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
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
01-09-24 IN THE MATTER OF: Joel Hannon; INV2022-0005; Consent Order
2023
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
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
07-13-23 IN THE MATTER OF: Nicholas Giordano; INV2022-0002; Consent Order
07-11-23 IN THE MATTER OF: Craig Favara; INV-2022-0002; Consent Order
06-05-23 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
04-13-23 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
03-15-23 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
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
2021
11-01-21 IN THE MATTER OF: Keith VonKahle; COM2020 000004; Order to Cease and Desist
06-27-21 IN THE MATTER OF: Daniel Olivier; COM2019-0006; 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: Ronald Elliard; INV2020-0043; Consent Order
03-26-21 IN THE MATTER OF: CFC SS & MHP Fund I, LLC; I-2021000001; 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
01-05-21 IN THE MATTER OF: Frank Stama and MKT Investments, LLC; COM-20170003; Consent Order
Archived Content
2020
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
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
05-07-20 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
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
03-09-20 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
12-13-19 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
11-01-19 IN THE MATTER OF: Concorde Investment Services, LLC; COM2017-00018; Consent Order
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
07-15-19 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
06-17-19 IN THE MATTER OF: Mosaic Real Estate Credit, LLC; I-2019000012; 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
01-31-19 IN THE MATTER OF: Sean Grady & Grady and Associates, LLC; COM2018-0004; Default Order
2018
12-14-18 IN THE MATTER OF: Santander Securities, LLC; INV2017-00018; Consent Order
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
11-08-18 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
10-17-18 IN THE MATTER OF: Augment Securities, Inc.; BSR # 2018000033; Consent Agreement
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
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
05-15-18 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
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
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
08-16-17 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
07-19-17 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 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
2016
12-05-16 IN THE MATTER OF: Waddell & Reed, Inc.; C-2015-0000011; Consent Order
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
09-27-16 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
08-30-16 IN THE MATTER OF: Ditto Trade, Inc.; I-2015000037; Default 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
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
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
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
07-27-15 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
06-08-15 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
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
03-24-15 IN THE MATTER OF: James W. Ignatowich; I-2014-000009; Order to Cease and Desist
2014
12-29-14 IN THE MATTER OF: Ameriprise Financial Services, Inc.; C-2013000009; Consent Order
12-01-14 IN THE MATTER OF: Frederick V. McMenimen III; INV2012-00017; Order to Cease and Desist
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
09-14-14 IN THE MATTER OF: Richard M. Higgins; I-2014000016; Order to Cease and Desist
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
07-01-14 IN THE MATTER OF: Strategic Consulting Advisers, LLC; COM2011-0026-0029; Consent Agreement
05-15-14 IN THE MATTER OF: Aaron E. Olson; INV-2012000003; Consent 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
03-03-14 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
12-21-13 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
11-20-13 IN THE MATTER OF: Recycled Asphalt Shingle Technology, LLC; I-2012000037; Consent Order
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
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
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 Maritime Partners Cayman I, LP; I-2013000020; Consent Order
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
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
2012
12-18-12 IN THE MATTER OF: Equal Exchange, Inc.; COM12-0003; Consent Order
11-27-12 IN THE MATTER OF: McLean Asset Management Corporation; I-2012000031; 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: ProEquities, Inc.; C-2010-0012; Consent Order
09-07-12 IN THE MATTER OF: James A. Philbrook; COM09-010; Findings, Rulings and Order
08-20-12 IN THE MATTER OF: Spartan Capital Securities, LLC; COM2011-003; Staff Petition for Relief
06-18-12 IN THE MATTER OF: Liquid Health Labs, Inc.; I-201200010; Consent Order
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
02-01-12 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
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
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
2010
10-05-10 IN THE MATTER OF: UBS Financial Services Inc.; COM09-0063; Consent Order
2009
2008
2007
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; 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
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