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Administrative Orders - Arranged by Date and by Category

General

October 27, 2020 Order Extending Order No. 2020-11 Addressing Disruptions in Investment Adviser and Broker-Dealer Operations and Securities Registrations Resulting From Coronavirus
July 29, 2020 Order Regarding the Resumption of On-Site Broker-Dealer Inspections of Branch Offices in Maine
July 29, 2020 Order Extending Order No. 2020-11 Addressing Disruptions in Investment Adviser and Broker-Dealer Operations and Securities Registrations Resulting from Coronavirus
June 26, 2020 Order Extending Order No. 2020-11 Addressing Disruptions in Investment Adviser and Broker-Dealer Operations and Securities Registrations Resulting From Coronavirus
April 24, 2020 Order Extending Order No. 2020-11 Addressing Disruptions in Investment Adviser and Broker-Dealer Operations and Securities Registrations Resulting From Coronavirus
March 25, 2020 Order Addressing Disruptions In Investment Adviser And Broker-Dealer Operations And Securities Registrations Resulting From Coronavirus
March 9, 2020 Order Rescinding Interim Order No. 18-07 Requiring Compliance Wtih FINRA Representative-Level Examination Requirements Order No. 2020-06
October 1, 2018 Interim Order Requiring Compliance With FINRA Representative-Level Examination Requirements
February 16, 2012 Interim Order Exempting Certain Venture Capital And Other Private Fund Advisors From Investment Advisor Licensing Requirements
September 11, 2007 Fees for Furnishing Records
September 15, 2005 Hurricane Katrina (Persons Displaced Due To)

 

Enforcement

November 2, 2020 Edmund J. Quirion II and Family Wealth Management & Retirement Planning Solutions, LLC Docket No. 17-12858
January 27, 2020 Solium Financial Services LLC Docket No. 19-15848
January 14, 2020 Matthew K. Arbo Docket No. 18-15047-1
January 13, 2020 Edmund J. Quirion II and Family Wealth Management & Retirement Planning Solutions, LLC Docket No. 20-16315
January 13, 2020 Edmund J. Quirion II and Family Wealth Management & Retirement Planning Solutions, LLC Docket No. 20-16315
December 10, 2019 Dwayne Varney Docket No. 19-15962
November 1, 2019 Ronald Allen Howse and From the Sea to You Inc. (a/k/a "C2U")
June 14, 2019 NYLIFE SECURITIES LLC - DOCKET NO. 2019-13
May 7, 2019 Woodbridge Group Of Companies, LLC (D/B/A Woodbridge Wealth), Docket No. 17-12858-2
April 8, 2019 LPL Financial LLC, Respondent.
March 26, 2019 Robert H. Shapiro - Docket No. 17-12858-COR-3
December 10, 2018 Ronald Allen Howse and From the Sea to You Inc. (a/k/a "C2U")
December 10, 2018 Ronald Allen Howse and From the Sea to You Inc. (a/k/a "C2U")
November 19, 2018 Real Estate Man LLC and Gregory Paul Violette
June 27, 2018 Saltwater Harbor Financial, LLC and Eric Simonds
June 5, 2018 Salem Advisory Group, LLC and Kevin J. Colley
May 25, 2018 Merrill Lynch, Pierce, Fenner & Smith, Inc.
May 23, 2018 H. Beck, Inc.
April 19, 2018 Option Mint, Kensington I.P. Limited, David Pearlman and Walter Johnson
April 11, 2018 Warren G. Berger III
April 4, 2018 Real Estate Man, LLC and Gregory P. Violette
April 4, 2018 Real Estate Man, LLC and Gregory P. Violette
April 3, 2018 Option Mint, Kensington I.P. Limited, David Pearlman and Walter Johnson
February 28, 2018 Option Mint, Kensington I.P. Limited, David Pearlman and Walter Johnson
February 28, 2018 Option Mint, Kensington I.P. Limited, David Pearlman and Walter Johnson
June 8, 2017 SF Investments, Inc.
