New Hampshire
Secretary of State

Investor Education

Investor Education


Investor Alerts


These alerts will help you protect your money and avoid scams and other investing problems

Education Resources


Investor protection begins with education

Enforcement Actions

 

IN THE MATTER OF:  Baleen Capital Fund LP; I-2020000039; Consent Order
IN THE MATTER OF:  HealthPoint Plus, Inc.; I-2020000041; Consent Order
IN THE MATTER OF:  ARC1 Capital LP; I-2020000037; Consent Order
IN THE MATTER OF:  Mascoma Wealth Management, LLC; COM2020-0007; Consent Agreement
IN THE MATTER OF:  Egerton Investment Partners, LP; I-2020000033; Consent Order
IN THE MATTER OF:  Mythic Therapeutics, Inc.; I-2020000034; Consent Order
IN THE MATTER OF:  Infinex Investments Inc.; INV2020-00030; Consent Agreement
IN THE MATTER OF:  David A. Hunter; COM2020-00012; Consent Order
IN THE MATTER OF:  Phoenix Senior Living DST; I-2020000013; Consent Order
IN THE MATTER OF:  DAI SECURITIES, LLC; I-2020000020; Consent Order
IN THE MATTER OF:  Congress Wealth Management Enhanced Yield Fund LP; I-2020000007; Consent Order
IN THE MATTER OF:  LPL Financial LLC; I-2019000029; Consent Order
IN THE MATTER OF:  Zelus 3040, LLC; I-2018000018; Consent Order
IN THE MATTER OF:  Hera 1919, LLC; I-2018000046; Consent Order
IN THE MATTER OF:  AEI Net Lease Portfolio XIII DST; I-2020000018; Consent Order
IN THE MATTER OF:  David A. Hunter; COM2020-00012; Interim Consent Order
IN THE MATTER OF:  Artemis Vega Fund, L.P.; I-2020000017; Consent Order
IN THE MATTER OF:  Access Investment, LLC; I-2020000001; Consent Order
IN THE MATTER OF:  Northeast Farm Access; INV2020-0006; Consent Agreement
IN THE MATTER OF:  CQS Directional Opportunities Feeder Fund, L.P.; I-2019000014; Consent Order
IN THE MATTER OF:  Lumira Dx, LTD; I-2020000003; Consent Order
IN THE MATTER OF:  Oakes Financial Services, Inc.; I-2020000005; Consent Order
IN THE MATTER OF:  Greene & Company Financial Services, LLC; I-20200000016; Consent Order
IN THE MATTER OF:  PICO Venture Partners II, L.P.; I-2019000009; Consent Order
IN THE MATTER OF:  Frank C. Stama and MKT Investments, LLC; INV2017-0003; Order to Cease and Desist
IN THE MATTER OF:  Thomas Gutierrez; INV2014-00040; Consent Order
IN THE MATTER OF:  Majority Asset Management, Inc.; INV2019-00034; Consent Order
IN THE MATTER OF:  Solium Financial Services LLC; INV2019-00028; Consent Order
IN THE MATTER OF:  David A. Herlicka and White Birch Brewing, LLC; I-2018000000; Consent Order
IN THE MATTER OF:  GT Advanced Technologies Inc.; INV2014-00040; Consent Order
IN THE MATTER OF:  Santander Securities, LLC; INV2019-00026; Consent Order
IN THE MATTER OF:  Liberty Partners Financial Services, Inc.; INV2019-00016; Findings, Rulings and Order
IN THE MATTER OF:  NEXT Financial Group, Inc.; I-2017000030; Consent Order
IN THE MATTER OF:  Daniel Olivier; COM2019-0006; Order to Cease and Desist
IN THE MATTER OF:  Peter A. Bill, Scanwood Limited Incorporated and AOS, Inc.; COM2018-0002; Order to Cease and Desist
IN THE MATTER OF:  Dain F. Stokes; I-2019000029; Amended Order
IN THE MATTER OF:  Concorde Investment Services, LLC; COM2017-00018; Consent Order
IN THE MATTER OF:  Berthel Fisher & Company Financial Services, Inc.; I-2018000000; Consent Order
IN THE MATTER OF:  Dain F. Stokes; I-2019000029; Order of Summary Suspension, Order to Cease and Desist
IN THE MATTER OF:  John Uhlein; INV2019-00023; Consent Order
IN THE MATTER OF:  Lewis S. Niles; COM2018-0008; Default Order
IN THE MATTER OF:  Alight Financial Solutions, LLC f/k/a Hewitt Financial Services; INV2019-00021; Order to Cease and Desist
IN THE MATTER OF:  Claret Asset Management Corp; INV2019-00017; Consent Order
