Bureau of Securities Enforcement Actions

Find out about the latest enforcement actions taken by the Bureau of Securities Regulation.

The documents on this page (except for Archived Content) have been made ADA accessible. As a result, the format of each differs from the original. If you would like to see the original of any of the documents posted in this section, please reach out to the Bureau of Securities at securities@sos.nh.gov.

 

2024

12-24-2024 IN THE MATTER OF: Edward Jones & Co., L.P.; I-2023-000027 Consent Order 

12-23-2024 IN THE MATTER OF: Herbert J. Sims, & Co; INV-2023-0023 Order to Cease and Desist

11-25-2024 IN THE MATTER OF: Advent Medical Products and Randall Fincke; I-2018-00038 Findings, Rulings and Order

10-01-2024 IN THE MATTER OF: Advent Medical Products Inc., and Randall Fincke; I-2018-00036 Findings, Rulings and Order

09-16-24 IN THE MATTER OF: Drift New England INC; INV-2023-000029; Consent Order

07-16-24 IN THE MATTER OF: Finstate Investment LLC – Order to Cease and Desist

04-24-24 IN THE MATTER OF: Thomas M. Chadwick; COM-2021-000003; Consent Order

03-07-24 IN THE MATTER OF: TradeStation Crypto, Inc.; I-2023-00037; Consent Order

02-21-24 IN THE MATTER OF: Charles C. Kulch; COM-2020-0015; Consent Order

02-21-24 IN THE MATTER OF: NEXT Financial Group, Inc.; COM-2020-0015; Consent Order

02-12-24 IN THE MATTER OF: NHIT; ACJEB and the following individual: Albert Jones. Order To Cease and Desist; and Notice of Right to Hearing

01-09-24 IN THE MATTER OF: Joel Hannon; INV2022-0005; Consent Order

2023

12-18-23 IN THE MATTER OF: Raymond James & Associates, INC., and Raymond James Financial Services, INC.; INV-2023-000024; Consent Order

11-21-23 IN THE MATTER OF: Old Slip Capital Management, INC.; INV2023-000021; Consent Order

11-17-23 IN THE MATTER OF: Robert C. Lotito; INV2022-0005; Consent Order

11-16-23 IN THE MATTER OF:  GS Partners, Swiss Valorrem Bank, Ltd. et. al.; I-2023-000033; Order to Cease and Desist

11-12-23 IN THE MATTER OF: Guardian Strategic Wealth Advisors, LLC, and Kenneth Angell; I-2022-00062; Order of Summary Suspension, Order to Cease and Desist

10-04-23 IN THE MATTER OF: Merryfield Investment Management Inc., and Peter D. Field; C-2021-000007, Order to Cease and Desist

09-19-23 IN THE MATTER OF: Old Slip Capital Management Inc.; INV2023-000021; Order to Cease and Desist

09-18-23 IN THE MATTER OF: Corey J. Walker; INV2022-0002; Consent Order

09-08-23 IN THE MATTER OF: Robinhood Financial LLC; I-20230005; Consent Order

08-21-23 IN THE MATTER OF: Northwestern Mutual Investment Services, LLC; I-2022-0002; Consent Order

07-18-23 IN THE MATTER OF: Brian Belliveau; INV2022-0002; Consent Order

07-14-23 IN THE MATTER OF: Robert C. Lotito, Joel P. Hannon, & Talon RS, LLC; INV2022-0005; Order to Cease and Desist

07-13-23 IN THE MATTER OF: Nicholas Giordano; INV2022-0002; Consent Order

07-11-23 IN THE MATTER OF: Craig Favara; INV-2022-0002; Consent Order

06-30-23 IN THE MATTER OF: Joseph Giuttari, Hybrid Capital Group, LLC, The Fens Company, LLC & Peerless Hi Yield Realty Group; COM2021-0005; Findings, Rulings and Order

06-26-23 IN THE MATTER OF: Guardian Strategic Wealth Advisors, LLC, and Kenneth Angell; INV-2022-00062; Consent Order

06-21-23 IN THE MATTER OF: Thomas M. Chadwick CRD #2870028, Chadwick & D' Amato, LLC, CRD # 116197; COM-2021-000003; Order to Cease and Desist

06-05-23 IN THE MATTER OF: Scott Christensen; INV2022-0002; Consent Order

05-01-23 IN THE MATTER OF: Origin Opportunity Zone Fund II, LLC; I-2022000075; Consent Order

04-28-23 IN THE MATTER OF: Merrill Lynch, Pierce, Fenner and Smith Incorporated; I-2022000023; Consent Order

04-13-23 IN THE MATTER OF: Origin Incomeplus Fund, LLC; I-2022000074; Consent Order

04-03-23 IN THE MATTER OF: Nexo Capital Inc.; I-2023000002; Consent Order

03-28-23 IN THE MATTER OF: Advent Medical Products, Inc., and Randall Fincke; I-2018-00036; Order to Cease and Desist

03-15-23 IN THE MATTER OF: Joseph A. Ondris; INV2020-0000016; Consent Order

03-01-23 IN THE MATTER OF: Antonio Silva; COM-2021-000001; Consent Order

01-19-23 IN THE MATTER OF: Celsius Network, Inc., et. al.; I-2023-0000; Order to Cease and Desist

01-19-23 IN THE MATTER OF: Voyager Digital LTD., et. al.; I-2022-00073; Order to Cease and Desist

2022

12-21-22 IN THE MATTER OF: Joseph A. Ondris; INV2020-0000016; Order to Cease and Desist

10-19-22 IN THE MATTER OF: LPL Financial LLC; INV2020-00026; Consent Agreement

10-11-22 IN THE MATTER OF: Antonio Silva; COM-2021-000001; Order to Cease and Desist