June 5, 2017 Endeavor Management Solutions, LLC and James Ward Doyle
April 27, 2017 Freedom Wealth Advisors, LLC and Laurie Bachelder
April 27, 2017 Endeavor Management Solutions, LLC and James Ward Doyle
April 26, 2017 LPL Financial LLC, Respondent.
March 24, 2017 Endeavor Management Solutions, LLC and James Ward Doyle
March 24, 2017 Endeavor Management Solutions, LLC and James Ward Doyle
March 21, 2017 CIT Investments, Ltd., Citrades and Josh Howard
March 16, 2017 Richard A. Foley
February 28, 2017 CIT Investments, LTD., Citrades, and Josh Howard
February 9, 2017 Nichols Investment Management & James W. Nichols
December 22, 2016 CIT Investments, Ltd., Citrades and Josh Howard
December 22, 2016 CIT Investments, Ltd., Citrades and Josh Howard
December 16, 2016 Joseph R. Daigneault
December 13, 2016 Dominique D. Pinault
December 12, 2016 Dominique D. Pinault
September 23, 2016 Dominique D. Pinault
September 23, 2016 Dominique D. Pinault
July 29, 2016 SMI Management & Research & Mark E. Andrews
June 22, 2016 SMI Management & Research, LLC & Mark E. Andrews
February 12, 2016 Citigroup Global Markets Inc.
December 22, 2015 Halliday Financial, LLC
December 17, 2015 Thomas H. Saliba and Spar Cove Associates, Inc., DBA Saliba Managed Funds
June 22, 2015 SMI Management & Research, LLC & Mark E. Andrews
June 8, 2015 James M. Clingensmith
March 10, 2015 James M. Clingensmith
March 10, 2015 James M. Clingensmith
February 2, 2015 Lucian D. Hodgman
January 15, 2015 Nichols Investment Management & James W. Nichols
November 7, 2014 The Integrity Funds
September 11, 2014 J. P. Morgan Securities, LLC
September 4, 2014 Intelicloud Holdings, Inc., Tech Financial Group, Jeffrey W. Friederichs, Justin E. Ackerman (aka Justin Edwards), Chris Johnson, and Jason Fox
July 28, 2014 Tonge Investment Services and Richard Smith Tonge
July 14, 2014 Revere Securities LLC
July 7, 2014 InteliCloud Holdings, Inc., Tech Financial Group, Jeffrey W. Friederichs, Justin E. Ackerman (aka Justin Edwards), Chris Johnson, and Jason Fox
June 4, 2014 Lucian D. Hodgman
June 4, 2014 Lucian D. Hodgman
May 15, 2014 North Atlantic Securities, L.L.C., Michael J. Dell'Olio and Associates, L.L.C. and Michael J. Dell'Olio
April 22, 2014 InteliCloud Holdings, Inc., Tech Financial Group, Jeffrey W. Freiderichs, Justin E. Ackerman (aka Justin Edwards) and Chris Johnson
April 22, 2014 InteliCloud Holdings, Inc., Tech Financial Group, Jeffrey W. Friederichs, Justin E. Ackerman (aka Justin Edwards), Chris Johnson and Jason Fox
March 31, 2014 Paul A. Ligor, Jr.
March 3, 2014 Odias A. Bachelder II
February 20, 2014 Harold Walter ("DJ") Maney III, d/b/a Maney Enterprises, Inc.
February 19, 2014 RBC Capital Markets, LLC
January 23, 2014 UBS Financial Services, Inc.
December 31, 2013 VC Direct Solutions, Carlos Palomo and Victoria L. Adenusi
December 20, 2013 Gregory E. Strong
December 5, 2013 LendingClub Corporation and Renaud Laplanche
December 2, 2013 Harold Walter ("DJ") Maney III, d/b/a/ Maney Enterprises, Inc.
April 22, 2013 Robert Kenneth Lindell Jr.
