Displaying 811 - 825 of 1095 results.
Enforcement Orders & Actions

White, Brian M.

33.81 KB .pdf

Case Number #: 81767 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Brian M. White Order for Suspension

January 13, 2014
Enforcement Orders & Actions

Ernst, Cory J.

174.95 KB .pdf

Case Number #: 82230 Non-compliance Case: No Matter: In the Matter of Cory J. Ernst Order & Consent to Order

January 8, 2014
Enforcement Orders & Actions

Richardson, Tom

134.96 KB .pdf

Case Number #: 80333 Non-compliance Case: No Entity: Producer Matter: In the Matter of Tom Richardson Order & Consent Order

December 30, 2013
Enforcement Orders & Actions

Jiles, Vincent

32.85 KB .pdf

Case Number #: 81298 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Vincent Jiles Order for Suspension

December 24, 2013
Enforcement Orders & Actions

Miller, Todd A.

168.28 KB .pdf

Case Number #: 81223 Non-compliance Case: No Entity: Producer Matter: In the Matter of Todd A. Miller Default Order of Revocation, Cease & Desist and Civil Penalty

December 23, 2013
Enforcement Orders & Actions

Roberts, James

183.39 KB .pdf

Case Number #: 78986 Non-compliance Case: No Entity: Investment Adviser Representative, Producer, Securities Agent Matter: In the Matter of James Roberts Order & Consent to Order

December 23, 2013
Enforcement Orders & Actions

Huynh, Samantha

99.27 KB .pdf

Case Number #: 78229 Non-compliance Case: No Entity: Producer Matter: In the Matter of Samantha Huynh Proposed Decision

December 18, 2013
Enforcement Orders & Actions

Brown, Kunta L.

34.02 KB .pdf

Case Number #: 81358 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Kunta L. Brown Order for Suspension

December 11, 2013
Enforcement Orders & Actions

UBS Financial Services, Inc

498.52 KB .pdf

Case Number #: 81914 Non-compliance Case: No Entity: Broker Dealer Matter: In the Matter of UBS Financial Services, Inc. Consent Order and Order to Cease and Desist

December 10, 2013
Enforcement Orders & Actions

RBC Capital Markets, LLC

535.47 KB .pdf

Case Number #: 80979 Non-compliance Case: No Entity: Broker Dealer Matter: In the Matter of RBC Capital Markets, LLC Administrative Consent Order

December 5, 2013
Enforcement Orders & Actions

Williams, Melissa I.

95.24 KB .pdf

Case Number #: 75939 Non-compliance Case: No Entity: Producer Matter: In the Matter of Melissa I. Williams Default Order

November 25, 2013
Enforcement Orders & Actions

Young, Larry S.

35.93 KB .pdf

Case Number #: 81182 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Larry S. Young Order for Suspension

November 25, 2013
Enforcement Orders & Actions

Petefish, Daniel

99.98 KB .pdf

Case Number #: 79326 Non-compliance Case: No Entity: Producer Matter: In the Matter of Daniel Petefish Default Order

November 21, 2013
Enforcement Orders & Actions

Rooker, Andrew W.

33.44 KB .pdf

Case Number #: 81209 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Andrew W. Rooker Order for Suspension

November 15, 2013
Enforcement Orders & Actions

Schroder, Mark A.

147.97 KB .pdf

Case Number #: 80745 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Mark A. Schroder Order Reinstating License After Suspension; Order for Suspension 

November 13, 2013