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Maine.gov> PFR Home > Securities Home Page > Consent Agreements in Alphabetical Order

Consent Agreements in Alphabetical Order

Consent Agreements are voluntary settlement agreements. Unless otherwise indicated, they do not involve a finding or admission of wrongdoing.

ACS TradeOne Marketing, Inc.

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Acument Securities, Inc. and William M. McCarty

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Acument Securities, Inc., Robert T. Angle, Thomas F. White, and William M. McCarty

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American Financial Associates, Inc. and Henry L. D'Alberto

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American Research & Management Company, 145 Front Street, Marion, MA 02738-0576

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Aptus Technology Corporation, Hirak Biswas, Joseph Orlando and Apurba Mukherjee

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A.R. Schmeidler & Co., Inc.

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Aurora Financial Group, LLC

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Balis Lewittes & Coleman, Inc., 575 Lexington Avenue, New York, NY 10022

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Bangor Securities, Inc., Michael E. Ludwig

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Bankers Life and Casualty Company

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William Thomas Bennett IV

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Bidwell & Company, 330 S.W. Sixth Avenue, Portland, OR 97204

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Biondo Asset Management LLC (CRD #129690)

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Black Point Capital Management (CRD #116654) and Seth Sprague (CRD #4593074)

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Bolton Securities Corp.

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Burke, Lawton, Brewer & Burke 516 N. Bethlehem Pike, Spring House, PA 19477 (CRD #1346)

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Butler, Wick & Co., Inc. (CRD #120)

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Christopher Street Financial, Inc., 80 Wall St., Suite 515, New York, New York 10005-3601

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Charles S. Clark

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CitiStreet Advisors LLC

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Commonwealth Church Finance, Inc.

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Commonwealth Financial Network, Alan Perry Hess, David Linus Kelly and Peter Thompkins Wheeler

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Compass Securities Corporation

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Congress Springs Capital, LLC and Francis X. Fitzpatrick

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D.M. Becker Investment Management Company, Inc. (CRD #119860) and Douglas Becker (CRD #862225)

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Deltec Asset Management LLC, 645 Fifth Avenue, 18th Floor, New York, NY 10022

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Detwiler Fenton & Co.

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Diversified Resources, LLC and Karen J. Bacon

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Downeast Financial Group, Michael J. Poulin and Lena-Jo Hartley

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Drake Asset Management, Inc. (CRD #118687) and David R. Lidstone (CRD #1325528)

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E. E. Powell & Company Inc. and Robert C. Wagner IV

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Edward D. Jones & Co., L.P.

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Eubanks Capital Management (CRD #135493) and Ronald M. Eubanks, Jr. (CRD #2957448)

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Fuller, Jones & Stivers LLP, Judith A. Fuller and Rendle A. Jones

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Financial Advocates Investment Management and Michael S Tuell

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Financial Services of New England (CRD #38088) and Scott Pelletier (CRD #1240152)

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First Manhattan Co. (CRD #1845)

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Winslow J. Furber

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Gabriel J. Giguere, Jr.

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Garden State Securities, Inc., Robert B. Steck, Kevin J. Derosa and Craig R. Margolies

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Garry Pierce Financial Services, LLP and Garry G. Pierce

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George McKelvey Co., Inc.

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Gilbert Capital Group (CRD #117268) and Cass A. Gilbert (CRD #705088)

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Gladowsky Capital Management Corp.

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Global Resource Investments LTD

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Greycourt & Co., Inc. (CRD #111936) and Claude Perrier (CRD #4557418)

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Guidance Point Advisors, LLC and Benjamin J. Smith

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H.D. Vest Investment Services

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Harbor Investment Advisors (CRD #118480) and Thomas J. Repeta (CRD #2363309)

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Harvest Financial Corporation

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Hawthorne Investment Management, LLC

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The Huntington Investment Company (CRD #16986)

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Intersecurities Inc

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Investacorp, Inc., and Michael J. Poulin

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Investment Management & Consulting Group, Lawrence J. Bowlan and Stephen L. Eddy

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Investment Management & Consulting Group, Charles W. Dibner, and Fredric W. Williams

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J.P. Turner & Company, LLC (CRD #43177)

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Jaguar Capital Management, Inc., (CRD #123156) and Jeffrey Alan Grossman (CRD #2017925)

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Jepson Financial Advisors, P.A. (CRD #123342), Brent K. Jepson (CRD #841113) and Gordon W. H. Buzza, Jr.

