Administrative & Director Orders
Administrative Orders – 2024
| Title of Order | Date of Order | Party | Additional Party | Link |
| Administrative Consent Order | December, 20, 2024 | Edward D. Jones & Co., L.P. | Download | |
| Administrative Consent Order | January, 30, 2024 |
True Bullion, LLC, D/B/A Gold Silver International Exchange, D/B/A GSI Exchange, and Anthony Allen Anderson |
Download | |
| Administrative Consent Order | October 7, 2024 |
Robert Brandon Prettyman |
Download | |
| Modified Summary Order | September 24, 2024 | Robert Brandon Prettyman | Download | |
| Administrative Consent Order | May, 3, 2024 | Robert Brandon Prettyman | Download | |
Administrative Orders – 2023
| Title of Order | Date of Order | Party | Additional Party | Link |
| Administrative Consent Order | December, 12, 2023 |
Raymond James and Associates Inc. and Raymond James Financial Services Inc. |
Download | |
| Administrative Consent Order | February 8, 2023 | Robert Brandon Prettyman | Download | |
| Administrative Consent Order | March 16, 2023 | Nexo Capital Inc. | Download | |
| Amended Administrative Consent Order | January 30, 2023 | AP Capital Investment Limited | Download | |
| Administrative Consent Order | March 31, 2023 | Robinhood Financial LLC. | Download | |
| Administrative Consent Order | September 15, 2023 | Elaine Kim Chen Yu | Download | |
Administrative Orders – 2022
| Title of Order | Date of Order | Party | Additional Party | Link |
| Administrative Consent Order | June 1, 2022 | Black Diamond Wealth Management | Download | |
| Administrative Consent Order | December 2, 2022 | Carrod Securities | Download | |
| Administrative Consent Order | February 28, 2022 | Katz Family Financial Advisors | Download | |
| Administrative Consent Order | July 20, 2022 | The Estep Firm and Ralph Estep | Download | |
| Administrative Consent Order | November 1, 2022 | Janney Montgomery Scott LLC. | Download | |
| Administrative Consent Order | October 28, 2022 | Daniel Tidwell | Download | |
| Administrative Consent Order | September 23, 2022 | Carrod Securities | Download | |
| Administrative Consent Order | January 24, 2022 | Safe Harbor Retirement Planners | Download | |
| Administrative Consent Order | May 3, 2022 | BlockFi Lending LLC. | Download |
Administrative Orders – 2021
| Title of Order | Date of Order | Party | Additional Party | Link |
| Amended Administrative Consent Order | March 24, 2021 | Atlantic Coast Investments | Download |
Administrative Orders – 2020
| Title of Order | Date of Order | Party | Additional Party | Link |
| Administrative Consent Order | September 30, 2020 | Pathmaker Solutions, LLC | Jared Guckenberger | Download |
| Withdrawal Order | September 14, 2020 | La Mar T. Gunn | Gunn Wealth Management, LLC | Download |
| Order | September 14, 2020 | La Mar T. Gunn | Gunn Wealth Management, LLC | Download |
| Administrative Consent Order | February 28, 2020 | Solium Financial Services LLC | Download |
Administrative Orders – 2019
| Title of Order | Date of Order | Party | Additional Party | Link |
| Administrative Consent Order | December 30, 2019 | Horace Mann Investors, Inc. | Dieter Hofmann | Download Order |
| Administrative Consent Order | December 28, 2019 | Dieter Hofmann | Horace Mann Investors, Inc. | Download |
| Administrative Consent Order | May 28, 2019 | Caring Angels Home Health Corporation | Florence Nicol
Lilia Mosquera |
Download |
Administrative Orders – 2018
| Title of Order | Date of Order | Party | Additional Party | Link |