IN THE MATTER OF:  Redwood Alpha Fund LP; I-2019000015; Consent Order
IN THE MATTER OF:  kWh New Energy Corp; I-2019000002; Consent Order
IN THE MATTER OF:  Peter A. Bill, Scanwood Limited Incorporated and AOS, Inc.; COM2018-0002; Order to Cease and Desist
IN THE MATTER OF:  Mosaic Real Estate Credit, LLC; I-2019000012; Consent Order
IN THE MATTER OF:  Russell Bartlett and Towle Farm Mortgage Investors, LLC; COM2017-00021; Additional Consent Order
IN THE MATTER OF:  Northridge Holdings, Ltd., Eastridge Holdings, Ltd., Unity Investment Group I, Ltd., & Glenn Mueller;I-2019000006; Order to Cease and Desist
IN THE MATTER OF:  Lewis S. Niles; COM2018-0008; Order to Cease and Desist
IN THE MATTER OF:  Fusologics, Inc; I-2018000030; Consent Order
IN THE MATTER OF:  Royal Alliance Associates, Inc.; COM2018-00011; Consent Order
IN THE MATTER OF:  LPL Financial LLC; INV2018-00022; Consent Order
IN THE MATTER OF:  Genery Wealth Management, LLC, Marilyn Genery aka Marilyn Rios; INV2017-0004; Consent Order
IN THE MATTER OF:  Diane Maddox; C-2017000006; Consent Agreement
IN THE MATTER OF:  Sean Grady & Grady and Associates, LLC; COM2018-0004; Default Order
IN THE MATTER OF:  Willow Planning Group, LLC and Kelly Luethje; INV2018-00043; Consent Order
IN THE MATTER OF:  Marilyn Genery, a/k/a Marilyn Rios and Genery Wealth Management, LLC; INV2017-0004; Order to Cease and Desist
IN THE MATTER OF:  Santander Securities, LLC; INV2017-00018; Consent Order
IN THE MATTER OF:  James A. Valentine; C-2018000018; Order of Summary Suspension
IN THE MATTER OF:  Flagship Harbor Advisors, LLC; INV2018-00035; Consent Order
IN THE MATTER OF:  Morgan Stanley Smith Barney; C-2015-000021; Consent Order
IN THE MATTER OF:  Kevin J. Dumont; COM2016-0001; Order on Bureau's Motion for Reconsideration
IN THE MATTER OF:  Sean C. Grady & Grady and Associates, LLC; COM-2018-0004; Order to Cease and Desist
IN THE MATTER OF:  Wagz, Inc.; INV2018-00038; Consent Order
IN THE MATTER OF:  Kevin J. Dumont; COM2016-0001; Findings, Rulings, and Order
IN THE MATTER OF:  Lawrence Tentarelli and Trend Trading Signals, LLC; I-2018000009; Consent Order
IN THE MATTER OF:  Augment Securities, Inc.; BSR # 2018000033; Consent Agreement
IN THE MATTER OF:  Russell Bartlett and Towle Farm Mortgage Investors, LLC; COM2017-00021; Consent Order
IN THE MATTER OF:  Jeffrey I. Lucero; C-2017000020; Order to Cease and Desist
IN THE MATTER OF:  Renaissance Institutional Management; I-2018000002; Consent Order
IN THE MATTER OF:  Martin Barry Strudwick and Strudwick Wealth Strategies, Inc.; I-2017-0008; Consent Order
IN THE MATTER OF:  Broadbill Partners II, LP; BSR # 2018000020; Consent Agreement
IN THE MATTER OF:  William A. Bischoff, Genesis Investments Group, Ltd, Genesis Investments Group, LLC; COM2016-0008; Consent Order
IN THE MATTER OF:  FD Special Opportunities V LLC; I-2018000012; Consent Order
IN THE MATTER OF:  FD Special Opportunities IV LLC; I-2018000014; Consent Order
IN THE MATTER OF:  FD Special Opportunities II LLC; I-2018000011; Consent Order
IN THE MATTER OF:  FD Special Opportunities I LLC; I-2018000013; Consent Order
IN THE MATTER OF:  FC Special Opportunities I LLC; I-2018000001; Consent Order
IN THE MATTER OF:  Windsor Street Capital, LP F/K/A Meyers Associates, LP; INV2017-00016; Default Order
IN THE MATTER OF:  State Street Bank and Trust Company; INV2017-00021; Consent Order
IN THE MATTER OF:  Windsor Street Capital, LP F/K/A Meyers Associates, LP; INV2017-00016; Order to Cease and Desist
IN THE MATTER OF:  Kevin J. Dumont; COM2016-0001; Amended Staff Petition for Relief
IN THE MATTER OF:  Russell Bartlett and Towle Farm Mortgage Investors, LLC; COM2017-00021; Order to Cease and Desist
