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Consent Agreements are voluntary settlement agreements. Unless otherwise indicated, they do not involve a finding or admission of wrongdoing.
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Date |
Description |
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| July 18, 2008 |
Robotti & Company LLC |
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| May 12, 2008 |
Rothschild Investment Corporation |
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| February 29, 2008 |
M&I Brokerage Services, Inc. |
|
| September 4, 2007 |
George McKelvey Co., Inc. |
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| August 6, 2007 |
Garden State Securities, Inc., Robert B. Steck, Kevin J. Derosa and Craig R. Margolies |
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| July 23, 2007 |
Welton Street Investments LLC |
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| July 13, 2007 |
Pruco Securities, LLC |
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| April 23, 2007 |
Intersecurities Inc |
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| January 5, 2007 |
Univest Investments Inc |
|
|
September 8, 2006
|
Bolton Securities Corp. |
Consent Agreement - (PDF format) |
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September 8, 2006 |
Gabriel J. Giguere, Jr. |
Consent Agreement - (PDF format)
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September 5, 2006 |
Prospera Financial Services, Inc. |
Consent Agreement - (PDF format) |
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August 17, 2006 |
CitiStreet Advisors LLC |
Consent Agreement - (PDF format) |
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August 10, 2006 |
Harvest Financial Corporation |
Consent Agreement - (PDF format) |
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July 20, 2006 |
Liberty Investment Advisors and Richard Liberty |
Consent Agreement - (PDF format) |
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June 22, 2006 |
Eubanks Capital Management and Ronald M. Eubanks, Jr. |
Consent Agreement - (PDF format) |
|
|
May 31, 2006 |
Investacorp, Inc., and Michael J. Poulin |
Consent Agreement - (PDF format) |
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May 4, 2006 |
Downeast Financial Group, Michael J. Poulin and Lena-Jo Hartley |
Consent Agreement - (PDF format) |
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April 21, 2006 |
Portland Global Advisors LLC, John Sullivan, Derek Jaskulski, Richard Strabley and Charles Oestreicher |
Consent Agreement - (PDF format) |
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March 7, 2006 |
Aptus Technology Corporation, Hirak Biswas, Joseph Orlando and Apurba Mukherjee |
Consent Agreement - (PDF format) |
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February 28, 2006 |
Edward D. Jones & Co., L.P. |
Consent Agreement - (PDF format) |
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February 24, 2006 |
Yarling & Co. and Ralph J. Lemley II |
Consent Agreement - (PDF format) |
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February 14, 2006 |
Petersen Investments, Inc |
Consent Agreement - (PDF format) |
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January 3, 2006 |
Kovack Securities, Inc. |
Consent Agreement - (PDF format) |
|
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December 27, 2005 |
Commonwealth Financial Network, Alan Perry Hess, David Linus Kelly and Peter Thompkins Wheeler |
Consent Agreement - (PDF format) |
|
|
December 15, 2005 |
Bangor Securities, Inc. Michael Ludwig |
Consent Agreement - (PDF format) |
|
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November 28, 2005 |
McKinnon & Company, Inc. |
Consent Agreement - (PDF format) |
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October 31, 2005 |
First Manhattan Co. |
Consent Agreement - (PDF format) |
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October 4, 2005 |
Huntington Investment Company |
Consent Agreement - (PDF format) |
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September 21, 2005 |
J.P. Turner & Company, LLC |
Consent Agreement - (PDF format) |
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September 21, 2005 |
Biondo Asset Management LLC |
Consent Agreement - (PDF format) |
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August 15, 2005 |
Merrion Group, LLC |
Consent Agreement - (PDF format) |
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August 15, 2005 |
Commonwealth Church Finance, Inc. |
Consent Agreement - (PDF format) |
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July 28th, 2005 |
Commonwealth Financial Network, Alan Perry Hess, David Linus Kelly and Peter Thompkins Wheeler |
Notice of Intent to Censure and Impose a Civil Penalty on Broker-Dealer and Sales Representatives - (PDF format) |