| Administrative Consent Order | September 13, 2018 | LPL Financial, LLC | Download Part 1 | |
| Summary Order to Revoke Registration | June 7, 2018 | Windsor Street Capital, L.P. (f/k/a Meyers Associates, L.P.) | Download |
Administrative Orders – 2016
| Title of Order | Date of Order | Party | Additional Party | Link |
| Summary Order to Revoke Registration | June 8, 2016 | Halcyon Cabot Partners Ltd., CRD #32664 | Download | |
| Summary Order to Revoke Registration | June 8, 2016 | Michael E. Donnelly | Download | |
| Administrative Consent Order | September 19, 2016 | Kevin M. Gray | Miller, Johnson, Steichen Kinnard, Inc | Download |
| Administrative Consent Order | October 14, 2016 | Montchanin Asset Management, LLC | Download | |
| Administrative Consent Order | October 14, 2016 | Gabriel Block | Download | |
| Administrative Consent Order | June 23, 2016 | Civitas Partners LLC | Gregory B. Coverdale | Download |
| Administrative Consent Order | June 23, 2016 | Daniel Young | Download |
Administrative Orders – 2015
| Title of Order | Date | Party | Additional Party | Link |
| Summary Order To Suspend Registration and Cease and Desist | 10/20/15 | Civitas Partners, LLC | Daniel Young, et. al. | Download |
| Administrative Consent Order | 9/22/15 | LPL Financial LLC | Download | |
| Administrative Consent Order | 6/25/15 | Oppenheimer & Co., Inc. | Download | |
| Administrative Consent Order | 6/25/15 | Janney Montgomery Scott LLC | Download | |
| Administrative Consent Order | 5/15/15 | Citigroup Global Markets Inc. | Download |
Administrative Orders – 2014
| Title of Order | Date | Party | Additional Party | Link |
| Administrative Consent Order | 9/11/14 | J. P. Morgan Securities, LLC | Download | |
| Administrative Consent Order | 11/6/14 | Couch Oil & Gas, Inc. | Charles Couch, et al. | Download |
| Administrative Consent Order | 11/12/14 | Couch Oil & Gas, Inc. | Charles Couch, et al. | Download |
| Consent Order | 11/13/14 | Everest Investment Advisors, Inc. | Download |
Director Orders – 2014
Administrative Orders – 2013
| Title of Order | Date | Party | Additional Party | Link |
| Order Granting Summary Relief | 2/19/13 | Robert T. Steen, Jr. | Download | |
| Summary Order to Cease and Desist | 3/6/13 | Andre DeSean Woodley, Sr. | Inheritance Group, Inc. | Download |
| Summary Order to Cease and Desist | 3/14/13 | Inter Reef LTD d/b/a Profitable Sunrise | Roman Novak, et. al. | Download |
| Order Cancelling Application for Registration | 4/18/13 | Printz Capital Management, LLC | Download | |
| Administrative Consent Order | 9/25/13 | Anna Marie Watkins | Download | |
| Administrative Consent Order | 10/4/13 | UBS Financial Services, Inc. | Download | |
| Administrative Consent Order | 10/31/13 | RBC Capital Markets, LLC | Download |
Administrative Orders – 2012
| Title of Order | Date | Party | Additional Party | Link |
| Administrative Consent Order | 1/9/12 | Raymond James & Associates, Inc. | Raymond James Financial Services, Inc. | Download |
| Consent Order | 1/28/12 | Uvest Financial Services Group, Inc. | Download | |
| Amended Consent Order | 3/12/12 | E*Trade Securities LLC | Download | |
| Settlement Agreement | 3/28/12 | AllianceBernstein L.P. | Download | |
| Administrative Consent Order | 7/23/12 | Morgan Keegan & Company, Inc. | Download | |
| Consent Order | 11/20/12 | ProEquities, Inc. | Download | |
| Consent Order | 11/27/12 | Bankers Life & Causualty Company | BLC Financial Services, Inc. | Download |