January 28, 2013 Richard W. Preston
November 5, 2012 Peter C. Bishop
October 22, 2012 Thomas D. Renison
September 24, 2012 Lindon S. Brown II
August 27, 2012 E*Trade Securities LLC
July 20, 2012 Kevin J. Nainiger
June 18, 2012 Aggressive Advertising Associates, LLC and Raymon Oxuzidis
May 22, 2012 Morgan Asset Management, Inc., at all relevant times a wholly owned subsidiary of MK Holdings, Inc., a wholly owned subsidiary of Regions Financial Corp.; and Morgan Keegan & Co., Inc., at all relevant times a wholly owned subsidiary of Regions Financial
April 4, 2012 UVEST Financial, Inc.
April 1, 2012 ProEquities, Inc.
March 29, 2012 Bankers Life and Casualty Company and BLC Financial Services, Inc.
March 15, 2012 Nitro Web Hosting Services, Inc., d/b/a Compassionate Clicks, and Lawrence B. Marcus
March 14, 2012 Douglas G. Bezio
March 12, 2012 Nitro Web Hosting Services, Inc., d/b/a Compassionate Clicks, and Lawrence B. Marcus
February 8, 2012 Van Ness Investments, LLC / Linda G. Van Ness
February 2, 2012 North Atlantic Securities, L.L.C., Michael J. Dell'Olio and Associates, L.L.C. and Michael J. Dell'Olio
February 1, 2012 Keith Seltzer, d/b/a KDS Funding
January 17, 2012 Douglas G. Bezio
January 17, 2012 Stephen D. Pate
December 14, 2011 Nitro Web Hosting Services, Inc., d/b/a Compassionate Clicks, and Lawrence B. Marcus
December 14, 2011 Nitro Web Hosting Services, Inc., d/b/a Compassionate Clicks, and Lawrence B. Marcus
December 9, 2011 Prosper Marketplace, Inc.
December 1, 2011 Douglas G. Bezio
December 1, 2011 Douglas G. Bezio
November 9, 2011 Aleksei Kiselev
October 28, 2011 Raymond James & Associates, Inc., and Raymond James Financial Services, Inc.,
September 30, 2011 Douglas G. Bezio
May 9, 2011 Odias A. Bachelder II
May 3, 2011 Aleksei Kiselev
May 2, 2011 Jesse Bean
March 10, 2011 Jesse Bean
March 9, 2011 Douglas G. Bezio
October 28, 2010 Edward D. Jones & Co., L.P.
October 7, 2010 Wise Financial Marketing Solutions, LLC and iBridge Equity, LLC
October 7, 2010 Blue Chip Marketing Group Incorporated, Cashing in on Auctions, Victor Griffin and Nancy Miller
September 24, 2010 Stifel, Nicolaus & Company, Incorporated, CRD #793, 501 North Broadway, St. Louis, Missouri 63102
September 17, 2010 Wells Fargo Investments LLC
September 13, 2010 TD Ameritrade, Inc.
August 27, 2010 Wise Financial Marketing Solutions, LLC and iBridge Equity, LLC
August 27, 2010 Blue Chip Marketing Group Incorporated, Cashing in on Auctions, Victor Griffin and Nancy Miller
August 24, 2010 Ronald S. Snow
July 8, 2010 UBS Securities, LLC and UBS Financial Services Inc.
July 8, 2010 Credit Suisse Securities (USA) LLC. 1 Madison Avenue, 9th Floor, New York, New York 10010
June 28, 2010 Ronald S. Snow
June 21, 2010 Goldman, Sachs & Co.,
May 12, 2010 Warren C. Spencer
May 5, 2010 Imperia Invest IBC, Werner Jahnsen and Steve Baker
May 3, 2010 Morgan Stanley & Co. Incorporated (CRD #8209)
March 5, 2010 Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 23, 2010 Warren C. Spencer
January 12, 2010 Deutsche Bank Securities Inc. CRD #2525
September 2, 2009 Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 17, 2009 JPMorgan Chase & Co.
August 6, 2009 RBC Capital Markets Corporation
July 23, 2009 Banc of America Securities LLC and Banc of America Investment Services, Inc.
June 12, 2009 Prosper Marketplace, Inc.
April 16, 2009 Citigroup Global Markets Inc.
