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Consent Agreements in Date Order

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

Date

Description

May 3, 2018 Time Equities Securities LLC and Richard P. Viest
March 1, 2018 Garry Pierce Financial Services, LLP and Garry G. Pierce
January 31, 2018 Michael C. Reis
October 2, 2017 Thomas S. Rogers
June 8, 2017 Lawrence G. Sucsy
May 5, 2017 Realcadre LLC
April 25, 2017 Diversified Resources, LLC and Karen J. Bacon
March 23, 2017 Landaas & Company and Brian D. Kilb
August 23, 2016 Detwiler Fenton & Co.
July 29, 2016 Mercadien Securities and Reginald W. Burroughs
April 28, 2016 Moloney Securities Co. Inc. and William R. White III
December 22, 2015 Sean S. Mohammadi, Joseph Tedeschi, Richard J. DiMaggio
July 14, 2015 WFG Investments, Inc. and Frank J. Haas Jr.
November 17, 2014 Congress Springs Capital, LLC and Francis X. Fitzpatrick
April 14, 2014 Investment Management & Consulting Group, Lawrence J. Bowlan and Stephen L. Eddy
December 20, 2013 American Financial Associates, Inc. and Henry L. D'Alberto
December 20, 2013 Sequoia Investments, Inc.
November 26, 2013 H.D. Vest Investment Services
August 20, 2013 Bankers Life and Casualty Company
May 10, 2013 Robotti & Company, LLC
November 30, 2012 Financial Advocates Investment Management and Michael S Tuell
September 17, 2012 MHP Asset Management LLC
June 11, 2012 Trubee, Collins & Co., Inc.
June 5, 2012 Ohanesian/Lecours, Inc. and Richard Hammond
May 31, 2012 Guidance Point Advisors, LLC and Benjamin J. Smith
May 17, 2012 Alec Joel Stevens
May 2, 2012 VanceGray Wealth Management Inc. and Joseph M. Alvarez
September 20, 2011 Global Resource Investments LTD
April 11, 2011 Winslow J. Furber
March 17, 2011 Aurora Financial Group, LLC
January 18, 2011 Brent Wilson McLaughlin dba The Glen Mills Group
October 20, 2010 Compass Securities Corporation
July 12, 2010 A.R. Schmeidler & Co., Inc.
June 22, 2010 OppenheimerFunds, Inc. and OppenheimerFunds Distributor, Inc.
April 15, 2010 Gladowsky Capital Management Corp.
January 6, 2010 James W. Nichols
January 4, 2010 Wind River Capital Mangement, Inc. and William M. Hunter II
August 6, 2009 Laidlaw & Company (UK) LTD
March 20, 2009 Van Ness Investments, LLC/Linda Van Ness
January 6, 2009 William Thomas Bennett IV
July 18, 2008 Robotti & Company LLC
May 12, 2008 Rothschild Investment Corporation
February 29, 2008 M&I Brokerage Services, Inc.
September 4, 2007 George McKelvey Co., Inc.
August 6, 2007 Garden State Securities, Inc., Robert B. Steck, Kevin J. Derosa and Craig R. Margolies
July 23, 2007 Welton Street Investments LLC
July 13, 2007 Pruco Securities, LLC
April 23, 2007 Intersecurities Inc
January 5, 2007 Univest Investments Inc
September 8, 2006 Bolton Securities Corp.
September 8, 2006 Gabriel J. Giguere, Jr.
September 5, 2006 Prospera Financial Services, Inc.
August 17, 2006 CitiStreet Advisors LLC
August 10, 2006 Harvest Financial Corporation
July 20, 2006 Liberty Investment Advisors and Richard Liberty
June 22, 2006 Eubanks Capital Management (CRD #135493) and Ronald M. Eubanks, Jr. (CRD #2957448)
May 31, 2006 Investacorp, Inc., and Michael J. Poulin
May 4, 2006 Downeast Financial Group, Michael J. Poulin and Lena-Jo Hartley
April 21, 2006 Portland Global Advisor LLC, John Sullivan, Derek Jaskulski, Richard Strabley and Charles Oestreicher
March 7, 2006 Aptus Technology Corporation, Hirak Biswas, Joseph Orlando and Apurba Mukherjee
February 28, 2006 Edward D. Jones & Co., L.P.
February 24, 2006 Lemley, Yarling & Co. and Ralph J. Lemley II
February 14, 2006 Petersen Investments, Inc.
January 3, 2006 Kovack Securities, Inc.
December 27, 2005 Commonwealth Financial Network, Alan Perry Hess, David Linus Kelly and Peter Thompkins Wheeler
December 15, 2005 Bangor Securities, Inc., Michael E. Ludwig
November 28, 2005 McKinnon & Company, Inc.
October 31, 2005 First Manhattan Co. (CRD #1845)
October 4, 2005 The Huntington Investment Company (CRD #16986)
September 21, 2005 J.P. Turner & Company, LLC (CRD #43177)
September 21, 2005 Biondo Asset Management LLC (CRD #129690)
August 15, 2005 Merrion Group, LLC (CRD #30145)
August 15, 2005 Commonwealth Church Finance, Inc.
July 28, 2005 Commonwealth Financial Network, Alan Perry Hess, David Linus Kelly and Peter Thompkins Wheeler
July 26, 2005 Means Investment Co., Inc., 802 Stillwater Avenue, Bangor, ME 04401
July 20, 2005 SF Investments, Inc. (CRD #6564)
July 7, 2005 Northern Capital Securities Corporation
June 30, 2005 ACS TradeOne Marketing, Inc.
June 14, 2005 Raymond James Financial Services, Inc. and Nina Lee J. Mendall