Administrative Orders – 2011
| Title of Order | Date | Party | Additional Party | Link |
| Letter of Caution | 1/28/11 | Robert Mann | Paul Stanton, et. al. | Download |
| Cease and Desist Order | 3/8/11 | Rocky Mountain Advrtising Agency | Download | |
| Agreement | 4/7/11 | Michael Barukhin | Download | |
| Special Stipulation Agreement and Order | 4/8/11 | Bradley K. Adams | Download |
Administrative Orders – 2010
| Title of Order | Date | Party | Additional Party | Link |
| Administrative Consent Order | 7/1/10 | UBS Securities, LLC | UBS Financial Services Inc. | Download |
| Administrative Consent Order | 7/9/10 | Stifel, Nicolaus & Company, Incorported | Download | |
| Administrative Consent Order | 9/7/10 | Wells Frgo Investments, LLC | Download | |
| Summary Order | 9/7/10 | Peter Newman Investment Club | Postnet | Download |
| Default Order | 9/20/10 | Kalin Thanh Dao, d/b/a N.L.C. Financial Services |
TD Financial Services, et. al. | Download |
| Administrative Consent Order | 10/28/10 | Goldman, Sachs & Co. | Download | |
| Administrative Consent Order | 11/8/10 | Gary L. Woulard | Download | |
| Default Order | 11/22/10 | L. Paul Schmidt | ATC Investment Group, LLC | Download |
| Consent Order | 11/22/10 | Thomas A. Guido | Download | |
| Settlement Agreement | 12/8/10 | Thomas A. Guido | PNC Investments LLC | Download |
Director Orders – 2010
| Title of Order | Date | Link |
| Order Adopting Amended Part 2 of Form ADV | 10/14/10 | Download |
Administrative Orders – 2009
| Title of Order | Date | Party | Additional Party | Link |
| Consent Order | 2/17/09 | John J. Parker | Richard J. Massaux | Download |
| Administrative Consent Order | 3/31/09 | Wachovia Securities, LLC | Wachovia Capital Markets, LLC | Download |
| Administrative Consent Order | 4/7/09 | Citigroup Global Markets Inc. | Download | |
| Administrative Consent Order | 5/27/09 | Banc of America Securities LLC | Banc of America Investment Services, Inc. | Download |
| Consent Order | 7/10/09 | McLaughlin Piven & Vogel Securities, Inc. | Download | |
| Administrative Consent Order | 9/1/09 | RBC Capital Markets Corporation | Download | |
| Administrative Consent Order | 9/10/09 | Merrill Lynch, Pierce, Fenner & Smith Inc. | Download | |
| Administrative Consent Order | 9/17/09 | TD Ameritrade, Inc. | Download | |
| Administrative Consent Order | 10/20/09 | Merrill Lynch, Pierce, Fenner & Smith Inc. | Download | |
| Agreement and Order | 11/17/09 | Ameritrade, Inc. | Download | |
| Consent Order | 11/19/09 | Deutsche Bank Securities, Inc. | Download | |
| Administrative Consent Order | 11/19/09 | JP Morgan Chase & Co. | Download | |
| Administrative Consent Order | 12/4/09 | Morgan Stanley & Co., Inc. | Download | |
| Administrative Consent Order | 12/17/09 | Credit Suisse Securities (USA) LLC | Download |
Administrative Orders – 2007
| Title of Order | Date | Party | Additional Party | Link |
Administrative Orders – 2006
| Title of Order | Date | Party | Additional Party | Link |
| Opinion and Order | 3/23/06 | Donald Mattei | HDN, Inc. | Download |
| Opinion Order | 3/23/06 | Donald Mattei | HDN, Inc. | Download |
| Restitution Order | 5/4/06 | Terrell Harvey | Hale Associates, Inc. | Download |
| Order | 5/8/06 | Donald Mattei | HDN, Inc. | Download |
| Order | 5/8/06 | Donald Mattei | HDN, Inc. | Download |
| Opinion and Order | 9/15/06 | Fletcher King | Morgan Stanley DW | Download |
| Opinion and Order | 9/15/06 | Fletcher King | Morgan Stanley DW | Download |