IN THE MATTER OF:  Democracy Funding, LLC; INV2017-00013; Default Order
IN THE MATTER OF:  Rydex Distributors, Inc.; COM2014-00015; Consent Agreement
IN THE MATTER OF:  Legend Securities, Inc.; INV2015-00019; Motion for Default & Default Order
IN THE MATTER OF:  Joseph Michael Palermo; COM2015-00012; Order to Cease and Desist
IN THE MATTER OF:  T L Holdings Group, LLC; INV2017-00026; Consent Order
IN THE MATTER OF:  Bankers Life Securities, Inc.; INV2017-00014; Consent Order
IN THE MATTER OF:  Alternative Asset Management Securities, LLC; INV2017-0006; Consent Agreement
IN THE MATTER OF:  Ceros Financial Services, Inc.; COM2016-0001; Consent Order
IN THE MATTER OF:  Richard A. Norkun & Associates, LLC; INV2017-00020; Consent Order
IN THE MATTER OF:  Bankers Life Securities; INV2017-00014; Notice of Order
IN THE MATTER OF:  Democracy Funding, LLC; INV2017-00013; Notice of Order
IN THE MATTER OF:  William A. Bischoff, Genesis Investments Group, Ltd, Genesis Investments Group, LLC; COM2016-0008; Interim Consent Order
IN THE MATTER OF:  Alternative Asset Management Securities, LLC and Victor Park; INV2017-0006; Order to Cease and Desist, Order of Denial
IN THE MATTER OF:  Bridge Capital Associates, Inc.; INV2017-0007; Consent Order
IN THE MATTER OF:  Kevin J. Dumont; COM2016-0001; Order to Cease and Desist
IN THE MATTER OF:  PE Premier BCP VII Onshore Feeder Fund; INV2017-0005; Consent Order
IN THE MATTER OF:  Legend Securities, Inc. & Steven Meyer; INV2015-00019; Findings, Rulings and Order
IN THE MATTER OF:  Starstream Entertainment Inc.; COM2014-0009; Consent Order
IN THE MATTER OF:  William A. Bischoff et al.; COM2016-0008; Order to Cease and Desist
IN THE MATTER OF:  Curtis S. Ridlon; C-2015000011; Order to Cease and Desist
IN THE MATTER OF:  Michael T. Bates; C-2016000011; Order to Cease and Desist
IN THE MATTER OF:  NYLIFE Securities LLC; INV2016-00013; Consent Order
IN THE MATTER OF:  Moody’s; I-2016000003; Settlement Agreement
IN THE MATTER OF:  ABC Financial Planning, Michael Licciardi, Financial Planning Adult Education Conference Center; INV2015-0000; Consent Agreement
IN THE MATTER OF:  Legend Securities Inc. & Steven Meyer; INV15-00019; Order of Summary Suspension, Order to Show Cause
IN THE MATTER OF:  Waddell & Reed, Inc.; C-2015-0000011; Consent Order
IN THE MATTER OF:  Hanover Consumer Cooperative Society, Inc.; C-2015-00000013; Consent Agreement
IN THE MATTER OF:  The Used Apple Store and Bill Williams; I-2015000013; Findings, Rulings, and Order
IN THE MATTER OF:  Blackbook Capital, LLC; INV2016-000016; Default Order
IN THE MATTER OF:  Starstream Entertainment, Inc.; COM2014-0009; Order to Cease and Desist
IN THE MATTER OF:  Robert J. Raffa; I-20140009; Findings, Rulings and Order
IN THE MATTER OF:  Blackbook Capital, LLC; INV2016-00016; Order of Summary Suspension
IN THE MATTER OF:  Tidewater Financial Group, PC and Irving Canner; INV2016-0000; Consent Order
IN THE MATTER OF:  IvoryOption.com and Patryn LTD; C-2015000019; Default Order
IN THE MATTER OF:  Ditto Trade, Inc.; I-2015000037; Default Order
IN THE MATTER OF:  James E. Knee and Sterling Financial Services, LLC; I-2016000015; Interim Consent Order
IN THE MATTER OF:  James W. Ignatowich; I-2016000008; Default Order
IN THE MATTER OF:  Adirondack Trading Group, LLC; INV2016-0007; Default Order
IN THE MATTER OF:  Ameriprise Financial Services, Inc. and Richard Scott Ewing; COM2015-0001; Consent Order
IN THE MATTER OF:  Ridgeway & Conger, Inc.; INV2016-0009; Default Order
IN THE MATTER OF:  Adirondack Trading Group; INV2016-0007; Order to Show Cause
IN THE MATTER OF:  NFP Advisor Services, LLC; INV2014-00030; Consent Agreement
