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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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