| Order | 10/30/06 | Fletcher King | Morgan Stanley DW | Download |
Administrative Orders – 2005
| Title of Order | Date | Party | Additional Party | Link |
| Consent Order | 2/11/05 | Kevin M. Gray | Miller Johnson, et. al | Download |
| Consent Order | 2/11/05 | Kevin M. Gray | Miller Johnson, et. al | Download |
| Consent Order | 2/20/05 | Kevin M. Gray | Miller Johnson, et. al | Download |
| Administrative Consent Order | 8/22/05 | Deutsche Bank Securities, Inc. | Download | |
| Administrative Consent Order | 8/22/05 | Deutsche Bank Securities, Inc. | Download | |
| Consent Order | 8/31/05 | George G. Coughlin, III | Argie Economou, et. al | Download |
| Consent Order | 8/31/05 | George G. Coughlin, III | Argie Economou, et. al | Download |
| Consent Order | 8/31/05 | George G. Coughlin, III | Argie Economou, et. al | Download |
| Administrative Consent Order | 9/7/05 | Thomas Weisel Partners, LLC | Download | |
| Administrative Consent Order | 9/7/05 | Thomas Weisel Partners, LLC | Download | |
| Consent Order | 10/20/05 | Wilmington Trust Company | Download | |
| Consent Order | 10/20/05 | Wilmington Trust Company | Download |
Administrative Orders – 2004
| Title of Order | Date | Party | Additional Party | Link |
| Consent Order | 2/20/04 | Doher Ferris | Download | |
| Consent Order | 2/20/04 | Eddie Ghabour | Download | |
| Consent Order | 2/20/04 | Doher Ferris | Download | |
| Consent Order | 2/20/04 | Eddie Ghabour | Download | |
| Consent Order | 6/7/04 | Thomas M. Roycroft | Download | |
| Consent Order | 6/7/04 | Thomas M. Roycroft | Download | |
| Consent Order | 9/17/04 | Jerry Denton | Download | |
| Consent Order | 9/17/04 | Jerry Denton | Download |
Administrative Orders – 2003
| Title of Order | Date | Party | Additional Party | Link |
| Default Order | 4/10/03 | The Rockwell Financial Group, Inc. | Hugh D. Dunn, Jr., et. al. | Download |
| Order | 6/2/03 | Duane J. Ackerman | Dennis J. Ackerman | Download |
| Consent Order | 8/20/03 | Goldman, Sachs & Co. | Download | |
| Administrative Consent Order | 8/25/03 | J.P. Morgan Securities Inc. | Download | |
| Consent Order | 9/11/03 | Bear, Stearns & Co. Inc. | Download | |
| Administrative Consent Order | 9/11/03 | Credit Suisse First Boston LLC | f/k/a Credit Suisse First Boston Corporation | Download |
| Administrative Consent Order | 9/11/03 | UBS Warburg LLC | UBS PainWebber Inc. | Download |
| Administrative Consent Order | 9/11/03 | U.S. Bancorp Piper Jaffray Inc. | Download | |
| Administrative Consent Order | 9/22/03 | Morgan Stanley & Co. Incorporated | Download | |
| Consent Order | 9/23/03 | Lehman Brothers Inc. | Download | |
| Administrative Consent Order | 10/22/03 | CitiGroup Global Markets Inc. | Download | |
| Administrative Hearing Officer’s Opinion and Order | 10/24/03 | Duane J. Ackerman | Dennis J. Ackerman | Download |
Administrative Orders – 2002
| Title of Order | Date | Party | Additional Party | Link |
| Consent Order | 1/22/02 | Preferred Securities Group, Inc. | Mark Chavez | Download |
| Default Order | 3/18/02 | Terrell Harvey | Hale Associates, Inc. | Download |
| Default Order | 5/2/02 | Preferred Securities Group, Inc. | Mark Chavez | Download |
| Default Order | 7/15/02 | Fred Marc Dorushkin | Download | |
| Order | 10/3/02 | Fred Marc Dorushkin | Download | |
| Consent Order | 11/15/02 | Beneficial Funding Corp. | Nationwide Consultants, Inc,. et. al. | Download |
| Consent Order | 11/19/02 | Terrell Harvey | Hale Associates, Inc. | Download |