IN THE MATTER OF:  Ridgeway & Conger, Inc.; INV2016-0009; Order to Show Cause
IN THE MATTER OF:  Hudson Capital Advisors BD, LLC; I-2015000022; Consent Order
IN THE MATTER OF:  Wells Fargo Advisers Financial Network, LLC; COM2013-00016; Consent Order
IN THE MATTER OF:  David F. Brochu; INV2014-00020; Consent Order
IN THE MATTER OF:  Ditto Trade, Inc.; I-2015000037; Order to Cease and Desist
IN THE MATTER OF:  IvoryOption.com and Patryn LTD; C-2015000019; Order to Cease and Desist
IN THE MATTER OF:  Michael T. Bates; C-2015000002; Consent Order
IN THE MATTER OF:  Aden Rusfeldt and ETF Trend Trading; COM2014-0002; Default Order
IN THE MATTER OF:  James W. Ignatowich; I-2014000009; Consent Order
IN THE MATTER OF:  Newcomb and Company, Inc. & Frederick W. Newcomb; INV2015-00036; Order
IN THE MATTER OF:  Robert J. Raffa; COM2014-0009; Order to Cease and Desist
IN THE MATTER OF:  LPL Financial, LLC; C-2013000005; Consent Order
IN THE MATTER OF:  Interinvest Corp. Inc. and Hans Peter Black; C-201400001, C-201300022; Order Granting Summary Judgment Against Hans Peter Black
IN THE MATTER OF:  Interinvest Corp. Inc. and Hans Peter Black; C-201400001, C-201300022; Order Granting Bureau’s Motion for Default Against Interinvest Corp Inc.
IN THE MATTER OF:  Aden Rusfeldt and ETF Trend Trading; COM2014-0002; Order to Cease and Desist
IN THE MATTER OF:  Harmony Health Care Institute, Inc.; C-2015000000; Consent Order
IN THE MATTER OF:  Cooper Capital, Inc.; I-2014000027; Consent Order
IN THE MATTER OF:  Robin M. Neilio and R.M. Neilio & Associates, Fiscal Advisers; I-2014-000042; Consent Order
IN THE MATTER OF:  Southern Star Terra Fund II LP; INV2015-000016; Default Order
IN THE MATTER OF:  New England Private Advisory and Keith Ballingall; INV2015-00029; Consent Order
IN THE MATTER OF:  Citigroup Global Markets Inc.; INV2015-00028; Consent Order
IN THE MATTER OF:  Profile Club, Inc.; INV2014-00014; Consent Agreement
IN THE MATTER OF:  Jonathan Sheklow; COM2013-000023; Default Order
IN THE MATTER OF:  Subchondral Solutions Inc.; INV15-0018; Consent Order
IN THE MATTER OF:  James W. Ignatowich; I-2014-000009; Order to Cease and Desist
IN THE MATTER OF:  Richard Higgins; I-2014-000016; Consent Order
IN THE MATTER OF:  Halliday Financial; INV2015-0014; Consent Order
IN THE MATTER OF:  Alexander R. Black; C-2013-00022; Consent Order for Censure
IN THE MATTER OF:  Godfrey Asset Management, LLC; INV2015-0011; Consent Order
IN THE MATTER OF:  J.D. Nicholas & Associates, Inc.; I-2014000041; Consent Order
IN THE MATTER OF:  Jonathan Sheklow; COM13-00023; Order to Cease and Desist, Order to Show Cause
IN THE MATTER OF:  Interinvest Corp Inc., Hans Peter Black, and Alex Richard Black; C-201400001, C-201300022; Amended Petition
IN THE MATTER OF:  Stanley Schmidt; C-2013-00022; Consent Order
IN THE MATTER OF:  Euro Pacific Capital, Inc.; INV2015-0003; Consent Order
IN THE MATTER OF:  Scott W. Soterion and Front Row Ticket Agency, Inc.; C-2014-00011; Consent Order
IN THE MATTER OF:  The Used Apple Store and Bill Williams; C-2015-000013; Order to Cease and Desist
IN THE MATTER OF:  Kleossum, Inc. and David F. Brochu; INV2014-00020; Amended Staff Petition
IN THE MATTER OF:  LPL Financial, LLC; C-2013000005; Order to Cease and Desist
IN THE MATTER OF:  Interinvest Corp, Inc., Hans Peter Black, and Alex Richard Black; C-201400001, C-201300022; Order to Cease and Desist
IN THE MATTER OF:  Frederick V. McMenimen Ill; INV2012-000017; Order on Respondent's Objection to Staff Petition and Motion for Default
IN THE MATTER OF:  St. John International University, Inc.; COM2012-0010; Order on Motion for Review