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Jesup & Lamont Securities Corp., 650 Fifth Avenue, 3rd Floor, New York, NY 10019 (CRD #39056)

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Kovack Securities, Inc.

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Laidlaw & Company (UK) LTD

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Landaas & Company and Brian D. Kilb

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Landmark Financial Services, Inc. (CRD #122568) and James F. Jurzak (CRD #2032940)

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Lemley, Yarling & Co. and Ralph J. Lemley II

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Liberty Investment Advisors and Richard Liberty

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M&I Brokerage Services, Inc.

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Mane Securities Corporation

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McKinnon & Company, Inc.

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Brent Wilson McLaughlin dba The Glen Mills Group

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Means Investment Co., Inc., 802 Stillwater Avenue, Bangor, ME 04401

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Mercadien Securities and Reginald W. Burroughs

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Merrill Lynch, Pierce, Fenner & Smith, Inc.

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Merrion Group, LLC (CRD #30145)

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MHP Asset Management LLC

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Mid-Ohio Securities Corp., Richard Desich and Leonard J. Gibel

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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

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Miller Johnson Steichen Kinnard, Inc., 920 Second Avenue South, Minneapolis, MN 55402

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Sean S. Mohammadi, Joseph Tedeschi, Richard J. DiMaggio

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Moloney Securities Co. Inc. and William R. White III

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Robert J. Montgomery

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Moors & Cabot, Inc. (CRD #594) Lucien D. Hodgman (CRD #1546902)

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Morgan Financial Advisors, Inc. (CRD #107868)

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Nations Financial Group, Inc., 4000 River Ridge Drive NE, Cedar Rapids, IA 52402

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James W. Nichols

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North Coast Energy, Inc. and McDonald Investments inc.

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Northern Capital Securities Corporation

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Ohanesian/Lecours, Inc. and Richard Hammond

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Olympia Asset Management, Ltd. and Michael P. Murphy

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OneSetPrice, Inc.

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OppenheimerFunds, Inc. and OppenheimerFunds Distributor, Inc.

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James L. Paris Financial Services, Inc., James L. Paris and Carmen G. Paris

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Petersen Investments, Inc.

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Portland Global Advisor LLC, John Sullivan, Derek Jaskulski, Richard Strabley and Charles Oestreicher

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Prospera Financial Services, Inc.

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Pruco Securities, LLC

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RDSC, LLC, 300 Main Street, Cincinnati, OH 45202

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Ram Trust Services Inc., Michael P. Wood, John P. Higgins and Kate C. Wilkinson

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Raymond James Financial Services, Inc. and Nina Lee J. Mendall

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Realcadre LLC

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Michael C. Reis

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Renaissance Institutional Management LLC

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Robotti & Company LLC

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Roger F. Woodman Jr. & Co. (CRD #119778) and Roger F. Woodman Jr. (CRD #4527885)

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Thomas S. Rogers

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SF Investments, Inc. (CRD #6564)

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Sandgrain Securities Inc., 1050 Franklin Avenue, Suite 101, Garden City, NY 11530

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Sequoia Investments, Inc.

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Sigma Financial Corporation, 4261 Park Road, Ann Arbor, Michigan 48103-9508

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Sterne, Agee & Leach, Inc., CMT Plaza, 813 Shades Creek Parkway Suite 100B, Birmingham, AL 35209

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Alec Joel Stevens

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StoresOnline, Inc.

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Lawrence G. Sucsy

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Summit Brokerage Services, Inc., 980 N. Federal Highway, Suite 310, Boca Raton, FL 33432

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Tesseract Partners, LLC (CRD #111811) and Dimitri N. Balatsos (CRD #2114760)

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Time Equities Securities LLC and Richard P. Viest

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Tradex Brokerage Service, Inc., 20 Vesey Street, Suite 800, New York, NY 10007

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Trubee, Collins & Co., Inc.

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Univest Investments Inc

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Van Ness Investments, LLC/Linda Van Ness

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VanceGray Wealth Management Inc. and Joseph M. Alvarez

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Wachovia Securities, LLC (CRD #19616)

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Wachovia Securities, LLC

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Waters, Parkerson & Co., Inc., Suite 512, 228 St. Charles Avenue, New Orleans, Louisiana

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Welton Street Investments LLC

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WFG Investments, Inc. and Frank J. Haas Jr.

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Wind River Capital Management, Inc., William S. Clark and John Benjamin Wootten

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Wind River Capital Mangement, Inc. and William M. Hunter II

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Last Updated: August 24, 2018 1:01 PM