| Settlement Agreement | 11/26/02 | Merrill Lynch, Pierce, Fenner & Smith, Inc. | Download |
Administrative Orders – 2001
| Title of Order | Date | Party | Additional Party | Link |
| Consent Order | 2/1/01 | Jame Patrick Cahill | d/b/a Delaware Financial Insurance and Investment, Inc. | Download |
| Consent Order | 2/2/01 | Global Security Management Association Incorporation |
Bruce Ralston | Download |
| Consent Order | 2/6/01 | Anthony E. Vivino, Jr. | Janney Montgomery Scott, Inc. | Download |
| Order to the Respondent’s Motion to Vacate Default Order | 2/20/01 | Brian R. Buckson | t/a Buckson Realty Brokerage, Inc. | Download |
| Consent Order | 2/27/01 | Anthony E. Vivino, Jr. | Janney Montgomery Scott Inc. | Download |
| Consent Order | 8/21/01 | Hatem Eid | Download |
Administrative Orders – 1999
| Title of Order | Date | Party | Additional Party | Link |
| Default Order | 1/27/99 | William N. Whelen, Jr. | Simon Securities Inc., et al. | Download |
Administrative Orders – 1998
| Title of Order | Date | Party | Additional Party | Link |
| Order | 4/6/98 | Addison & York Group | Timothy Martin Arnold | Download |
Administrative Orders – 1997
| Title of Order | Date | Party | Additional Party | Link |
Administrative Orders – 1996
| Title of Order | Date | Party | Additional Party | Link |
Administrative Orders – 1995
| Title of Order | Date | Party | Additional Party | Link |
| Order to Vacate Summary Stop Order | 1/18/95 | Long Distance Direct, Inc. | Download |
Administrative Orders – 1994
| Title of Order | Date | Party | Additional Party | Link |
| Consent Order | 1/24/94 | Barrett Day Securities,Inc. | Download | |
| Opinion and Order | 2/7/94 | Jeffrey Jurrist | Download | |
| Final Order of Revocation | 3/29/94 | Barry Victor Bernstein | Download | |
| Opinion and Order | 6/10/94 | Griffin & Associates, Inc. | Preferred Holdings, Inc., et. al. | Download |
| Consent Order | 6/22/94 | Westfield Financial Corp. | Download | |
| Order | 7/28/94 | Howard Aaron Rubin | Download | |
| Consent Order | 8/25/94 | Principal Financial Securities Inc. | Eppler, Guerin & Turner, Inc. | Download |
| Order of Probationary Registration | 9/7/94 | Retirement Solutions, Inc. | William R. Barto | Download |
| Summary Stop Order and Notice of Intent to Deny Registration | 12/29/94 | Long Distance Direct, Inc. | Download |
Administrative Orders – 1993
| Title of Order | Date | Party | Additional Party | Link |
| Consent Order | 1/14/93 | Henry Jerome Gawel | Download | |
| Order | 2/22/93 | Robert L. Sidell | Download | |
| Consent Order | 3/22/93 | Resource Consultants, Inc. | Edelgard Schuett Kelm et. al. | Download |
| Summary Order of Suspension | 6/28/93 | Barry Victor Bernstein | Download | |
| Consent Order | 8/10/93 | Nori, Hennion, Walsh, Inc. | Download | |
| Order | 8/31/93 | Leisure Time Cable Co., Inc. | Cable Partners II L.P., et. al. | Download |
| Consent Order | 9/3/93 | Allen J. Freid | Download | |
| Consent Order | 9/14/93 | Dolphin & Bradbury Inc. | Download | |
| Final Order to Cease and Desist | 10/15/93 | Leisure Time Cable Co., Inc. | Cable Partners II L.P., et. al. | Download |
| Order of Revocation | 10/28/93 | Portfolio Asset Management | USA Financial Group, Inc. | Download |
| Final Consent Order | 11/23/93 | Prudential Securties Inc. | Download |
Administrative Orders – 1992
| Title of Order | Date | Party | Additional Party | Link |
| Opinion and Order | 1/7/92 | Power Securities Corporation | Richard T. Marchese, et al. | Download |