IN THE MATTER OF:  Upper Valley Commercial Corporation, David Patten, and Alvin Fadden; I-2013-00031; Consent Order
IN THE MATTER OF:  Aegis Capital, L.L.C.; COM.2011-0026-0029; Consent Order
IN THE MATTER OF:  Ttanks Environmental, Ltd. and Neil Kenny; I-2012000007; Staff Petition for Relief
IN THE MATTER OF:  Recycled Asphalt Shingle Technology, LLC; I-2012000037; Consent Order
IN THE MATTER OF:  St. John International University; COM2012-0010; Findings, Rulings and Order
IN THE MATTER OF:  St. John International University; COM2012-0010; Review Hearing Order
IN THE MATTER OF:  Ameriprise Financial Services, Inc.; C-2013000009; Consent Order
IN THE MATTER OF:  Merrill Lynch, Pierce, Fenner and Smith, Incorporated; C-2013000010; Consent Order
IN THE MATTER OF:  Stephen D. Yennaco and Big Ben Games of NH, Inc.; COM08-0014; Consent Order
IN THE MATTER OF:  Frederick V. McMenimen III; INV2012-00017; Order to Cease and Desist
IN THE MATTER OF:  lntellicloud Holdings, Inc. and Jeffrey Friederichs; COM2013-000018; Default Order
IN THE MATTER OF:  Eric Wadsworth; I-2014000019; Consent Order for Censure
IN THE MATTER OF:  Salem Advisory Group, LLC; INV2014-00024; Consent Order
IN THE MATTER OF:  Kelly Lowther and Ameritext Corporation; Strafford County Superior Court Docket No. 219-2013-CV-00458; Permanent Injunction
IN THE MATTER OF:  Kleossum, Inc. and David F. Brochu; INV2014-00020; Order to Show Cause, Order to Cease and Desist, Order of Summary Suspension
IN THE MATTER OF:  Richard M. Higgins; I-2014000016; Order to Cease and Desist
IN THE MATTER OF:  Investors Capital Corp., Christopher Bennett and Robert Estevez: I-2013000011, COM-201300002-00004: Consent Order
IN THE MATTER OF:  Charles H. Howard, III, Carolyn C. Howard, and Howard Interests; I-2011000000; Consent Order
IN THE MATTER OF:  Ensconce Data Technology, Inc.; I-2014000023; Consent Order
IN THE MATTER OF:  MHP Asset Management, LLC; INV14-0007; Consent Order for Censure
IN THE MATTER OF:  Joseph Michael Palermo; COM11-0013; Findings, Rulings and Order
IN THE MATTER OF:  Saliba Managed Funds, Inc., Thomas H. Saliba; COM.2013-00018; Consent Order
IN THE MATTER OF:  Strategic Consulting Advisers, LLC; COM2011-0026-0029; Consent Agreement
IN THE MATTER OF:  St. John International University; COM2012-00010; Order to Cease and Desist, Order to Show Cause
IN THE MATTER OF:  Charles H. Howard, III, Carolyn C. Howard, and Howard Interests; I-2011-000000; Order Cease and Desist
IN THE MATTER OF:  Aaron E. Olson; INV-2012000003; Consent Order
IN THE MATTER OF:  NEXT Financial Group, Inc. and Charles C. Kulch; I-2011000023/I-2014000010; Consent Order
IN THE MATTER OF:  Neil L. Kenny and Ttanks Environmental, Ltd.; I-2012000007; Findings, Rulings and Order
IN THE MATTER OF:  J.P. Morgan Securities, LLC; I-2010000018; Consent Order
IN THE MATTER OF:  Sara Jennifer Russell and Western Realty Investments LLC; I-2013-000001; Consent Order
IN THE MATTER OF:  Michael Davey; I-2014-000000; Consent Order
IN THE MATTER OF:  Geraci Capital Management, LLC and Gary Geraci; INV14-0002; Consent Order
IN THE MATTER OF:  Edward Jones, CRD #250; C-201200002; Consent Order
IN THE MATTER OF:  Upper Valley Commercial Corporation, David Patten and Alvin Fadden; I-2013-00031; Interim Consent Order
IN THE MATTER OF:  Joseph Michael Palermo; COM11-0013; Staff Petition for Relief
IN THE MATTER OF:  Kelly Lowther and AmeriText Corporation; I-2013-000012; Order to Cease and Desist
IN THE MATTER OF:  RBC Capital Markets, LLC; INV-2013-0026; Administrative Consent Order
IN THE MATTER OF:  REB Financial, Robert E. Bossdorf; COM2013-00007; Consent Order
IN THE MATTER OF:  Johnston Capital Partners Fund I, LP; I-2013000015; Consent Order