08-15-22 IN THE MATTER OF: Metaverse One, LP; I-2022000026; Consent Order

08-15-22 IN THE MATTER OF: FourBridge Partners, 2021, L.P.; I-2022000027; Consent Order

07-14-22 IN THE MATTER OF: Longhorn Quarry Opportunity Zone Fund, LP; I-2019000016; Consent Order

05-12-22 IN THE MATTER OF: James O'Connell; INV2021-00027; Order to Cease and Desist

05-12-22 IN THE MATTER OF: Joseph Giuttari, Hybrid Capital Group, LLC, The Fens Company, LLC & Peerless Hi Yield Realty Group, LP; COM2021-0005; Default Order

04-28-22 IN THE MATTER OF: Thomas M. Chadwick, Chadwick & D'Amato, LLC and Chadwick Consulting, LLC; COM-2021-000003; Order to Cease and Desist, Order of Summary Process

04-27-22 IN THE MATTER OF: AgBiome, LLC; I-2019000012; Consent Order

04-27-22 IN THE MATTER OF: LifeGuides, PBC; I-2019000011; Consent Order

04-21-22 IN THE MATTER OF: Kevin Delaney and KD Wealth Management LLC; COM2022-00021; Consent Order

04-20-22 IN THE MATTER OF: Esplanade Capital Partners I LLC; I-2019000014; Consent Order

04-18-22 IN THE MATTER OF: QCA First Fund VI LLC; I-2019000010; Consent Order

04-11-22 IN THE MATTER OF: Otay Village III Lender, LLC; I-2019000017; Consent Order

04-08-22 IN THE MATTER OF: BlockFi Lending LLC; I-2021000026; Consent Order

03-31-22 IN THE MATTER OF: Peter A. Bill, Scanwood Limited Incorporated and AOS, Inc.; COM2018-0002; Order to Cease and Desist

03-31-22 IN THE MATTER OF: Peter A. Bill, Scanwood Limited Incorporated and AOS, Inc.; COM.2018-0002; Consent Agreement

03-17-22 IN THE MATTER OF: Joseph Giuttari, Hybrid Capital Group LLC, The Fens Company, LLC & Peerless Hi Yield Realty Group, LP; COM2021- 0005; Order to Cease and Desist

03-04-22 IN THE MATTER OF: Alumni Ventures Group, LLC and Michael Collins; COM2018-00015; Consent Order

2021

12-20-21 IN THE MATTER OF: Raging Bull.com, LLC, Jason Bond a/k/a Jason Kowalik, Jeffrey M. Bishop and Sherwood Ventures, LLC; COM 2018-000019; Consent Order

11-01-21 IN THE MATTER OF: Keith VonKahle; COM2020 000004; Order to Cease and Desist

10-15-21 IN THE MATTER OF: Williams Wealth Management, LLC and Jeffrey Williams; COM2020-00014; Consent Agreement

06-27-21 IN THE MATTER OF: Daniel Olivier; COM2019-0006; Consent Order

06-22-21 IN THE MATTER OF: Royal Investments, LLC, Kevin Patel and Linlet Patel; INV2020-00031; Consent Order

06-08-21 IN THE MATTER OF: Dover Microsystems, Inc.; I-2021000019; Consent Order

06-03-21 IN THE MATTER OF: Oyster Angel Fund II, LP; I-2021000020; Consent Order

05-21-21 IN THE MATTER OF: Shem Creek Capital Fund V LLC; I-2021000018; Consent Order

05-14-21 IN THE MATTER OF: Star Mountain Diversified Small Business Access Fund II-A, LP; I-20210000013; Consent Order

05-14-21 IN THE MATTER OF: Ronald Elliard; INV2020-0043; Consent Order

03-26-21 IN THE MATTER OF: CFC SS & MHP Fund I, LLC; I-2021000001; Consent Order

03-15-21 IN THE MATTER OF: Joseph Ambrosole and Joseph Stone Capital, LLC; I-2020000017; Consent Order

03-08-21 IN THE MATTER OF: Curtis S. Ridlon; C-2015000011; Findings, Rulings and Order

03-03-21 IN THE MATTER OF: Sunstone Income Apartments IV, LLC; I-2020000044; Consent Order

03-03-21 IN THE MATTER OF:  Four Points Capital Partners, LLC; I-2021000007; Consent Order

02-12-21 IN THE MATTER OF: E*TRADE Securities LLC; INV2021-0000; Consent Order

02-12-21 IN THE MATTER OF: E*TRADE Securities LLC & James Karayanis; INV2021-0000; Order - Motion to Vacate

01-08-21 IN THE MATTER OF: E*TRADE Securities, LLC and James Karayanis; INV2021-0000; Order to Cease and Desist

01-05-21 IN THE MATTER OF: Frank Stama and MKT Investments, LLC; COM-20170003; Consent Order

Archived Content

2020

12-07-20 IN THE MATTER OF:  Merrill Lynch, Pierce, Fenner & Smith Incorporated & Charles Kenahan; COM2019-000; Consent Order

12-07-20 IN THE MATTER OF:  RagingBull.com, LLC, Jason Bond a/k/a Jason Kowalik, Sherwood Ventures, LLC, Jeffrey M. Bishop, and MFA Holdings Corp; COM2018-000019; Order to Cease and Desist

          RagingBull.com - Exhibit 2 - available upon request
          RagingBull.com - Exhibit 3 - available upon request

11-19-20 IN THE MATTER OF: Baleen Capital Fund LP; I-2020000039; Consent Order

11-16-20 IN THE MATTER OF: HealthPoint Plus, Inc.; I-2020000041; Consent Order

11-06-20 IN THE MATTER OF: ARC1 Capital LP; I-2020000037; Consent Order

11-02-20 IN THE MATTER OF: Mascoma Wealth Management, LLC; COM2020-0007; Consent Agreement

10-27-20 IN THE MATTER OF: Egerton Investment Partners, LP; I-2020000033; Consent Order