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|
July 26, 2005 |
Means Investment Co., Inc. |
Consent Agreement - (PDF format) |
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July 20, 2005 |
SF Investments, Inc. |
Consent Agreement - (PDF format) |
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July 7, 2005 |
Northern Capital Securities Corporation |
Consent Agreement - (PDF format) |
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June 30, 2005 |
ACS TradeOne Marketing, Inc. |
Consent Agreement - (PDF format) |
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June 14, 2005 |
Raymond James Financial Services, Inc. and Nina Lee J. Mendall |
Consent Agreement - (PDF format) |
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May 17, 2005 |
Fuller, Jones & Stivers, LLP - Judith A. Fuller - Rendle A. Jones |
Consent Agreement - (PDF format) |
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April 29, 2005 |
North Coast Energy, Inc. and McDonald Investments Inc. |
Consent Agreement - (PDF format) |
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April 25, 2005 |
Wachovia Securities, LLC |
Consent Agreement - (PDF format) |
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March 30, 2005 |
Investment Management & Consulting Group, Charles W. Dibner and Fredric W. Williams |
Consent Agreement - (PDF format) |
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March 21, 2005 |
Ram Trust Services Inc. |
Consent Agreement - (PDF format) |
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March 4, 2005 |
Jesup & Lamont Securities Corp. |
Consent Agreement - (PDF format) |
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January 31, 2005 |
Olympia Asset Management, Ltd. and Michael P. Murphy |
Consent Agreement - (PDF format) |
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December 22, 2004 |
Maine Securities Corporation |
Consent Agreement - (PDF format) |
|
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December 20, 2004 |
Olympia Asset Management, Ltd. and Michael P. Murphy |
Notice of Intent to Deny a Broker-Dealer and Sales Representative License, Issue a Cease and Desist Order, and Impose a Civil Penalty - (PDF format) |
|
|
November 22, 2004 |
Robert J. Montgomery |
Consent Agreement - (PDF format) |
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November 15, 2004 |
Aptus Technology Corporation, Hirak Biswas, Joseph Orlando and Apurba Mukherjee |
Notice of Intent to Issue a Cease and Desist Order and Impose a Civil Penalty - (PDF format) |
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September 16, 2004 |
Wachovia Securities, LLC |
Consent Agreement - (PDF format) |
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September 16, 2004 |
Butler, Wick & Co., Inc. |
Consent Agreement - (PDF format) |
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September 14, 2004 |
StoresOnline, Inc. |
Consent Agreement - (PDF format) |
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September 2, 2004 |
RDSC, LLC |
Consent Agreement - (PDF format) |
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August 3, 2004 |
Burke, Lawton, Brewer & Burke |
Consent Agreement - (PDF format) |
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July 8, 2004 |
Morgan Financial Advisors, Inc. |
Consent Agreement - (PDF format) |
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June 24, 2004 |
StoresOnline Inc. |
Consent Agreement - (PDF format) |
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June 14, 2004 |
Moors & Cabot/Hodgman |
Consent Agreement - (PDF format) |
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May 20, 2004 |
Greycourt & Co., Inc. and Claude Perrier |
Consent Agreement - (PDF format) |
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April 5, 2004 |
Wind River Capital Mangement, Inc., William S. Clark and John Benjamin Wootten |
Consent Agreement - (PDF format) |
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April 5, 2004 |
Drake Asset Management, Inc., and David R. Lidstone |
Consent Agreement - (PDF format) |
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March 31, 2004 |
Landmark Financial Services, Inc. and James F. Jurczak |
Consent Agreement - (PDF format) |
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March 26, 2004 |
Tradex Brokerage Service, Inc. |
Consent Agreement - (PDF format) |
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March 19, 2004 |
Charles S. Clark and Clark & Stuart, Inc. |
Consent Agreement - (PDF format) |
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March 16, 2004 |
Jaguar Capital Management, Inc. |
Consent Agreement - (PDF format) |
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February 18, 2004 |
Sigma Financial Corporation |
Consent Agreement - (PDF format) |