April 7, 2009 Roy E. Allen
March 25, 2009 Wachovia Securities, LLC and Wachovia Capital Markets, LLC
March 5, 2009 Roy E. Allen
December 15, 2008 Paul A. Dyer
November 14, 2008 Morgan Stanley & Co. Incorporated
September 25, 2008 James A. Rivera, Apostles, Inc., Almighty Wind, Inc., and all affiliated companies
June 23, 2008 Nicholas J. Slabbert
May 23, 2008 Paul A. Dyer
February 22, 2008 Malory Investments LLC Ronald Stein and Sylvia Gorohoff
January 2, 2008 David J. Deschaine and David J. Deschaine Installations, Inc.
January 2, 2008 Malory Investments LLC Ronald Stein and Sylvia Gorohoff
December 13, 2007 James L. Clifford
August 6, 2007 Rosewood Energy, LLC, d/b/a Rosewood Energy, Inc., and Clement I. Ejedawe
August 6, 2007 Garden State Securities, Inc.
June 8, 2007 Startup Essentials, LLC
May 14, 2007 Rosewood Energy, LLC, d/b/a Rosewood Energy, Inc., and Clement I. Ejedawe
April 13, 2007 Debt Free Organic Foundation and Penny Gabardi and Julie Jacobs
January 17, 2007 James L. Clifford
January 8, 2007 David R. Loeser and D.R. Loeser & Co., Inc.
December 6, 2006 Hope Scharf Tengonciang and Donald Poulin
November 29, 2006 Paul J. Pombriant
November 28, 2006 James L. Clifford
November 27, 2006 Startup Essentials, LLC
November 15, 2006 Rosewood Energy, LLC, d/b/a Rosewood Energy, Inc., and Clement I. Ejedawe
October 27, 2006 Chad M. Luce
October 12, 2006 Steven K. Maidlow
September 26, 2006 Chad M. Luce
August 31, 2006 Steven K. Maidlow
August 11, 2006 Wachovia Capital Markets, LLC
July 24, 2006 John S. Pettigrew
May 25, 2006 John S. Pettigrew
May 18, 2006 Paul J. Pombriant
May 5, 2006 Hope Scharf Tengonciang and Donald Poulin
April 20, 2006 Woso Energy Corporation, Osinmen E. Sunday, Oziengbe E. Williams, and Merricks J. Prudhomme, Sr.
April 20, 2006 Matrix Petroleum, Inc., Thomas R. Watkins, and Brock Watkins
March 16, 2006 Woso Energy Corporation, Osinmen E. Sunday, Oziengbe E. Williams, and Merricks J. Prudhomme, Sr.
March 16, 2006 Matrix Petroleum, Inc., Thomas R. Watkins, and Brock Watkins
March 2, 2006 CPFS, Inc., Pinnacle Support Systems Inc., Larry C. Nelson, Donna T. Nelson, Craig N. Salomon and Thomas Greene
February 21, 2006 Larry Robert Balliet
January 31, 2006 Hope Scharf Tengonciang and Donald Poulin
September 20, 2005 Jesup & Lamont Securities Corp. CRD #39056
September 20, 2005 Marketing Solutions International, Inc. and Consolidated Marketing Group, LC
August 18, 2005 Marketing Solutions International, Inc. and Consolidated Marketing Group, LC
May 17, 2005 Bodell Overcash Anderson & Co., Inc.
March 29, 2005 Thomas Weisel Partners LLC, Respondent.
March 29, 2005 Thomas Weisel Partners LLC, Respondent.
March 16, 2005 Deutsche Bank Securities Inc., Respondent.
March 16, 2005 Deutsche Bank Securities Inc.