IN THE MATTER OF:  UBS Financial Services, Inc.; INV2013-00030; Consent Order
IN THE MATTER OF:  JonesTrading Institutional Services LLC; INV2013-00028; Consent Order
IN THE MATTER OF:  Robert Ryan Goold and August Green Capital, LLC; INV12-00036; Consent Order
IN THE MATTER OF:  Glen Gervais; C-2011000018/19; Consent Order
IN THE MATTER OF:  III to I Emerging Market Partners Real Estate Investment Fund I, LP; I-2011000024; Consent Order
IN THE MATTER OF:  III to I Maritime Partners Cayman I, LP; I-2013000020; Consent Order
IN THE MATTER OF:  ACL Alternative Fund Limited; I-2013000000; Consent Order
IN THE MATTER OF:  Wynnefield Small Cap Value LP I; I-2013000013; Consent Order
IN THE MATTER OF:  Steven Schehl; INV11-0000 and 0001; Consent Agreement
IN THE MATTER OF:  Brett Ian Friedberg; INV2013-0007; Findings, Rulings and Order
IN THE MATTER OF:  Karen Zaramba; COM11-0026-0029; Consent Agreement
IN THE MATTER OF:  UBS Financial Services, Inc. f/k/a UBS Painewebber, Inc.; INV11-0000 and 0001; Consent Agreement
IN THE MATTER OF:  John M. Rummler; C-2012000013; Consent Order
IN THE MATTER OF:  Merrill Lynch, Pierce, Fenner & Smith Incorporated; C-2010-008; Consent Order for Censure
IN THE MATTER OF:  Matthew Becker; C-2010-008; Consent Order
IN THE MATTER OF:  J.D. Nicholas & Associates, Inc.; I-201200030; Consent Order
IN THE MATTER OF:  Allen Darby; COM2011-0026-0029; Consent Order
IN THE MATTER OF:  Nickolas Skaltsis and Liberty Realty Trust; Strafford County Superior Court Docket No. 219-2013-CV 00031; Permanent Injunction
IN THE MATTER OF:  Nickolas Skaltsis, Liberty Realty Trust and Phoenix Asset Group, Inc.; I-2012-000033; Default Order
IN THE MATTER OF:  Holly Hunter; COM.2011-0026-0029; Consent Order
IN THE MATTER OF:  REB Financial, and Robert E. Bossdorf; COM2013-000007; Order to Cease and Desist
IN THE MATTER OF:  Edward Jones & Co., L.P.; C-2012000002; Order to Cease and Desist, Order to Show Cause
IN THE MATTER OF:  Spartan Capital Securities, LLC.; INV2013-0008; Consent Order
IN THE MATTER OF:  Roberta Wilson; COM2011-0041; Consent Order
IN THE MATTER OF:  Brett Ian Friedberg; INV2013-0007; Summary Suspension Order, Order to Show Cause
IN THE MATTER OF:  Nicholas Rowe and Focus Capital Wealth Management, Inc.; COM2011-0037; Consent Order
IN THE MATTER OF:  Spartan Capital Securities, LLC; COM2011-003; Staff Petition for Relief
IN THE MATTER OF:  Nickolas Skaltsis, Liberty Realty Trust and Phoenix Asset Group, Inc.; I-2012-000033; Order to Cease and Desist
IN THE MATTER OF:  Equal Exchange, Inc.; COM12-0003; Consent Order
IN THE MATTER OF:  Spartan Capital Securities, LLC and Ed Segur; COM2011-003; Consent Order
IN THE MATTER OF:  Nicholas Rowe and Focus Capital Wealth Management, Inc.; C-2011000037; Amended Order
IN THE MATTER OF:  Team Resources, Inc. and School Creek Production and Development Fund I, Partnership; INV2012-0014; Consent Order
IN THE MATTER OF:  UVEST Financial Services Group, Inc.; C-2010-0012; Consent Order
IN THE MATTER OF:  McLean Asset Management Corporation; I-2012000031; Consent Order
IN THE MATTER OF:  Securities America, Inc.; INV2010-019; Order to Cease and Desist, Order to Show Cause
IN THE MATTER OF:  ProEquities, Inc.; C-2010-0012; Consent Order
IN THE MATTER OF:  Bankers Life and Casualty Company and BLC Financial Services, Inc.; C-2010-0012; Consent Order
IN THE MATTER OF:  James A. Philbrook; COM09-010; Findings, Rulings and Order
IN THE MATTER OF:  Nicholas Rowe and Focus Capital Wealth Management, Inc.; C-2011000037; Order to Cease and Desist, Order to Show Cause
IN THE MATTER OF:  Spartan Capital Securities, LLC; COM2011-003; Staff Petition for Relief