| Order | 1/10/92 | Peter Fingerhut | Richard L. Probstein | Download |
| Opinion and Order | 1/14/92 | F. D. Roberts Securities, Inc. | Albert V. Celente | Download |
| Order | 1/30/92 | J. W. Gant & Associates Inc. | Thomas L. View III, et. al | Download |
| Opinion and Order | 2/13/92 | Hibbard, Brown & Co., Inc. | Michael Martone, et. al. | Download |
| Order | 2/14/92 | Paragon Capital Corp. | John C. Evans, et. al. | Download |
| Final Order of Revocation | 3/27/92 | Anthony Joseph Pontieri | Download | |
| Final Order of Denial | 3/27/92 | G. J. Allison & Co., Inc. | Download | |
| Final Order of Revocation | 3/27/92 | Marshall Davis, Inc. | Download | |
| Final Order of Revocation | 3/27/92 | Princeton Financial Group, Inc. | Download | |
| Order | 4/3/92 | Ray Pyper | Trans-Global Trading, Inc. | Download |
| Order | 4/13/92 | Premier Income Development, Inc. | Ralph W. Newton, Jr. et. al. | Download |
| Order | 4/22/92 | Resource Consultants, Inc. | Edelgard Schuett Kelm et. al. | Download |
| Consent Order | 4/22/92 | Thomas Greer Firestone | Download | |
| Order | 4/30/92 | Theodore R. Giergielewicz | Download | |
| Order | 4/30/92 | V.P. Securities, Inc. | Download | |
| Order to Vacate Notice of Intent to Deny Broker-Dealer Registration | 6/5/92 | Black & Company, Inc | Download | |
| Consent Order | 6/11/92 | Charles William Eye | Download | |
| Consent Order | 6/11/92 | Simon Securities, Inc. | William N. Whelen, Jr. | Download |
| Order of Suspension | 6/15/92 | Simon Securities, Inc. | William N. Whelen, Jr. | Download |
| Order | 6/30/92 | Don Pyle | Download | |
| Order | 8/17/92 | Olde Discount Corp. | Michael R. Donahoe | Download |
| Order | 11/20/92 | Allen J. Fried | Download |
Administrative Orders – 1991
| Title of Order | Date | Party | Additional Party | Link |
| Order | 3/4/91 | F. Thomas Greer | BHG Unlimited | Download |
| Cease and Desist Order | 3/4/91 | F. Thomas Greer | BHG Unlimited | Download |
| Order | 3/11/91 | Premier Income Development, Inc. | Ralph W. Newton, Jr. et. al. | Download |
| Summary Order of Suspension and Notice of Intent to Revoke Broker-Dealer and Agent Registration |
4/8/91 | Russell Gordon Koch | Kochcapital, Inc. | Download |
| Consent Order | 4/17/91 | Howard Aaron Rubin | Download | |
| Final Order | 5/8/91 | Russell Gordon Koch | Kochcapital, Inc. | Download |
| Summary Stop Order | 5/17/91 | Hantex Development, Inc. | Thomas Chin Kwong Too | Download |
| Summary Stop Order | 5/17/91 | Omega Environmental, Inc. | Leo L. Azure, Jr. | Download |
| Summary Stop Order | 5/17/91 | Bio-Gas Development, Inc. | Thomas W. Fowler, III | Download |
| Order | 6/26/91 | First Investors Corp. | First Investors Consolidated Corp. et. al. | Download |
| Order to Vacate Summary Stop Order | 7/16/91 | Proconnextions, Inc. | Joseph Hovorka | Download |
| Order to Vacate Summary Stop Order | 7/30/91 | Omega Environmental, Inc. | Leo L. Azure, Jr. | Download |
| Opinion and Order | 8/2/91 | F. Thomas Greer | BHG Unlimited | Download |
| Cease and Desist Order | 8/29/91 | R. Griggs Levy | The Water Pros, Inc. | Download |
| Opinion and Order | 9/18/91 | Vanderbilt Securities, Inc. | Heywood G. Brody | Download |
| Order | 9/23/91 | First Montauk Securities Corp. | William J. Kurinsky et. al. | Download |
| Summary Stop Order | 10/3/91 | Las Vegas Entertainment Network, Inc. | Stan Irwin | Download |
| Order | 11/14/91 | Theodore K. Flowers | Download | |
| Order | 11/19/91 | Thomas G. Firestone | Download | |
| Consent Order | 12/3/91 | Karl Francis Birkenfeld | Download | |