March 8, 2005 LH Ross & Company, Inc. and Franklyn Ross Michelin
February 4, 2005 LH Ross & Company, Inc. and Franklyn Ross Michelin
January 3, 2005 Aptus Technology Corporation, Hirak Biswas, Joseph Orlando and Apurba Mukherjee
December 22, 2004 Mid-Continent Oil and Gas, Inc., Steven Lee White, Casey Ladymon and Chad Willis
December 3, 2004 Ronald M. Nickerson
November 15, 2004 Aptus Technology Corporation, Hirak Biswas, Joseph Orlando and Apurba Mukherjee
October 22, 2004 Ronald M. Nickerson
October 10, 2004 Parasol Films II, Inc., Parasol Films II, LLC, Erik Baquero, Dean McDaniel, Daniel Duarte, Nicholas Melisse
August 25, 2004 Parasol Films II, Inc., Parasol Films II, LLC, Erik Baquero, Dean McDaniel, Daniel Duarte, Nicholas Melisse
March 25, 2004 Parasol Films II, Inc., Parasol Films II, LLC, Erik Baquero, Dean McDaniel, Daniel Duarte, Nicholas Melisse
March 17, 2004 Gary L. Hobbs
March 15, 2004 Trinity Consulting Services, LLC; American Certificate & Title Company; Andres Calvo; David Todd Zussman; Kevin C. Grom; Andrew L. Warden
March 15, 2004 Mid-Continent Oil and Gas, Inc., Steven Lee White, Casey Ladymon and Chad Willis
February 18, 2004 Trinity Consulting Services, LLC; American Certificate & Title Company; Andres Calvo; David Todd Zussman; Kevin C. Grom; Andrew L. Warden
January 29, 2004 Mid-Continent Oil and Gas, Inc., Steven Lee White, Casey Ladymon and Chad Willis
January 27, 2004 Gary L. Hobbs
December 1, 2003 Trinity Consulting Services, LLC; American Certificate & Title Company; Andres Calvo; David Todd Zussman; Kevin C. Grom; Andrew L. Warden
November 24, 2003 B.I.Z. Holdings, Inc. d/b/a U.S. Metals Schlecht Group, Inc. d/b/a U.S. Metals , Arthur Schlecht, Bernard I. Zeff, Martin Jainchill, Roberta Couri
November 7, 2003 AGM international Inc., a/k/a Money4U.net
September 23, 2003 AGM international Inc., a/k/a Money4U.net
September 23, 2003 B.I.Z. Holdings, Inc. d/b/a U.S. Metals Schlecht Group, Inc. d/b/a U.S. Metals , Arthur Schlecht, Bernard I. Zeff, Martin Jainchill, Roberta Couri
September 22, 2003 Credit Suisse First Boston LLC f/k/a/ Credit Suisse First Boston Corporation, Respondent
September 22, 2003 Credit Suisse First Boston LLC f/k/a/ Credit Suisse First Boston Corporation
September 5, 2003 James L. Paris Financial Services, Inc. and Carmen G. Paris
September 5, 2003 Citigroup Global Markets Inc. (f/k/a/ Salomon Smith Barney Inc.) Respondent.
September 5, 2003 Citigroup Global Markets Inc. (f/k/a/ Salomon Smith Barney Inc.)
September 2, 2003 Morgan Stanley & Co., Inc. - Respondent.
September 2, 2003 Morgan Stanley & Co., Inc.
August 28, 2003 J.P. Morgan Securities Inc., 270 Park Avenue, New York, NY 10017
August 28, 2003 J.P. Morgan Securities Inc., 270 Park Avenue, New York, NY 10017
August 28, 2003 Bear, Stearns & Co. Inc., Respondent.
August 28, 2003 Bear, Stearns & Co. Inc., Respondent.
August 28, 2003 U.S. BANCORP PIPER JAFFRAY INC., 800 Nicollet Mall Suite 800, Minneapolis, MN 55402 - Respondent.
August 28, 2003 U.S. BANCORP PIPER JAFFRAY INC. 800 Nicollet Mall Suite 800 Minneapolis, MN 55402 - Respondent.
August 28, 2003 Lehman Brothers Inc. - Respondent
August 28, 2003 Lehman Brothers Inc.
