Administrative & Director Orders
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Administrative Orders – 2026
| Title of Order |
Date of Order |
Party |
Additional Party |
Link |
| Administrative Consent Order |
January 21, 2026 |
LPL Financial LLC |
|
View |
| Administrative Consent Order |
January 21, 2926 |
Stifel, Nicolaus & Company, Inc. |
|
View |
Administrative Orders – 2025
| Title of Order |
Date of Order |
Party |
Additional Party |
Link |
| Administrative Consent Order |
November 21, 2025 |
Kovack Advisors, Inc., |
|
View |
| Administrative Consent Order |
November 13, 2025 |
Edward D. Jones & Co., L.P. |
|
View |
| Administrative Consent Order |
November 13, 2025 |
TD Ameritrade, Inc. |
|
View |
| Administrative Consent Order |
January 13, 2025 |
Sun Global |
|
View |
| Administrative Consent Order |
April 21, 2025 |
Vanguard Marketing Corporation and The Vanguard Group Inc. |
|
View |
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
Download Exhibits (Part 1)
Download Exhibits (Part 2) |
| 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
Download Part 2 |
| 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
| Title of Order |
Date |
Link |
| Order Adopting The Electronic Filing Depository as a Permissible Means of Filing Form D |
12/9/14 |
Download |
| Summary Order Amending the Rules Pursuant to the Delaware Securities Act |
12/11/14 |
Download |
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 – 2008
| Title of Order |
Date |
Party |
Additional Party |
Link |
| Summary Order to Cease and Desist |
8/6/08 |
TC&P Trade d/b/a High Capital |
David Brook, et. al. |
Download |
| Settlement Agreement |
10/20/08 |
Merrill Lynch, Pierce, Fenner & Smith Inc. |
|
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 – 2000
| Title of Order |
Date |
Party |
Additional Party |
Link |
| Final Order |
3/6/00 |
Brian R. Buckson |
t/a Buckson Realty Brokerage, Inc. |
Download |
| Summary Cease and Desist Order |
12/26/00 |
Mark Yagalla |
d/b/a Ashbury Capital Management, LLC |
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 |
Administrative Orders – 1988
| Title of Order |
Date |
Party |
Additional Party |
Link |
| Order Revoking Broker-Dealer Registration And Agent Registration With Fine Assessed |
8/29/88 |
1st Securities of America, Inc. |
Dennis L. Astorri |
Download |
| Order Of Revocation |
12/7/88 |
Autrey J. Locklear |
|
Download |
Administrative Orders – 1987
| Title of Order |
Date |
Party |
Additional Party |
Link |
| Order Suspending Broker-Dealer Registration |
5/19/87 |
Blinder, Robinson & Company, Inc. |
n/a |
Download |