May 17, 2005 Fuller, Jones & Stivers LLP, Judith A. Fuller and Rendle A. Jones
April 29, 2005 North Coast Energy, Inc. and McDonald Investments inc.
April 25, 2005 Wachovia Securities, LLC
March 30, 2005 Investment Management & Consulting Group, Charles W. Dibner, and Fredric W. Williams
March 21, 2005 Ram Trust Services Inc., Michael P. Wood, John P. Higgins and Kate C. Wilkinson
March 4, 2005 Jesup & Lamont Securities Corp., 650 Fifth Avenue, 3rd Floor, New York, NY 10019 (CRD #39056)
January 31, 2005 Olympia Asset Management, Ltd. and Michael P. Murphy
December 22, 2004 Mane Securities Corporation
December 20, 2004 Olympia Asset Management, Ltd. and Michael P. Murphy
November 22, 2004 Robert J. Montgomery
September 16, 2004 Wachovia Securities, LLC (CRD #19616)
September 16, 2004 Butler, Wick & Co., Inc. (CRD #120)
September 14, 2004 StoresOnline, Inc.
September 2, 2004 RDSC, LLC, 300 Main Street, Cincinnati, OH 45202
August 3, 2004 Burke, Lawton, Brewer & Burke 516 N. Bethlehem Pike, Spring House, PA 19477 (CRD #1346)
July 8, 2004 Morgan Financial Advisors, Inc. (CRD #107868)
June 24, 2004 StoresOnline, Inc.
June 14, 2004 Moors & Cabot, Inc. (CRD #594) Lucien D. Hodgman (CRD #1546902)
May 20, 2004 Greycourt & Co., Inc. (CRD #111936) and Claude Perrier (CRD #4557418)
April 5, 2004 Wind River Capital Management, Inc., William S. Clark and John Benjamin Wootten
April 5, 2004 Drake Asset Management, Inc. (CRD #118687) and David R. Lidstone (CRD #1325528)
March 31, 2004 Landmark Financial Services, Inc. (CRD #122568) and James F. Jurzak (CRD #2032940)
March 26, 2004 Tradex Brokerage Service, Inc., 20 Vesey Street, Suite 800, New York, NY 10007
March 19, 2004 Charles S. Clark and Clark & Stuart, Inc.
March 16, 2004 Jaguar Capital Management, Inc., (CRD #123156) and Jeffrey Alan Grossman (CRD #2017925)
February 18, 2004 Sigma Financial Corporation, 4261 Park Road, Ann Arbor, Michigan 48103-9508
February 18, 2004 James L. Paris Financial Services, Inc., James L. Paris and Carmen G. Paris
February 18, 2004 Gilbert Capital Group (CRD #117268) and Cass A. Gilbert (CRD #705088)
January 7, 2004 Black Point Capital Management (CRD #116654) and Seth Sprague (CRD #4593074)
January 5, 2004 Jepson Financial Advisors, P.A. (CRD #123342), Brent K. Jepson (CRD #841113) and Gordon W. H. Buzza, Jr.
January 4, 2004 Harbor Investment Advisors (CRD #118480) and Thomas J. Repeta (CRD #2363309)
December 24, 2003 Roger F. Woodman Jr. & Co. (CRD #119778) and Roger F. Woodman Jr. (CRD #4527885)
December 22, 2003 Financial Services of New England (CRD #38088) and Scott Pelletier (CRD #1240152)
December 17, 2003 D.M. Becker Investment Management Company, Inc. (CRD #119860) and Douglas Becker (CRD #862225)
December 9, 2003 Summit Brokerage Services, Inc., 980 N. Federal Highway, Suite 310, Boca Raton, FL 33432
December 5, 2003 Charles S. Clark
October 20, 2003 Sandgrain Securities Inc., 1050 Franklin Avenue, Suite 101, Garden City, NY 11530
October 7, 2003 Tesseract Partners, LLC (CRD #111811) and Dimitri N. Balatsos (CRD #2114760)
August 12, 2003 American Research & Management Company, 145 Front Street, Marion, MA 02738-0576
June 24, 2003 StoresOnline, Inc.
May 28, 2003 E. E. Powell & Company Inc. and Robert C. Wagner IV
February 11, 2003 Acument Securities, Inc., Robert T. Angle, Thomas F. White, and William M. McCarty
December 2, 2002 Hawthorne Investment Management, LLC
November 8, 2002 OneSetPrice, Inc.
October 21, 2002 Merrill Lynch, Pierce, Fenner & Smith, Inc.
September 13, 2002 Balis Lewittes & Coleman, Inc., 575 Lexington Avenue, New York, NY 10022
June 7, 2002 Hawthorne Investment Management, LLC
December 27, 2001 Mid-Ohio Securities Corp., Richard Desich and Leonard J. Gibel
December 14, 2001 Waters, Parkerson & Co., Inc., Suite 512, 228 St. Charles Avenue, New Orleans, Louisiana
November 19, 2001 Sterne, Agee & Leach, Inc., CMT Plaza, 813 Shades Creek Parkway Suite 100B, Birmingham, AL 35209
October 9, 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
July 31, 2001 Miller Johnson Steichen Kinnard, Inc., 920 Second Avenue South, Minneapolis, MN 55402
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
March 29, 2001 Fifth Third Securities, Inc., 38 Fountain Square Plaza, Cincinnati, Ohio 45263
March 1, 2001 Bidwell & Company, 330 S.W. Sixth Avenue, Portland, OR 97204
February 21, 2001 Nations Financial Group, Inc., 4000 River Ridge Drive NE, Cedar Rapids, IA 52402
February 13, 2001 Deltec Asset Management LLC, 645 Fifth Avenue, 18th Floor, New York, NY 10022
February 13, 2001 Christopher Street Financial, Inc., 80 Wall St., Suite 515, New York, New York 10005-3601

Last Updated: May 25, 2018 3:43 PM