Enforcement Actions
IN THE MATTER OF: Advent Medical Products and Randall Fincke; I-2018-00038 Findings, Rulings and Order
IN THE MATTER OF: Advent Medical Products Inc., and Randall Fincke
IN THE MATTER OF: DRIFT NEW ENGLAND INC; INV-2023-000029; Consent Order
IN THE MATTER OF: Finstate Investment LLC – Order to Cease and Desist
IN THE MATTER OF: NHIT; ACJEB and the following individual: Albert Jones. ORDER TO CEASE AND DESIST; and NOTICE OF RIGHT TO HEARING.
IN THE MATTER OF: JTA Securities Management Inc DBA Titan Securities; INV-2020-0000016
IN THE MATTER OF: Thomas M. Chadwick; COM-2021-000003; Consent Order
IN THE MATTER OF: TRADESTATION CRYPTO, INC.; I-2023-00037; Consent Order
IN THE MATTER OF: Charles C. Kulch; COM-2020-0015; Consent Order
IN THE MATTER OF: NEXT Financial Group, Inc.; COM-2020-0015; Consent Order
IN THE MATTER OF: Joel Hannon; INV2022-0005; Consent Order
IN THE MATTER OF: RAYMOND JAMES & ASSOCIATES, INC., and RAYMOND JAMES FINANCIAL SERVICES, INC.; INV-2023-000024; Consent Order
IN THE MATTER OF: OLD SLIP CAPITAL MANAGEMENT, INC.; INV2023-000021; Consent Order
IN THE MATTER OF: Robert C. Lotito; INV2022-0005; Consent Order
IN THE MATTER OF: GS Partners, Swiss Valorrem Bank, Ltd. et. al.; I-2023-000033; Order to Cease and Desist
IN THE MATTER OF: Merryfield Investment Management Inc., and Peter D. Field; C-2021-000007, Oder to Cease and Desist
IN THE MATTER OF: Old Slip Capital Management Inc.; INV2023-000021; Order to Cease and Desist
IN THE MATTER OF: Corey J. Walker; INV2022-0002; Consent Order
IN THE MATTER OF: Robinhood Financial LLC; I-20230005; Consent Order
IN THE MATTER OF: Northwestern Mutual Investment Services, LLC; I-2022-0002; Consent Order
IN THE MATTER OF: Thomas M. Chadwick CRD #2870028, Chadwick & D' Amato, LLC, CRD # 116197; COM-2021-000003; Order to Cease and Desist
IN THE MATTER OF: Robert C. Lotito, Joel P. Hannon, & Talon RS, LLC; INV2022-0005; Order to Cease and Desist
IN THE MATTER OF: Brian Belliveau; INV2022-0002; Consent Order
IN THE MATTER OF: Nicholas Giordano; INV2022-0002; Consent Order
IN THE MATTER OF: Craig Favara; INV-2022-0002; Consent Order
IN THE MATTER OF: Joseph Giuttari, Hybrid Capital Group, LLC, The Fens Company, LLC & Peerless Hi Yield Realty Group; COM2021-0005; Findings, Rulings and Order
IN THE MATTER OF: Guardian Strategic Wealth Advisors, LLC, and Kenneth Angell; INV-2022-00062; Consent Order
IN THE MATTER OF: Antonio Silva; COM-2021-000001; Consent Order
IN THE MATTER OF: Scott Christensen; INV2022-0002; Consent Order
IN THE MATTER OF: Merrill Lynch, Pierce, Fenner and Smith Incorporated; I-2022000023; Consent Order
IN THE MATTER OF: Origin Incomeplus Fund, LLC; I-2022000074; Consent Order
IN THE MATTER OF: Origin Opportunity Zone Fund II, LLC; I-2022000075; Consent Order
IN THE MATTER OF: Nexo Capital Inc.; I-2023000002; Consent Order
IN THE MATTER OF: Advent Medical Products, Inc., and Randall Fincke; I-2018-00036; Order to Cease and Desist
IN THE MATTER OF: Joseph A. Ondris; INV2020-0000016; Consent Order
IN THE MATTER OF: Joseph A. Ondris; INV2020-0000016; Order to Cease and Desist
IN THE MATTER OF: Voyager Digital LTD., et. al.; I-2022-00073; Order to Cease and Desist
IN THE MATTER OF: Celsius Network, Inc., et. al.; I-2023-0000; Order to Cease and Desist
IN THE MATTER OF: Guardian Strategic Wealth Advisors, LLC, and Kenneth Angell; I-2022-00062; Order of Summary Suspension, Order to Cease and Desist
IN THE MATTER OF: LPL Financial LLC; INV2020-00026; Consent Agreement
IN THE MATTER OF: Antonio Silva; COM-2021-000001; Order to Cease and Desist
IN THE MATTER OF: Joseph Giuttari, Hybrid Capital Group LLC, The Fens Company, LLC & Peerless Hi Yield Realty Group, LP; COM2021- 0005; Order to Cease and Desist
