IN THE
MATTER OF: Allen Darby, COM.2011-0026-0029: Consent Order
IN THE
MATTER OF: Nickolas Skaltsis and Liberty Realty Trust, Strafford County Superior Court Docket No. 219-2013-CV-00031: Permanent Injunction
IN THE
MATTER OF: Nickolas Skaltsis, Liberty Realty Trust and Phoenix Asset Group, Inc., I-2012-000033: Default Order
IN THE
MATTER OF: Holly Hunter, COM.2011-0026-0029: Consent Order
IN THE
MATTER OF: REB Financial, and Robert E. Bossdorf, COM2013-000007: Order to Cease and Desist
IN THE
MATTER OF: Edward Jones & Co., L.P., C-2012000002: Order to Cease and Desist, Order to Show Cause
IN THE
MATTER OF: Spartan Capital Securities, LLC, INV2013-0008: Consent Order
IN THE
MATTER OF: Roberta Wilson, COM2011-0041: Consent Order
IN THE
MATTER OF: Brett Ian Friedberg, INV2013-0007: Summary Suspension Order, Order to Show Cause
IN THE
MATTER OF: Nicholas Rowe and Focus Capital Wealth Management, Inc., COM2011-0037: Consent Order
IN THE
MATTER OF: Spartan Capital Securities, LLC, COM2011-003
IN THE
MATTER OF: Nickolas Skaltsis, Liberty Realty Trust and Phoenix Asset Group, Inc., I-2012-000033
IN THE
MATTER OF: Equal Exchange, Inc., COM12-0003
IN THE
MATTER OF: Spartan Capital Securities, LLC and Ed Segur, COM2011-003
IN THE
MATTER OF: Nicholas Rowe and Focus Capital Wealth Management, Inc.; Amended Order; C-2011000037
IN THE
MATTER OF: Team Resources, Inc. and School Creek Production and Development Fund I, Partnership,
INV2012-0014; Consent Order
IN THE
MATTER OF: UVEST Financial Services Group, Inc., C-2010-0012; Consent Order
IN THE
MATTER OF: McLean Asset Management Corporation, I-2012000031; Consent Order
IN THE
MATTER OF: Securities America, Inc., INV2010-019; Order to Cease and Desist, Order to Show Cause
IN THE
MATTER OF: ProEquities, Inc., C-2010-0012; Consent Order
IN THE
MATTER OF: Bankers Life and Casualty Company and BLC Financial Services, Inc., C-2010-0012; Consent Order
IN THE
MATTER OF: James A. Philbrook, COM09-010; Findings, Rulings and Order
IN THE
MATTER OF: Nicholas Rowe and Focus Capital Wealth Management, Inc.; Order to Cease and Desist and Show Cause,
C-2011000037
IN THE
MATTER OF: Spartan Capital Securities, LLC, COM2011-003
IN THE
MATTER OF: Kevin Boyles, School Creek Production and Development Fund I, Partnership and Team Resources, Inc.; Order
to Cease and Desist and Order to Show Cause, INV2012-0014
IN THE
MATTER OF: Liquid Health Labs, Inc., Consent Order
IN THE
MATTER OF: Ballentine Partners LLC, f/k/a Ballentine Finn & Co. Inc.; Consent Agreement, COM10-0017
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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