August 27, 2003 Goldman, Sachs & Co., 85 Broad St., New York, NY 10004 CRD #361
August 27, 2003 Goldman, Sachs & Co., 85 Broad St., New York, NY 10004 CRD #361
August 25, 2003 UBS Warburg LLC, 677 Washington Boulevard, Stamford, Connecticut 06901 CRD #7654; UBS PainWebber Inc., 1285 Avenue of the Americas, New York, New York 10019 CRD #8174
August 25, 2003 UBS Warburg LLC, 677 Washington Boulevard, Stamford, Connecticut 06901 CRD #7654; UBS PainWebber Inc., 1285 Avenue of the Americas, New York, New York 10019 CRD #8174
August 18, 2003 Trinity Consulting Services, LLC; American Certificate & Title Company; Andres Calvo; David Todd Zussman; Kevin C. Grom; Andrew L. Warden
August 4, 2003 James L. Paris Financial Services, Inc., James L. Paris and Carmen G. Paris
July 14, 2003 New Life Corporation of America d/b/a National Community Foundation and Paul E. Richard
April 16, 2003 Acument Securities, Inc., Robert T. Angle, Thomas F. White, and William M. McCarty
February 19, 2003 Pruco Securities Corporation
February 14, 2003 New Life Corporation of America d/b/a National Community Foundation and Paul E. Richard
January 28, 2003 OneShare.com
January 14, 2003 Web Booth Inc. a/k/a The Web Booth Corporation; Waterstones Ltd.; Future Communications Marketing Inc.; John E. Perry; Brian S. Wright; Timothy E. Grant, Sr.; Robert H. Edmunds, III
January 14, 2003 Alpha Tel-Com Inc.; American Telecommunications Company Inc.; SPA Marketing LLC; Strategic Partnership Alliance LLC; Paul S. Rubera, Jr.; Ross R. Rambach; Mark Kennison; Timothy E. Grant, Sr.; Maynard Weinberg
December 31, 2002 Pruco Securities Corporation
November 15, 2002 Downeast Capital, Inc. and Paul Newman
November 1, 2002 Web Booth Inc. a/k/a The Web Booth Corporation; Waterstones Ltd.; Future Communications Marketing Inc.; John E. Perry; Brian S. Wright; Timothy E. Grant, Sr.; Robert H. Edmunds, III
November 1, 2002 Alpha Tel-Com Inc.; American Telecommunications Company Inc.; SPA Marketing LLC; Strategic Partnership Alliance LLC; Paul S. Rubera, Jr.; Ross R. Rambach; Mark Kennison; Timothy E. Grant, Sr.; Maynard Weinberg
October 8, 2002 Acument Securities, Inc., Robert T. Angle, Thomas F. White, and William M. McCarty
June 24, 2002 Acument Securities, Inc. and William M. McCarty
March 2, 2002 Mid-Ohio Securities Corp., Richard Desich, Leonard J. Gibel, Thomas Gordon Cloud, Thomas Gordon Cloud, Jr.; Cloud & Associates Consulting Inc.; First Choice Management Servcies, Inc., and Gary Van Waeyenberghe
December 17, 2001 Robert Kenneth Lindell, Jr.
October 23, 2001 Robert Kenneth Lindell, Jr.
October 18, 2001 David Elliot L'Hoir, PayDay Today! U.S.A. Inc. and PayDay Today! U.S.A. Com, Inc.
October 9, 2001 Mid-Ohio Securities Corp.; Richard Desich, Leonard J. Gibel; Thomas Gordon Cloud, Thomas Gordon Cloud Jr.; Cloud & Associates Consulting, Inc.; First Choice Management Services, Inc.; and Gary Van Waeyenberghe
September 17, 2001 David Elliot L'Hoir, PayDay Today! U.S.A., Inc., and PayDay Today! U.S.A. Com, Inc.
July 17, 2001 Edward W. Kipping dba Time Traders, Time Traders Inv. Group, Time Traders Inv, Inc., "Time Traders" All Employees, Coordinators, Managers, Recruiters Daniel Costa, Jess R. Medina, Jr., Charles Tompson, John Thompson, Brian Lappan, David Rubright
July 6, 2001 Mid-Ohio Securities Corp., Richard Desich, Thomas Gordon Cloud, Thomas Gordon Cloud Jr., Cloud & Associates Consulting, Inc., First Choice Management Services, Inc., and Gary Van Waeyenberghe
September 13, 2000 Michael L. Hancock
     

 

Last Updated: November 13, 2020 10:39 AM