10-27-20 IN THE MATTER OF: Mythic Therapeutics, Inc.; I-2020000034; Consent Order

10-20-20 IN THE MATTER OF: Infinex Investments Inc.; INV2020-00030; Consent Agreement

09-24-2020 IN THE MATTER OF: Phoenix Senior Living DST; I-2020000013; Consent Order

09-22-20 IN THE MATTER OF: David A. Hunter; COM2020-00012; Consent Order

09-11-2020 IN THE MATTER OF: DAI SECURITIES, LLC; I-2020000020; Consent Order

08-10-20 IN THE MATTER OF: Congress Wealth Management Enhanced Yield Fund LP; I-2020000007; Consent Order

07-30-20 IN THE MATTER OF: LPL Financial LLC; I-2019000029; Consent Order

07-28-20 IN THE MATTER OF: Zelus 3040, LLC; I-2018000018; Consent Order

07-28-20 IN THE MATTER OF: Hera 1919, LLC; I-2018000046; Consent Order

07-24-20 IN THE MATTER OF: AEI Net Lease Portfolio XIII DST; I-2020000018; Consent Order

07-17-20 IN THE MATTER OF: David A. Hunter; COM2020-00012; Interim Consent Order

07-07-20 IN THE MATTER OF: Artemis Vega Fund, L.P.; I-2020000017; Consent Order

06-25-20 IN THE MATTER OF: Access Investment, LLC; I-2020000001; Consent Order

06-23-20 IN THE MATTER OF: Northeast Farm Access; INV2020-0006; Consent Agreement

06-05-20 IN THE MATTER OF: Lumira Dx, LTD; I-2020000003; Consent Order

06-05-2020 IN THE MATTER OF: PICO Venture Partners II, L.P.; I-2019000009; Consent Order

05-22-20 IN THE MATTER OF: Greene & Company Financial Services, LLC; I-20200000016; Consent Order

05-22-20 IN THE MATTER OF: Frank C. Stama and MKT Investments, LLC; INV2017-0003; Order to Cease and Desist

05-07-20 IN THE MATTER OF: Oakes Financial Services, Inc.; I-2020000005; Consent Order

05-04-2020 IN THE MATTER OF: Thomas Gutierrez; INV2014-00040; Consent Order

04-30-20 IN THE MATTER OF: CQS Directional Opportunities Feeder Fund, L.P.; I-2019000014; Consent Order

03-25-20 IN THE MATTER OF: Majority Asset Management, Inc.; INV2019-00034; Consent Order

03-13-20 IN THE MATTER OF: Solium Financial Services LLC; INV2019-00028; Consent Order

03-11-20 IN THE MATTER OF: David A. Herlicka and White Birch Brewing, LLC; I-2018000000; Consent Order

03-09-20 IN THE MATTER OF: GT Advanced Technologies Inc.; INV2014-00040; Consent Order

01-06-20 IN THE MATTER OF: Santander Securities, LLC; INV2019-00026; Consent Order

2019

12-31-19 IN THE MATTER OF: NEXT Financial Group, Inc.; I-2017000030; Consent Order

12-30-19 IN THE MATTER OF: Liberty Partners Financial Services, Inc.; INV2019-00016; Findings, Rulings and Order

12-13-19 IN THE MATTER OF: Daniel Olivier; COM2019-0006; Order to Cease and Desist

11-14-19 IN THE MATTER OF: Dain F. Stokes; I-2019000029; Amended Order

11-08-19 IN THE MATTER OF: Peter A. Bill, Scanwood Limited Incorporated and AOS, Inc.; COM2018-0002; Order to Cease and Desist

11-01-19 IN THE MATTER OF: Concorde Investment Services, LLC; COM2017-00018; Consent Order

10-29-19 IN THE MATTER OF: Berthel Fisher & Company Financial Services, Inc.; I-2018000000; Consent Order

08-26-19 IN THE MATTER OF: Dain F. Stokes; I-2019000029; Order of Summary Suspension, Order to Cease and Desist

08-13-19 IN THE MATTER OF:  John Uhlein; INV2019-00023; Consent Order

08-02-19 IN THE MATTER OF: Lewis S. Niles; COM2018-0008; Default Order

07-19-19 IN THE MATTER OF: Alight Financial Solutions, LLC f/k/a Hewitt Financial Services; INV2019-00021; Order to Cease and Desist

07-15-19 IN THE MATTER OF: Claret Asset Management Corp; INV2019-00017; Consent Order

07-03-19 IN THE MATTER OF: Redwood Alpha Fund LP; I-2019000015; Consent Order

07-01-19 IN THE MATTER OF:  kWh New Energy Corp; I-2019000002; Consent Order

06-25-19 IN THE MATTER OF: Peter A. Bill, Scanwood Limited Incorporated and AOS, Inc.; COM2018-0002; Order to Cease and Desist

06-17-19 IN THE MATTER OF: Mosaic Real Estate Credit, LLC; I-2019000012; Consent Order

06-10-19 IN THE MATTER OF: Northridge Holdings, Ltd., Eastridge Holdings, Ltd., Unity Investment Group I, Ltd., & Glenn Mueller; I-2019000006; Order to Cease and Desist

06-07-19 IN THE MATTER OF: Russell Bartlett and Towle Farm Mortgage Investors, LLC; COM2017-00021; Additional Consent Order

05-31-19 IN THE MATTER OF: Lewis S. Niles; COM2018-0008; Order to Cease and Desist

05-15-19 IN THE MATTER OF: Fusologics, Inc; I-2018000030; Consent Order

05-13-19 IN THE MATTER OF: Royal Alliance Associates, Inc.; COM2018-00011; Consent Order

03-04-19 IN THE MATTER OF: LPL Financial LLC; INV2018-00022; Consent Order

02-09-19 IN THE MATTER OF: Genery Wealth Management, LLC, Marilyn Genery aka Marilyn Rios; INV2017-0004; Consent Order