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February 18, 2004 |
James L. Paris Financial Services, Inc., James L. Paris and Carmen G. Paris |
Consent Agreement - (PDF format) |
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February 18, 2004 |
Gilbert Capital Group and Cass A. Gilbert |
Consent Agreement - (PDF format) |
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January 7, 2004 |
Black Point Capital Management |
Consent Agreement - (PDF format) |
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January 5, 2004 |
Jepson Financial Advisors, P.A., Brent K. Jepson and Gordon W.H. Buzza, Jr. |
Consent Agreement - (PDF format) |
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January 4, 2004 |
Harbor Investment Advisors and Thomas J. Repeta |
Consent Agreement - (PDF format) |
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December 24, 2003 |
Roger F. Woodman Jr. & Co. and Roger F. Woodman Jr. |
Consent Agreement - (PDF format) |
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December 22, 2003 |
Financial Services of New England and Scott Pelletier |
Consent Agreement - (PDF format) |
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December 17, 2003 |
D.M. Becker Investment Management Company, Inc. |
Consent Agreement - (PDF format) |
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December 9, 2003 |
Summit Brokerage Services, Inc. |
Consent Agreement - (PDF format) |
|
|
December 5, 2003 |
Charles S. Clark |
Notice of Intent to Revoke a Sales Representative License and Bar Him from Association - (PDF format) |
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October 20, 2003 |
Sandgrain Securities Inc. |
Consent Agreement - (PDF format) |
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October 7, 2003 |
Tesseract Partners, LLC |
Consent Agreement - (PDF format) |
|
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August 12, 2003 |
American Research & Management Company |
Consent Agreement - (PDF format) |
|
|
August 4, 2003 |
James L. Paris Financial Services, Inc., James L. Paris and Carmen G. Paris |
Notice of Intent to Impose a Civil Penalty, Censure and Issue a Cease and Desist Order Against Respondents or to Bar James L. Paris - (PDF format) |
|
|
June 24, 2003 |
StoresOnline Inc. |
Consent Agreement - (PDF format) |
|
|
May 28, 2003 |
E. E. Powell & Company Inc., and Robert C. Wagner IV |
Consent Agreement - (PDF format) |
|
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February 11, 2003 |
Acument Securities, Inc. |
Consent Agreement - (PDF format) |
|
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December 2, 2002 |
Hawthorne Investment Management, LLC |
Consent Agreement - (PDF format) |
|
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November 8, 2002 |
OneSetPrice Inc. |
Consent Agreement - (PDF format) |
|
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October 8, 2002 |
Acument Securities, Inc |
Amended Notice of Intent to Issue a Cease and Desist Order and to Impose a Civil Penalty Against Respondednts - (PDF format) |
|
|
September 13, 2002 |
Balis Lewittes & Coleman, Inc. |
Consent Agreement - (PDF format) |
|
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June 24, 2002 |
Acument Securities, Inc. |
Notice of Intent to Issue a Cease and Desist Order - (PDF format) |
|
|
June 7, 2002 |
Hawthorne Investment Management, LLC |
Notice of Intent to Issue an Order to Deny a License - (PDF format) |
|
|
December 27, 2001 |
Mid-Ohio Securities Corp., Richard Desich, and Leonard J. Gibel |
Consent Agreement - (PDF format) |
|
|
December 14, 2001 |
Waters, Parkerson & Co., Inc. |
Consent Agreement - (PDF format) |
|
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November 19, 2001 |
Sterne, Agee & Leach, Inc. |
Consent Agreement - (PDF format) |
|
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October 9, 2001 |
Mid-Ohio Securities Corp. |
Notice of Intent to Issue Cease and Desist Order (Amended) - (PDF format) |
|
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July 31, 2001 |
Miller Johnson Steichen Kinnard, Inc. |
Consent Agreement - (PDF format) |
|
|
July 6, 2001 |
Mid-Ohio Securities Corp. |
Notice of Intent to Issue Cease and Desist Order - (PDF format)
|
|
|
March 29, 2001 |
Fifth Third Securities, Inc. |
Consent Agreement - (PDF format) |
|
|
March 1, 2001 |
Bidwell & Company |
Consent Agreement - (PDF format) |
|
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February 21, 2001 |
Nations Financial Group, Inc. |
Consent Agreement - (PDF format) |
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February 13, 2001 |
Deltec Asset Management LLC |
Consent Agreement - (PDF format) |
|
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February 13, 2001 |
Christopher Street Financial |
Consent Agreement - (PDF format) |
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