IN THE MATTER OF:  Kevin Boyles, School Creek Production and Development Fund I, Partnership and Team Resources, Inc.; INV2012-0014; Order to Cease and Desist, Order to Show Cause
IN THE MATTER OF:  Liquid Health Labs, Inc.; I-201200010; Consent Order
IN THE MATTER OF:  Ballentine Partners LLC, f/k/a Ballentine Finn & Co. Inc.; COM10-0017; Consent Agreement
IN THE MATTER OF:  Morgan Stanley Smith Barney; COM10-000; Consent Order
Schoolcare Risk Pool Practices Agreement
Primex Risk Pool Practices Agreement
IN THE MATTER OF:  Roland Matatics; I-2011-000012; Consent Order
IN THE MATTER OF:  Securities America, Inc., Barry Armstrong and Lawrence Panzeri; INV10-019; Order to Cease and Desist, Order to Show Cause
IN THE MATTER OF:  Ryan Fontaine; I-2011000011; Consent Order
IN THE MATTER OF:  Oppenheimer & Co. Inc.; I-2010-0000017; Consent Order
IN THE MATTER OF:  Advent Consulting, Inc., Joseph Moquin; COM09-005; Consent Order
IN THE MATTER OF:  HealthMarkets, Inc.; INV2011-0014; Censure
IN THE MATTER OF:  Thomas DeSteph, TDA Advantage Trust and the DeSteph Agency; INV09-0011; Consent Order
IN THE MATTER OF:  Karl E. Hahn; INV-2010000015; Consent Order
IN THE MATTER OF:  Roland Matatics; I-211-000012; Order to Cease and Desist
IN THE MATTER OF:  New Futures Trading International Corp., Ryan Fontaine; I-2011000011; Order to Cease and Desist
IN THE MATTER OF:  Joseph Stevens & Co., Inc.; INV08-018; Default Order
IN THE MATTER OF:  Sierra Equity Group; INV08-027; Default Order
IN THE MATTER OF:  Local Government Center, Inc., et.al; Staff Petition for Relief
IN THE MATTER OF:  UBS Financial Services, Inc.; COM08-027; Consent Order
IN THE MATTER OF:  Margaret Tully and Tully & Co. Investments LLC; COM07-004; Findings, Rulings and Order
IN THE MATTER OF:  Margaret Tully and Tully & Co Investments LLC; COM07-004; Consent Order for Censure
IN THE MATTER OF:  Lincoln Financial Advisors Corporation, Lincoln Financial Securities Corporation and Michael Gassman; COM07-001; Consent Order for Censure
IN THE MATTER OF:  UBS Financial Services Inc.; COM09-0063; Consent Order
IN THE MATTER OF:  Eugene Morrissette & GM Enterprises; INV2009-021; Order to Cease and Desist; Order to Show Cause
IN THE MATTER OF:  Merrill Lynch, Pierce, Fenner & Smith Incorporated; INV08-024; Consent Order
IN THE MATTER OF:  UBS Securities, LLC; COM08-10, COM08-12, COM08-13; Motion to Amend Staff Petition for Relief
IN THE MATTER OF:  Ameriprise Financial, Inc., Ameriprise Financial Services, Inc. & Larry Post; INV06-003; Consent Order
IN THE MATTER OF:  Ameriprise Financial, Inc., Ameriprise Financial Services, Inc. & Larry Post; INV06-003; Order to Cease and Desist
IN THE MATTER OF:  CCO Investment Services Corp.; INV05-016; Consent Agreement
IN THE MATTER OF:  ING Life Insurance and Annuity Company; INV04-016; Consent Agreement
IN THE MATTER OF:  ING Life Insurance and Annuity Company; INV04-016; Order to Cease and Desist, Order to Show Cause
IN THE MATTER OF:  ING Life Insurance and Annuity Company; INV04-016; Motion to Compel
IN THE MATTER OF:  American Express Financial Advisors Inc.; INV04-122; Settlement Agreement
IN THE MATTER OF:  Morgan Stanley DW Inc.; COM03-18, COM03-18A, INV03-27; Consent Agreement
IN THE MATTER OF:  American Express Financial Advisors, Inc.; INV04-122; Staff Petition for Relief
IN THE MATTER OF:  Pennichuck Corporation, Maurice L. Arel; INV02-029; Consent Order
IN THE MATTER OF:  Morgan Stanley Dean Witter; COM03-018, COM 03-018A, INV03-027; Order to Cease and Desist
IN THE MATTER OF:  Massachusetts Financial Services Company; INV03-037; Consent Agreement
IN THE MATTER OF:  Tyco International Ltd.; INV02-024; Consent Agreement