01-31-19 IN THE MATTER OF: Sean Grady & Grady and Associates, LLC; COM2018-0004; Default Order

01-14-19 IN THE MATTER OF: Willow Planning Group, LLC and Kelly Luethje; INV2018-00043; Consent Order

 

2018

12-14-18 IN THE MATTER OF: Santander Securities, LLC; INV2017-00018; Consent Order

12-13-18 IN THE MATTER OF: Marilyn Genery, a/k/a Marilyn Rios and Genery Wealth Management, LLC; INV2017-0004; Order to Cease and Desist

11-30-18 IN THE MATTER OF: James A. Valentine; C-2018000018; Order of Summary Suspension

11-29-18 IN THE MATTER OF: Flagship Harbor Advisors, LLC; INV2018-00035; Consent Order

11-27-18 IN THE MATTER OF: Morgan Stanley Smith Barney; C-2015-000021; Consent Order

11-26-18 IN THE MATTER OF: Diane Maddox; C-2017000006; Consent Agreement

11-13-18 IN THE MATTER OF: Sean C. Grady & Grady and Associates, LLC; COM-2018-0004; Order to Cease and Desist

11-08-18 IN THE MATTER OF: Wagz, Inc.; INV2018-00038; Consent Order

10-29-18 IN THE MATTER OF: Kevin J. Dumont; COM2016-0001; Findings, Rulings, and Order

10-29-18 IN THE MATTER OF: Kevin J. Dumont; COM2016-0001; Order on Bureau's Motion for Reconsideration

10-18-18 IN THE MATTER OF: Lawrence Tentarelli and Trend Trading Signals, LLC; I-2018000009; Consent Order

10-17-18 IN THE MATTER OF: Augment Securities, Inc.; BSR # 2018000033; Consent Agreement

10-12-18 IN THE MATTER OF: Russell Bartlett and Towle Farm Mortgage Investors, LLC; COM2017-00021; Consent Order

10-01-18 IN THE MATTER OF:  Jeffrey I. Lucero; C-2017000020; Order to Cease and Desist

07-26-18 IN THE MATTER OF:  Broadbill Partners II, LP; BSR # 2018000020; Consent Agreement

7-17-18 IN THE MATTER OF: Renaissance Institutional Management; I-2018000002; Consent Order

06-20-18 IN THE MATTER OF: William A. Bischoff, Genesis Investments Group, Ltd, Genesis Investments Group, LLC; COM2016-0008; Consent Order

06-13-18 IN THE MATTER OF: Martin Barry Strudwick and Strudwick Wealth Strategies, Inc.; I-2017-0008; Consent Order

05-21-18 IN THE MATTER OF: FD Special Opportunities V LLC; I-2018000012; Consent Order

05-21-18 IN THE MATTER OF: FD Special Opportunities IV LLC; I-2018000014; Consent Order

05-21-18 IN THE MATTER OF: FD Special Opportunities II LLC; I-2018000011; Consent Order

05-21-18 IN THE MATTER OF: FD Special Opportunities I LLC; I-2018000013; Consent Order

05-18-18 IN THE MATTER OF:  Windsor Street Capital, LP F/K/A Meyers Associates, LP; INV2017-00016; Default Order

05-15-18 IN THE MATTER OF: FC Special Opportunities I LLC; I-2018000001; Consent Order

05-02-18 IN THE MATTER OF: State Street Bank and Trust Company; INV2017-00021; Consent Order

04-20-18 IN THE MATTER OF:  Kevin J. Dumont; COM2016-0001; Amended Staff Petition for Relief

01-29-18 IN THE MATTER OF: Rydex Distributors, Inc.; COM2014-00015; Consent Agreement

01-23-18 IN THE MATTER OF: Windsor Street Capital, LP F/K/A Meyers Associates, LP; INV2017-00016; Order to Cease and Desist

01-19-18 IN THE MATTER OF: Russell Bartlett and Towle Farm Mortgage Investors, LLC; COM2017-00021; Order to Cease and Desist

2017

12-21-17 IN THE MATTER OF: Joseph Michael Palermo; COM2015-00012; Order to Cease and Desist

12-12-17 IN THE MATTER OF: Democracy Funding, LLC; INV2017-00013; Default Order

12-01-17 IN THE MATTER OF: T L Holdings Group, LLC; INV2017-00026; Consent Order

12-01-17 IN THE MATTER OF: Bankers Life Securities, Inc.; INV2017-00014; Consent Order

11-19-17 IN THE MATTER OF: Legend Securities, Inc.; INV2015-00019; Motion for Default & Default Order

11-16-17 IN THE MATTER OF: Alternative Asset Management Securities, LLC; INV2017-0006; Consent Agreement

10-24-17 IN THE MATTER OF: Ceros Financial Services, Inc.; COM2016-0001; Consent Order

10-17-17 IN THE MATTER OF: Richard A. Norkun & Associates, LLC; INV2017-00020; Consent Order

10-16-17 IN THE MATTER OF: Bankers Life Securities; INV2017-00014; Notice of Order

10-16-17 IN THE MATTER OF: Democracy Funding, LLC; INV2017-00013; Notice of Order

08-30-17 IN THE MATTER OF: Alternative Asset Management Securities, LLC and Victor Park; INV2017-0006; Order to Cease and Desist, Order of Denial

08-16-17 IN THE MATTER OF: Bridge Capital Associates, Inc.; INV2017-0007; Consent Order

08-15-17 IN THE MATTER OF: Kevin J. Dumont; COM2016-0001; Order to Cease and Desist

07-26-17 IN THE MATTER OF: Legend Securities, Inc. & Steven Meyer; INV2015-00019; Findings, Rulings and Order

07-19-17 IN THE MATTER OF: PE Premier BCP VII Onshore Feeder Fund; INV2017-0005; Consent Order

