Securities Regulation


 

 

Enforcement Actions

 

IN THE MATTER OF:  Morgan Stanley Smith Barney; Consent Order COM10-000 

Schoolcare Risk Pool Practices Agreement 

Primex Risk Pool Practices Agreement 

IN THE MATTER OF:  Roland Matatics; Consent Order I-2011-000012 

IN THE MATTER OF:  Securities America, Inc., Barry Armstrong, Lawrence Panzeri; Order to Cease and Desist and Show Cause INV10-019  

IN THE MATTER OF:  Ryan Fontaine; Consent Order I-2011000011 

IN THE MATTER OF:  Oppenheimer & Co.; Consent Order I-2010-0000017 

IN THE MATTER OF:  Advent Consulting, Inc., Joseph Moquin; Consent Order COM09-005 

IN THE MATTER OF:  HealthMarkets, Inc.; Censure INV2011-0014 

IN THE MATTER OF:  Thomas DeSteph, TDA Advantage Trust and the DeSteph Agency; Consent Order INV09-0011 

IN THE MATTER OF:  Karl E. Hahn; Consent Order INV-2010000015 

IN THE MATTER OF:  Roland Matatics; Order to Cease and Desist I-211-000012 

IN THE MATTER OF:  New Futures Trading International Corp., Ryan Fontaine; Order to Cease and Desist I-2011000011 

IN THE MATTER OF:  Joseph Stevens & Co., Inc.; Default Order INV08-018 

IN THE MATTER OF:  Sierra Equity Group; Default Order INV08-027 

Staff Petition for Relief in the matter of: Local Government Center, Inc., et al 

IN THE MATTER OF:  UBS Financial Services, Inc.; Consent Order COM08-027 

IN THE MATTER OF:  Margaret Tully, CRD #2226615 and Tully & Co. Investments, LLC, CRD #119862; Findings, Rulings and Order 

IN THE MATTER OF:  Margaret Tully, CRD #2226615 and Tully & Co. Investments, LLC, CRD #119862; Consent Order for Censure COM07-004 

IN THE MATTER OF:  Lincoln Financial Advisors Corporation, Lincoln Financial Securities Corporation and Michael Gassman; Consent Order for Censure COM07-001 

IN THE MATTER OF:  UBS Financial Services Inc. COM09-0063; Consent Order 

IN THE MATTER OF: Eugene Morrissette & GM Enterprises INV09-021; Cease and Desist Order; Default Order 

IN THE MATTER OF: UBS Securities, LLC; Motion to Amend Staff Petition for Relief 

IN THE MATTER OF:  Ameriprise Financial, Inc., Ameriprise Financial Services, Inc. & Larry Post INV06-003; Consent Order 

IN THE MATTER OF:  Ameriprise Financial, Inc., Ameriprise Financial Services, Inc. & Larry Post INV06-003; Cease and Desist Order 

IN THE MATTER OF:  CCO Investment Services Corp. INV05-016; Consent Agreement 

IN THE MATTER OF: ING Life Insurance and Annuity Company, Settlement Agreement INV04-016 

IN THE MATTER OF:  ING Life Insurance and Annuity Company, Order to Cease and Desist INV04-016 

IN THE MATTER OF:  ING Life Insurance and Annuity Company, Motion to Compel INV04-016 

IN THE MATTER OF:  American Express Financial Advisors, Inc. INV04-122; Settlement Agreement 

IN THE MATTER OF:  Morgan Stanley DW Inc. INV03-27  

IN THE MATTER OF:  American Express Financial Advisors, Inc. INV04-122 

IN THE MATTER OF:  Pennichuck Corporation, Maurice L. Arel, INV02-029 

IN THE MATTER OF:  Morgan Stanley Dean Witter, Inc. Order to Cease and Desist COMO3-018, COM 03-018A, INV03-027 

IN THE MATTER OF:  Massachusetts Financial Services Company, INV03-037 

IN THE MATTER OF:  Tyco International Ltd., INV02-024  

 

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