File a Complaint

Filing a complaint with the Bureau:

The Bureau staff receives numerous complaints each year from concerned investors. Many of these complaints lead to thorough investigations of the individuals or entities involved. Investigations sometimes lead to enforcement actions by the Bureau to holt or remedy violations of the New Hampshire Securities Act. While the investing public is the single best source of information regarding questionable business practices, as an administrative agency, the Bureau has limited authority. To fully appreciate the Bureau's role, please carefully read the instructions that accompany the complaint form.

Filing a complaint with the Securities and Exchange Commission (SEC):

Filing a complaint with the Financial Industry Regulatory Authority (FINRA):

Press Releases

Contact

 

Atty Barry J. Glennon
Director

Atty Jeffrey . Spill
Assistant Director

 

Send Mail to:
Bureau of Securities Regulation
N.H. Department of State
107 North Main Street #204
Concord, NH 03301-4989

Send Overnight Mail to:
Bureau of Securities Regulation
Department of State
107 North Main Street #204
Concord, NH 03301-4989

Come Visit Us:
Monday through Friday, 8:00am - 4:30pm
Bureau of Securities Regulation
State House Annex, 3rd Floor
25 Capitol Street, Suite 317A
Concord, NH 03301

Telephone Numbers:
603-271-1463
603-271-7933 (fax)

Investor Hotline: 1-800-994-4200

 

social media link

Bureau of Securities Regulation Email Address: securities@sos.nh.gov

About Securities Division

"Putting Investors First"

State Securities Regulators have been the front line of defense for Main St. investors for nearly 100 years. Many investors understandably feel that their local state securities regulator is the logical place to start with a grievance when they believe a broker or investment advisor has treated them unfairly. We are often first to identify investment scams and bring enforcement actions to halt or remedy a wide variety of investment related violations, and may be able to obtain restitution for New Hampshire residents as part of enforcement actions. States are often an early warning system to alert the public, other regulators and policy makers to problems and may work with national regulators such as the SEC when necessary.

Investor Education: The Tool to Protect
Investors from Fraud

An informed investor is the best defense against fraud. An investor who asks the right questions and checks with his or her securities regulator to determine if an investment and its salesperson are properly registered is less likely to be a victim of fraud. Investor education and financial literacy give investors the tools to protect themselves. We offer to the public, videos and publications to help investors understand how to evaluate investments If you have a question about a particular security or feel you may have been the victim of a scam or an unscrupulous broker or financial adviser, please call our Bureau hotline, TOLL FREE at 1-800-994-4200.

Mission Statement

The two-fold mission of the Bureau of Securities Regulation is to provide equitable regulation for the protection of New Hampshire Investors while facilitating responsible capital formation in the state.



The Bureau licenses securities brokers, broker agents, investment advisers and investment adviser agents and professional bail bondsmen. In addition, it registers certain securities and approves exemptions from registration in other cases. The Bureau also investigates complaints about licensees and may take administrative or legal action against persons who violate the New Hampshire securities law.

Atty. Barry J. Glennon
Director
 

Atty. Jeffrey D. Spill
Deputy Director
 

Atty. Kevin Moquin
Senior Staff Attorney/Field Audit Communications
 

Atty. Eric Forcier
Attorney

 

Carvel Tefft
Senior Auditor
 

Atty. Noah Abrahams
Attorney
 

Atty. Brian Linares
Attorney
 

Kevin Bannon
Forensic Accountant
 

John Kiritsy
Auditor
 

Linda Elkins
Securities Examiner
 

Michelle Bourgeois
Administrative Secretary
 

 

Mailing Address
Bureau of Securities Regulation
State House, Room 204
107 North Main Street
Concord, NH 03301-4989

Location
State House Annex, 3rd Floor
25 Capitol Street, Suite 317A
Concord, NH  03301
(603) 271-1463

Disclaimers

PLEASE BE ADVISED, THE PURPOSE OF THIS WEB SITE IS TO PROVIDE ANSWERS, IN A USER-FRIENDLY FORMAT, TO SOME OF THE QUESTIONS COMMONLY POSED TO THE BUREAU STAFF. IT SHOULD NOT BE ASSUMED THAT THE INFORMATION CONTAINED HEREIN IS COMPREHENSIVE. FOR A COMPLETE LIST OF NEW HAMPSHIRE SECURITIES LAWS AND REGULATIONS, PLEASE REFER TO NH RSA 421-B (UNIFORM SECURITIES ACT).

DISCLAIMER OF LIABILITY

With respect to documents available from this web site, neither the State of New Hampshire nor any of its employees makes any warranty, express or implied, including warranties of merchantability and fitness for a particular purpose or assumes any legal liability or responsibility for the accuracy, completeness or usefulness of any information, apparatus, product or process disclosed or represents that its use would not infringe privately owned rights.

DISCLAIMER OF ENDORSEMENT

Reference herein to any specific commercial products, process or service by trade name, trademark or manufacturer, or otherwise, does not necessarily constitute or imply its endorsement, recommendation or favoring by the State of New Hampshire. The views and opinions of authors expressed herein do not necessarily state or reflect those of the State of New Hampshire and shall not be used for advertising or product endorsement purposes.

The State of New Hampshire is not responsible for the contents of any off-site pages referenced.

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The State of New Hampshire retains all rights to the information provided by this service including, but not limited to, the right of distribution.

Corporation, UCC and Securities