06-14-17 IN THE MATTER OF: Starstream Entertainment Inc.; COM2014-0009; Consent Order

05-15-17 IN THE MATTER OF: William A. Bischoff, Genesis Investments Group, Ltd, Genesis Investments Group, LLC; COM2016-0008; Interim Consent Order

05-15-17 IN THE MATTER OF: William A. Bischoff et al.; COM2016-0008; Order to Cease and Desist

04-25-17 IN THE MATTER OF: Curtis S. Ridlon; C-2015000011; Order to Cease and Desist

03-30-2017 IN THE MATTER OF: NYLIFE Securities LLC; INV2016-00013; Consent Order

01-13-17 IN THE MATTER OF: Moody’s; I-2016000003; Settlement Agreement

01-03-17 IN THE MATTER OF: ABC Financial Planning, Michael Licciardi, Financial Planning Adult Education Conference Center; INV2015-0000; Consent Agreement

2016

12-09-16 IN THE MATTER OF: Legend Securities Inc. & Steven Meyer; INV15-00019; Order of Summary Suspension, Order to Show Cause

12-05-16 IN THE MATTER OF: Waddell & Reed, Inc.; C-2015-0000011; Consent Order

12-01-16 IN THE MATTER OF: Hanover Consumer Cooperative Society, Inc.; C-2015-00000013; Consent Agreement

11-28-16 IN THE MATTER OF: Blackbook Capital, LLC; INV2016-000016; Default Order

10-25-16 IN THE MATTER OF: Starstream Entertainment, Inc.; COM2014-0009; Order to Cease and Desist

09-30-16 IN THE MATTER OF: The Used Apple Store and Bill Williams; I-2015000013; Findings, Rulings, and Order

09-27-16 IN THE MATTER OF: Robert J. Raffa; I-20140009; Findings, Rulings and Order

09-26-16 IN THE MATTER OF: Blackbook Capital, LLC; INV2016-00016; Order of Summary Suspension

09-06-16 IN THE MATTER OF: Tidewater Financial Group, PC and Irving Canner; INV2016-0000; Consent Order

08-30-16 IN THE MATTER OF: Ditto Trade, Inc.; I-2015000037; Default Order

08-29-16 IN THE MATTER OF: James E. Knee and Sterling Financial Services, LLC; I-2016000015; Interim Consent Order

07-08-16 IN THE MATTER OF: Adirondack Trading Group, LLC; INV2016-0007; Default Order

06-18-16 IN THE MATTER OF: Ridgeway & Conger, Inc.; INV2016-0009; Default Order

06-16-16 IN THE MATTER OF: Ameriprise Financial Services, Inc. and Richard Scott Ewing; COM2015-0001; Consent Order

05-24-16 IN THE MATTER OF: Adirondack Trading Group; INV2016-0007; Order to Show Cause

04-22-16 IN THE MATTER OF: NFP Advisor Services, LLC; INV2014-00030; Consent Agreement

04-12-16 IN THE MATTER OF: James W. Ignatowich; I-2016000008; Default Order

04-11-16 IN THE MATTER OF: Ridgeway & Conger, Inc.; INV2016-0009; Order to Show Cause

04-07-16 IN THE MATTER OF: Hudson Capital Advisors BD, LLC; I-2015000022; Consent Order

02-17-16 IN THE MATTER OF: David F. Brochu; INV2014-00020; Consent Order

02-12-16 IN THE MATTER OF: Wells Fargo Advisers Financial Network, LLC; COM2013-00016; Consent Order

02-11-16 IN THE MATTER OF:  Michael T. Bates; C-2016000011; Order to Cease and Desist

02-11-16 IN THE MATTER OF: Michael T. Bates; C-2015000002; Consent Order

02-03-16 IN THE MATTER OF: IvoryOption.com and Patryn LTD; C-2015000019; Order to Cease and Desist

01-27-16 IN THE MATTER OF: Aden Rusfeldt and ETF Trend Trading; COM2014-0002; Default Order

01-25-16 IN THE MATTER OF: Ditto Trade, Inc.; I-2015000037; Order to Cease and Desist

01-15-16 IN THE MATTER OF: Robert J. Raffa; COM2014-0009; Order to Cease and Desist

01-13-16 IN THE MATTER OF: James W. Ignatowich; I-2014000009; Consent Order

01-04-16 IN THE MATTER OF: Newcomb and Company, Inc. & Frederick W. Newcomb; INV2015-00036; Order

2015

12-15-15 IN THE MATTER OF: LPL Financial, LLC; C-2013000005; Consent Order

12-07-15 IN THE MATTER OF: Interinvest Corp. Inc. and Hans Peter Black; C-201400001, C-201300022; Order Granting Summary Judgment Against Hans Peter Black

12-08-15 IN THE MATTER OF: Aden Rusfeldt and ETF Trend Trading; COM2014-0002; Order to Cease and Desist

11-24-15 IN THE MATTER OF: Harmony Health Care Institute, Inc.; C-2015000000; Consent Order

11-17-15 IN THE MATTER OF: Cooper Capital, Inc.; I-2014000027; Consent Order

11-16-15 IN THE MATTER OF: Southern Star Terra Fund II LP; INV2015-000016; Default Order

11-13-15 IN THE MATTER OF: Robin M. Neilio and R.M. Neilio & Associates, Fiscal Advisers; I-2014-000042; Consent Order

11-09-15 IN THE MATTER OF: New England Private Advisory and Keith Ballingall; INV2015-00029; Consent Order

10-08-15 IN THE MATTER OF: Citigroup Global Markets Inc.; INV2015-00028; Consent Order

09-17-15 IN THE MATTER OF: Profile Club, Inc.; INV2014-00014; Consent Agreement

09-16-15 IN THE MATTER OF: Jonathan Sheklow; COM2013-000023; Default Order

09-01-15 IN THE MATTER OF: Subchondral Solutions Inc.; INV15-0018; Consent Order

08-17-15 IN THE MATTER OF: Richard Higgins; I-2014-000016; Consent Order

07-28-15 IN THE MATTER OF: Interinvest Corp. Inc. and Hans Peter Black; C-201400001, C-201300022; Order Granting Bureau’s Motion for Default Against Interinvest Corp Inc.