| Order | 12/6/91 | Thomas James Associates, Inc. | John M. Hurley | Download |
Administrative Orders – 1990
| Title of Order | Date | Party | Additional Party | Link |
| Consent Order | 1/16/90 | Venture Income Plus, Inc. | Download | |
| Opinion And Order | 1/16/90 | Allied Capital Group, Inc. | Floyd J. Stumpf | Download |
| Order Of Postponement | 2/2/90 | Peter Hargitt Foley | Download | |
| Stipulation And Consent Agreement With Final Order | 3/2/90 | William F. Masucci | Download | |
| Final Order | 3/2/90 | William F. Masucci | Download | |
| Consent Order | 4/4/90 | Robert L. Sidell | d/b/a Sidell Financial Management | Download |
| Summary Stop Order | 5/4/90 | Bi-County Clinic & Nursing Home, Inc. | Arcadia Nursing Center et al. | Download |
| Consent Order | 5/29/90 | Steadman Associated Fund | Steadman Oceanographic Technology & Growth Fund |
Download |
| Consent Order | 5/29/90 | The Rushmore Fund, Inc. | Download | |
| Consent Order | 6/9/90 | Rockwell-Hudson Financial Services Inc. | Download | |
| Consent Order | 7/23/90 | Legalgard Inc. | Download | |
| Order of Postponement of Registration As An Agent | 8/23/90 | Dougls Spinosa | Download | |
| Summary Order of Postponement and Notice of Intent to Deny Agent Registration |
8/23/90 | Douglas Spinosa | Download | |
| Stipulation And Consent Order | 9/10/90 | John Templeton Thorn, Jr. | Download | |
| Order | 9/17/90 | Blinder, Robinson & Company, Inc. | Download | |
| Order To Vacate | 9/29/90 | Douglas Spinosa | Download | |
| Summary Order of Postponement and Notice of Hearing | 10/22/90 | TAW Securities, Inc. | Download | |
| Opinion of the Designated Hearing Officer | 11/15/90 | Blinder Robinson and Co., Inc. | John Templeton Thorn, Jr. et al. | Download |
| Cease and Desist Order | 11/15/90 | Harry Dow Morris, Alan Rasmussen | Morris and Rasmussen, Inc. et. al. | Download |
| Order | 11/16/90 | Blinder Robinson and Co., Inc. | John Templeton Thorn, Jr. et. al. | Download |
| Summary Order of Postponement and Notice of Intent to Deny Agent Registration | 12/3/90 | Lawrence J. Zirinsky | Download | |
| Order of Postponement of Registration as an Agent | 12/4/90 | Lawrence J. Zirinsky | Download | |
| Order | 12/18/90 | Brendan Hart | Download | |
| Stipulation and Consent Order | 12/20/90 | FSC Securities Corporation | Download |
Administrative Orders – 1989
| Title of Order | Date | Party | Additional Party | Link |
| Proceeding To Suspend Or Revoke Broker-Dealer And Agent Registrations | 4/5/89 | W. N. Whelen & Co., Inc. | William N. Whelen, Jr | Download |
| Summary Order of Suspension And Notice Of Intent To Revoke Broker-Dealer and Agent Registrations | 4/6/89 | Allied Capital Group, Inc. | Floyd J. Stumpf | Download |
| Opinion And Order | 6/14/89 | Allied Capital Group, Inc. | Floyd J. Stumpf | Download |
| Opinion And Order | 7/3/89 | Allied Capital Group, Inc. | Floyd J. Stumpf | Download |
| Opinion And Order | 7/8/89 | Allied Capital Group, Inc. | Floyd J. Stumpf | Download |
| Stipulation And Consent Order | 7/14/89 | Allied Capital Group, Inc. | Floyd J. Stumpf | Download |
| Order | 8/9/89 | Allied Capital Group, Inc. | Floyd J. Stumpf | Download |
| Order | 8/11/89 | Allied Capital Group, Inc. | Floyd J. Stumpf | Download |
| Summary Order Of Postponement And Notice Of Intent To Postpone Broker-Dealer Registration And Order Of Postponement Of Registration As Broker-Dealer | 9/28/89 | Osborne, Stern & Company, Inc. | Douglas W. Osborne | Download |
