER OF INFINITY MARKETING FIRM AND MARK HEMPHILL Adopted 12/12/08
OrderIN THE MATTER OF INFINITY MARKETING FIRM AND MARK HEMPHILL Adopted 12/05/08
Consent AgreementIN THE MATTER OF GRISWOLD & GRISWOLD, INC. Adopted 10/30/08
Consent AgreementIN THE MATTER OF GLORIA GEMMA BREAST CANCER RESOURCE FOUNDATION Adopted 10/08/08
Consent AgreementIN THE MATTER OF NEWPORT ART MUSEUM & ART ASSOCIATION Adopted 09/12/08
Consent AgreementIN THE MATTER OF FOCUS GROUP MARKETING Adopted 07/15/08
Consent AgreementIN THE MATTER OF KAM FUNDRAISING, INC. Adopted 05/16/08
Consent AgreementIN THE MATTER OF HANNAH STREET CONSULTING, INC. Adopted 05/13/08
Final OrderIN THE MATTER OF THOMAS J. GITY.JR Adopted 02/04/08
Final OrderIN THE MATTER OF PATRICK P. KANE, JR Adopted 01/28/08
Consent AgreementIN THE MATTER OF JUSTICE COMMUNICATIONS Adopted 11/26/07
Consent AgreementIN THE MATTER OF ALEX MCCRAY Adopted 05/10/07
Consent AgreementIN THE MATTER OF RHODE ISLAND COMMUNITY FOUNDATION Adopted 05/04/07



Franchises Regulation

Franchises Regulation
Type Name of Action Date
Consent AgreementIN 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 OrderIN THE MATTER OF FETCH! PET CARE, INC. Adopted 01/28/11
Cease and Desist OrderIN 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 OrderIN THE MATTER OF PET BUTLER FRANCHISE SERVICES CORPORATION Adopted 11/14/08
Cease and Desist OrderIN THE MATTER OF TRISTATE ENTERPRISES, LLC Adopted 07/24/08
Consent AgreementIN THE MATTER OF Authentic Pizza Company dba Pier Pizza Company. Adopted 01/31/07
Consent AgreementIN THE MATTER OF REGAL NAILS FRANCHISE SYSTEMS, LLC. Adopted 12/22/06
Consent Order Making Findings and Imposing Remedial SanctionsIN THE MATTER OF Jersey Mike's Franchise Systems, Inc. Adopted 09/06/06