07-27-15 IN THE MATTER OF: J.D. Nicholas & Associates, Inc.; I-2014000041; Consent Order

07-15-15 IN THE MATTER OF: Alexander R. Black; C-2013-00022; Consent Order for Censure

07-02-15 IN THE MATTER OF: Godfrey Asset Management, LLC; INV2015-0011; Consent Order

07-01-15 IN THE MATTER OF: Halliday Financial; INV2015-0014; Consent Order

06-26-15 IN THE MATTER OF: Jonathan Sheklow; COM13-00023; Order to Cease and Desist, Order to Show Cause

06-08-15 IN THE MATTER OF: Stanley Schmidt; C-2013-00022; Consent Order

06-02-15 IN THE MATTER OF: Euro Pacific Capital, Inc.; INV2015-0003; Consent Order

05-12-15 IN THE MATTER OF: Interinvest Corp Inc., Hans Peter Black, and Alex Richard Black; C-201400001, C-201300022; Amended Petition

04-23-15 IN THE MATTER OF: The Used Apple Store and Bill Williams; C-2015-000013; Order to Cease and Desist

04-10-15 IN THE MATTER OF: Kleossum, Inc. and David F. Brochu; INV2014-00020; Amended Staff Petition

04-06-15 IN THE MATTER OF: LPL Financial, LLC; C-2013000005; Order to Cease and Desist

03-27-15 IN THE MATTER OF: Scott W. Soterion and Front Row Ticket Agency, Inc.; C-2014-00011; Consent Order

03-24-15 IN THE MATTER OF: James W. Ignatowich; I-2014-000009; Order to Cease and Desist

03-09-15 IN THE MATTER OF: Interinvest Corp, Inc., Hans Peter Black, and Alex Richard Black; C-201400001, C-201300022; Order to Cease and Desist

02-11-15 IN THE MATTER OF: Frederick V. McMenimen Ill; INV2012-000017; Order on Respondent's Objection to Staff Petition and Motion for Default

02-11-15 IN THE MATTER OF: St. John International University, Inc.; COM2012-0010; Order on Motion for Review

01-08-15 IN THE MATTER OF: St. John International University; COM2012-0010; Findings, Rulings and Order

01-08-15 IN THE MATTER OF: St. John International University, Inc.; COM2012-0010; Review Hearing Order 

01-06-2015 IN THE MATTER OF: Upper Valley Commercial Corporation, David Patten, and Alvin Fadden; I-2013-00031; Consent Order

2014

12-29-14 IN THE MATTER OF: Ameriprise Financial Services, Inc.; C-2013000009; Consent Order

12-29-14 IN THE MATTER OF: Stephen D. Yennaco and Big Ben Games of NH, Inc.; COM08-0014; Consent Order

12-01-14 IN THE MATTER OF: Frederick V. McMenimen III; INV2012-00017; Order to Cease and Desist

11-25-14 IN THE MATTER OF: lntellicloud Holdings, Inc. and Jeffrey Friederichs; COM2013-000018; Default Order

10-30-14 IN THE MATTER OF: Eric Wadsworth; I-2014000019; Consent Order for Censure

10-03-14 IN THE MATTER OF: Salem Advisory Group, LLC; INV2014-00024; Consent Order

09-16-14 IN THE MATTER OF: Kelly Lowther and Ameritext Corporation; Strafford County Superior Court Docket No. 219-2013-CV-00458; Permanent Injunction

09-14-14 IN THE MATTER OF: Richard M. Higgins; I-2014000016; Order to Cease and Desist

09-04-14 IN THE MATTER OF: Kleossum, Inc. and David F. Brochu; INV2014-00020; Order to Show Cause, Order to Cease and Desist, Order of Summary Suspension

08-25-14 IN THE MATTER OF: Investors Capital Corp., Christopher Bennett and Robert Estevez: I-2013000011, COM-201300002-00004: Consent Order

08-22-14 IN THE MATTER OF: Charles H. Howard, III, Carolyn C. Howard, and Howard Interests; I-2011000000; Consent Order

08-18-14 IN THE MATTER OF: Ensconce Data Technology, Inc.; I-2014000023; Consent Order

08-19-14 IN THE MATTER OF: MHP Asset Management, LLC; INV14-0007; Consent Order for Censure

07-31-14 IN THE MATTER OF: Joseph Michael Palermo; COM11-0013; Findings, Rulings and Order

07-18-14 IN THE MATTER OF: Saliba Managed Funds, Inc., Thomas H. Saliba; COM.2013-00018; Consent Order

07-01-14 IN THE MATTER OF: Strategic Consulting Advisers, LLC; COM2011-0026-0029; Consent Agreement

06-26-14 IN THE MATTER OF: St. John International University; COM2012-00010; Order to Cease and Desist, Order to Show Cause

05-22-14 IN THE MATTER OF: Charles H. Howard, III, Carolyn C. Howard, and Howard Interests; I-2011-000000; Order Cease and Desist

05-15-14 IN THE MATTER OF: Aaron E. Olson; INV-2012000003; Consent Order

05-07-14 IN THE MATTER OF: NEXT Financial Group, Inc. and Charles C. Kulch; I-2011000023/I-2014000010; Consent Order

04-30-14 IN THE MATTER OF: Neil L. Kenny and Ttanks Environmental, Ltd.; I-2012000007; Findings, Rulings and Order