IN THE MATTER OF: Metaverse One, LP; I-2022000026; Consent Order
IN THE MATTER OF: FourBridge Partners, 2021, L.P.; I-2022000027; Consent Order
IN THE MATTER OF: Longhorn Quarry Opportunity Zone Fund, LP; I-2019000016; Consent Order
IN THE MATTER OF: JTA Securities Management, Inc.; INV-2020-0000016; Consent Agreement
IN THE MATTER OF: James O'Connell; INV2021-00027; Order to Cease and Desist
IN THE MATTER OF: Joseph Giuttari, Hybrid Capital Group, LLC, The Fens Company, LLC & Peerless Hi Yield Realty Group, LP; COM2021-0005; Default Order
IN THE MATTER OF: Esplanade Capital Partners I LLC; I-2019000014; Consent Order
IN THE MATTER OF: QCA First Fund VI LLC; I-2019000010; Consent Order
IN THE MATTER OF: AgBiome, LLC; I-2019000012; Consent Order
IN THE MATTER OF: LifeGuides, PBC; I-2019000011; Consent Order
IN THE MATTER OF: Thomas M. Chadwick, Chadwick & D'Amato, LLC and Chadwick Consulting, LLC; COM-2021-000003; Order to Cease and Desist, Order of Summary Process
IN THE MATTER OF: Kevin Delaney and KD Wealth Management LLC; COM2022-00021; Consent Order
IN THE MATTER OF: BlockFi Lending LLC; I-2021000026; Consent Order
IN THE MATTER OF: Otay Village III Lender, LLC; I-2019000017; Consent Order
IN THE MATTER OF: Peter A. Bill, Scanwood Limited Incorporated and AOS, Inc.; COM.2018-0002; Consent Agreement
IN THE MATTER OF: Alumni Ventures Group, LLC and Michael Collins; COM2018-00015; Consent Order
IN THE MATTER OF: Raging Bull.com, LLC, Jason Bond a/k/a Jason Kowalik, Jeffrey M. Bishop and Sherwood Ventures, LLC; COM 2018-000019; Consent Order
IN THE MATTER OF: Keith VonKahle; COM2020 000004; Order to Cease and Desist
IN THE MATTER OF: Williams Wealth Management, LLC and Jeffrey Williams; COM2020-00014; Consent Agreement
IN THE MATTER OF: Daniel Olivier; COM2019-0006; Consent Order
IN THE MATTER OF: Royal Investments, LLC, Kevin Patel and Linlet Patel; INV2020-00031; Consent Order
IN THE MATTER OF: Shem Creek Capital Fund V LLC; I-2021000018; Consent Order
IN THE MATTER OF: Star Mountain Diversified Small Business Access Fund II-A, LP; I-20210000013; Consent Order
IN THE MATTER OF: Oyster Angel Fund II, LP; I-2021000020; Consent Order
IN THE MATTER OF: Dover Microsystems, Inc.; I-2021000019; Consent Order
IN THE MATTER OF: Ronald Elliard; INV2020-0043; Consent Order
IN THE MATTER OF: CFC SS & MHP Fund I, LLC; I-2021000001; Consent Order
IN THE MATTER OF: Curtis S. Ridlon; C-2015000011; Findings, Rulings and Order
IN THE MATTER OF: Joseph Ambrosole and Joseph Stone Capital, LLC; I-2020000017; Consent Order
IN THE MATTER OF: Sunstone Income Apartments IV, LLC; I-2020000044; Consent Order
IN THE MATTER OF: Four Points Capital Partners, LLC; I-2021000007; 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: E*TRADE Securities LLC; INV2021-0000; Consent Order
IN THE MATTER OF: E*TRADE Securities LLC & James Karayanis; INV2021-0000; Order
IN THE MATTER OF: E*TRADE Securities, LLC and James Karayanis; INV2021-0000; Order to Cease and Desist
IN THE MATTER OF: Greenbacker Renewable Energy Company LLC; I-2020000035; Consent Order
IN THE MATTER OF: Frank Stama and MKT Investments, LLC; COM-20170003; Consent Order
IN THE MATTER OF: Merrill Lynch, Pierce, Fenner & Smith Incorporated & Charles Kenahan; COM2019-000; Consent Order
IN THE MATTER OF: RagingBull.com, LLC, Jason Bond a/k/a Jason Kowalik, Sherwood Ventures, LLC, Jeffrey M. Bishop, and MFA Holdings Corp; COM2018-000019; Order to Cease and Desist
RagingBull.com - Exhibit 2
RagingBull.com - Exhibit 3
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
Corporation, UCC and Securities