03-31-14 IN THE MATTER OF: J.P. Morgan Securities, LLC; I-2010000018; Consent Order

03-06-14 IN THE MATTER OF: Michael Davey; I-2014-000000; Consent Order

03-04-14 IN THE MATTER OF: Sara Jennifer Russell and Western Realty Investments LLC; I-2013-000001; Consent Order

03-03-14 IN THE MATTER OF: Geraci Capital Management, LLC and Gary Geraci; INV14-0002; Consent Order

02-25-14 IN THE MATTER OF: Edward Jones, CRD #250; C-201200002; Consent Order

2013

12-27-13 IN THE MATTER OF: Upper Valley Commercial Corporation, David Patten and Alvin Fadden; I-2013-00031; Interim Consent Order

12-21-13 IN THE MATTER OF: Aegis Capital, L.L.C.; COM.2011-0026-0029; Consent Order

12-03-13 IN THE MATTER OF: Joseph Michael Palermo; COM11-0013; Staff Petition for Relief

11-26-13 IN THE MATTER OF: Ttanks Environmental, Ltd. and Neil Kenny; I-2012000007; Staff Petition for Relief

11-20-13 IN THE MATTER OF: Recycled Asphalt Shingle Technology, LLC; I-2012000037; Consent Order

11-19-13 IN THE MATTER OF: Kelly Lowther and AmeriText Corporation; I-2013-000012; Order to Cease and Desist

11-14-13 IN THE MATTER OF: RBC Capital Markets, LLC; INV-2013-0026; Administrative Consent Order

10-30-13 IN THE MATTER OF: REB Financial, Robert E. Bossdorf; COM2013-00007; Consent Order

10-17-13 IN THE MATTER OF: UBS Financial Services, Inc.; INV2013-00030; Consent Order

10-16-13 IN THE MATTER OF: Glen Gervais; C-2011000018/19; Consent Order

10-15-13 IN THE MATTER OF: Johnston Capital Partners Fund I, LP; I-2013000015; Consent Order

10-15-13 IN THE MATTER OF: JonesTrading Institutional Services LLC; INV2013-00028; Consent Order

10-15-13 IN THE MATTER OF: Robert Ryan Goold and August Green Capital, LLC; INV12-00036; Consent Order

08-29-13 IN THE MATTER OF: Brett Ian Friedberg; INV2013-0007; Findings, Rulings and Order

08-28-13 IN THE MATTER OF: Steven Schehl; INV11-0000 and 0001; Consent Agreement

07-23-13 IN THE MATTER OF: Wynnefield Small Cap Value LP I; I-2013000013; Consent Order

07-19-13 IN THE MATTER OF: ACL Alternative Fund Limited; I-2013000000; Consent Order

07-10-13 IN THE MATTER OF: John M. Rummler; C-2012000013; Consent Order

07-09-13 IN THE MATTER OF: Karen Zaramba; COM11-0026-0029; Consent Agreement

07-09-13 IN THE MATTER OF: UBS Financial Services, Inc. f/k/a UBS Painewebber, Inc.; INV11-0000 and 0001; Consent Agreement

06-21-13 IN THE MATTER OF: J.D. Nicholas & Associates, Inc.; I-201200030; Consent Order

06-21-13 IN THE MATTER OF: Matthew Becker; C-2010-008; Consent Order

06-20-13 IN THE MATTER OF: III to I Emerging Market Partners Real Estate Investment Fund I, LP; I-2011000024; Consent Order

06-20-13 IN THE MATTER OF: III to I Maritime Partners Cayman I, LP; I-2013000020; Consent Order

06-04-13 IN THE MATTER OF: Merrill Lynch, Pierce, Fenner & Smith Incorporated; C-2010-008; Consent Order for Censure

05-30-13 IN THE MATTER OF: Allen Darby; COM2011-0026-0029; Consent Order

05-21-13 IN THE MATTER OF: Holly Hunter; COM.2011-0026-0029; Consent Order

05-20-13 IN THE MATTER OF: Nickolas Skaltsis and Liberty Realty Trust; Strafford County Superior Court Docket No. 219-2013-CV 00031; Permanent Injunction

05-10-13 IN THE MATTER OF: REB Financial, and Robert E. Bossdorf; COM2013-000007; Order to Cease and Desist

05-07-13 IN THE MATTER OF: Nickolas Skaltsis, Liberty Realty Trust and Phoenix Asset Group, Inc.; I-2012-000033; Default Order

04-11-13 IN THE MATTER OF: Edward Jones & Co., L.P.; C-2012000002; Order to Cease and Desist, Order to Show Cause

04-04-13 IN THE MATTER OF: Spartan Capital Securities, LLC.; INV2013-0008; Consent Order

04-01-13 IN THE MATTER OF: Roberta Wilson; COM2011-0041; Consent Order

03-20-13 IN THE MATTER OF: Brett Ian Friedberg; INV2013-0007; Summary Suspension Order, Order to Show Cause

03-12-13 IN THE MATTER OF: Nicholas Rowe and Focus Capital Wealth Management, Inc.; COM2011-0037; Consent Order

2012

12-18-12 IN THE MATTER OF: Equal Exchange, Inc.; COM12-0003; Consent Order

11-28-12 IN THE MATTER OF: Nicholas Rowe and Focus Capital Wealth Management, Inc.; C-2011000037; Amended Order

11-27-12 IN THE MATTER OF: McLean Asset Management Corporation; I-2012000031; Consent Order

11-26-12 IN THE MATTER OF: Team Resources, Inc. and School Creek Production and Development Fund I, Partnership; INV2012-0014; Consent Order

11-16-12 IN THE MATTER OF: UVEST Financial Services Group, Inc.; C-2010-0012; Consent Order

11-01-12 IN THE MATTER OF: Securities America, Inc.; INV2010-019; Order to Cease and Desist, Order to Show Cause

11-01-12 IN THE MATTER OF: ProEquities, Inc.; C-2010-0012; Consent Order

09-07-12 IN THE MATTER OF: James A. Philbrook; COM09-010; Findings, Rulings and Order

08-29-12 IN THE MATTER OF: Nicholas Rowe and Focus Capital Wealth Management, Inc.; C-2011000037; Order to Cease and Desist, Order to Show Cause

08-20-12 IN THE MATTER OF: Spartan Capital Securities, LLC; COM2011-003; Staff Petition for Relief

08-08-12 IN THE MATTER OF: Bankers Life and Casualty Company and BLC Financial Services, Inc.; C-2010-0012; Consent Order

06-28-12 IN THE MATTER OF: Kevin Boyles, School Creek Production and Development Fund I, Partnership and Team Resources, Inc.; INV2012-0014; Order to Cease and Desist, Order to Show Cause

06-18-12 IN THE MATTER OF: Liquid Health Labs, Inc.; I-201200010; Consent Order

05-14-12 IN THE MATTER OF: Ballentine Partners LLC, f/k/a Ballentine Finn & Co. Inc.; COM10-0017; Consent Agreement

05-07-12 IN THE MATTER OF: Morgan Stanley Smith Barney; COM10-000; Consent Order

04-25-12 Schoolcare Risk Pool Practices Agreement

03-20-12 Primex Risk Pool Practices Agreement

03-16-12 IN THE MATTER OF: Roland Matatics; I-2011-000012; Consent Order

03-07-12 IN THE MATTER OF: Ryan Fontaine; I-2011000011; Consent Order

02-13-12 IN THE MATTER OF: Securities America, Inc., Barry Armstrong and Lawrence Panzeri; INV10-019; Order to Cease and Desist, Order to Show Cause

02-01-12 IN THE MATTER OF: Oppenheimer & Co. Inc.; I-2010-0000017; Consent Order

01-04-12 IN THE MATTER OF: Spartan Capital Securities, LLC and Ed Segur; COM2011-003; Consent Order

2011

12-04-11 IN THE MATTER OF: New Futures Trading International Corp., Ryan Fontaine; I-2011000011; Order to Cease and Desist

11-28-11 IN THE MATTER OF: Advent Consulting, Inc., Joseph Moquin; COM09-005; Consent Order

11-04-11 IN THE MATTER OF: HealthMarkets, Inc.; INV2011-0014; Censure

11-01-11 IN THE MATTER OF: Thomas DeSteph, TDA Advantage Trust and the DeSteph Agency; INV09-0011; Consent Order

10-18-11 IN THE MATTER OF: Karl E. Hahn; INV-2010000015; Consent Order

10-17-11 IN THE MATTER OF: Roland Matatics; I-211-000012; Order to Cease and Desist

09-29-11 IN THE MATTER OF: Joseph Stevens & Co., Inc.; INV08-018; Default Order

09-02-11 IN THE MATTER OF: Local Government Center, Inc., et.al; Staff Petition for Relief

08-22-11 IN THE MATTER OF: UBS Financial Services, Inc.; COM08-027; Consent Order

08-19-11 IN THE MATTER OF: Sierra Equity Group; INV08-027; Default Order

07-15-11 IN THE MATTER OF: Margaret Tully and Tully & Co. Investments LLC; COM07-004; Findings, Rulings and Order

2010

10-21-10 IN THE MATTER OF: Lincoln Financial Advisors Corporation, Lincoln Financial Securities Corporation and Michael Gassman; COM07-001; Consent Order for Censure

10-05-10 IN THE MATTER OF: UBS Financial Services Inc.; COM09-0063; Consent Order

02-07-10 IN THE MATTER OF: Margaret Tully and Tully & Co Investments LLC; COM07-004; Consent Order for Censure

01-06-10 IN THE MATTER OF: Eugene Morrissette & GM Enterprises; INV2009-021; Order to Cease and Desist; Order to Show Cause

2009

10-14-09 IN THE MATTER OF: Merrill Lynch, Pierce, Fenner & Smith Incorporated; INV08-024; Administrative Consent Order

2008

09-09-08 IN THE MATTER OF: UBS Securities, LLC; COM08-10, COM08-12, COM08-13; Motion to Amend Staff Petition for Relief 

04-09-08 IN THE MATTER OF: Ameriprise Financial, Inc., Ameriprise Financial Services, Inc. & Larry Post; INV06-003; Consent Order
 

2007

10-22-07 IN THE MATTER OF: Ameriprise Financial, Inc., Ameriprise Financial Services, Inc. & Larry Post; INV06-003; Order to Cease and Desist

06-29-07 IN THE MATTER OF: CCO Investment Services Corp.; INV05-016; Consent Agreement

2006

10-18-06 IN THE MATTER OF: ING Life Insurance and Annuity Company; INV04-016; Consent Agreement

06-08-06 IN THE MATTER OF: ING Life Insurance and Annuity Company; INV04-016; Order to Cease and Desist, Order to Show Cause

06-08-06 IN THE MATTER OF: ING Life Insurance and Annuity Company; INV04-016; Motion to Compel

2005

12-01-05 IN THE MATTER OF: Morgan Stanley DW Inc.; COM03-18; Consent Agreement 

07-12-05 IN THE MATTER OF: American Express Financial Advisors Inc.; INV04-122; Settlement Agreement
 

2004

10-12-04 IN THE MATTER OF: Pennichuck Corporation, Maurice L. Arel; INV. 02-029; Consent Order 

06-17-04 IN THE MATTER OF: Morgan Stanley Dean Witter; COM03-018, COM 03-018A, INV03-027; Order to Cease and Desist

03-02-04 IN THE MATTER OF: Massachusetts Financial Services Company; INV03-037; Consent Agreement

2002

10-23-02 IN THE MATTER OF: Tyco International Ltd.; INV02-024; Consent Agreement