Securities & Investment Regulation
OTHER PFR AGENCIES
|
Consent Agreements in Date Order
|
Consent Agreements are voluntary settlement agreements. Unless otherwise indicated, they do not involve a finding or admission of wrongdoing. |
Date |
Description |
|
| February 15, 2024 |
Northwestern Mutual Investment Services LLC Case No. 23-19302 |
|
| February 7, 2024 |
Robert W. Baird & Co. Incorporated |
|
| February 2, 2024 |
D.B. McKenna & Co., Inc. Case No. 23-19683 |
|
| November 16, 2023 |
Vested Securities LLC Case No. 23-19555 |
|
| November 14, 2023 |
Caleb Warren Case No. 23-19548 |
|
| September 22, 2023 |
TD Private Client Wealth LLC Case No. 23-19292 |
|
| September 18, 2023 |
American Portfolios Financial Services, Inc. Case No. 23-19274 |
|
| September 12, 2023 |
Voya Financial Partners LLC Case No. 23-19293 |
|
| September 5, 2023 |
Wells Fargo Clearing Services LLC Case No. 23-19307 |
|
| August 31, 2023 |
Potomac Investment Company and Carol S. Greenwald Case No. 23-19413 |
|
| August 30, 2023 |
Equitable Advisors LLC Case No. 23-19280 |
|
| August 28, 2023 |
Allstate Financial Services LLC Case No. 23-19273 |
|
| August 25, 2023 |
Voya Financial Advisors, Inc. Case No. 23-19306 |
|
| August 25, 2023 |
Hightower Securities LLC Case No. 23-19310 |
|
| August 24, 2023 |
Avantax Investment Services Inc. Case No. 23-19297 |
|
| August 22, 2023 |
United Planners' Financial Services of America A Limited Partner Case No. 23-19304 |
|
| August 22, 2023 |
Pruco Securities LLC Case No. 23-19287 |
|
| August 22, 2023 |
Pinnacle Investments LLC Case No. 23-19311 |
|
| August 22, 2023 |
Momentum Independent Network Inc. Case No. 23-19313 |
|
| August 22, 2023 |
Lifemark Securities Corp. Case No. 23-19283 |
|
| August 22, 2023 |
GWN Securities Inc. Case No. 23-19312 |
|
| August 22, 2023 |
Coastal Equities Inc. Case No. 23-19309 |
|
| August 22, 2023 |
Bolton Global Capital Case No. 23-19308 |
|
| August 16, 2023 |
Prudential Investment Management Services LLC Case No. 23-19288 |
|
| August 16, 2023 |
Fortune Financial Services Inc. Case No. 23-19298 |
|
| August 16, 2023 |
MWA Financial Services Inc. Case No. 23-19296 |
|
| August 16, 2023 |
Horace Mann Investors Inc. Case No. 23-19282 |
|
| August 14, 2023 |
Morgan Stanley Smith Barney LLC Case No. 23-19301 |
|
| August 14, 2023 |
MML Investors Services LLC Case No. 23-19295 |
|
| August 14, 2023 |
Gradient Securities, LLC Case No. 23-19281 |
|
| August 14, 2023 |
Creativeone Securities LLC Case No. 23-19279 |
|
| August 10, 2023 |
Principal Securities Inc. Case No. 23-19286 |
|
| August 9, 2023 |
Next Financial Group Inc. Case No. 23-19284 |
|
| August 9, 2023 |
Corporate Finance Securities, Inc. Case No. 23-19278 |
|
| August 9, 2023 |
USA Financial Securities Corporation Case No. 23-19305 |
|
| August 7, 2023 |
PFS Investments Inc. Case No. 23-19285 |
|
| August 3, 2023 |
Securian Financial Services Inc No. 2023-14 |
|
| August 3, 2023 |
Purshe Kaplan Sterling Invetments LLC Case No. 23-19289 |
|
| August 3, 2023 |
Commonwealth Financial Network Case No. 23-19277 |
|
| June 27, 2023 |
Continental Investors Services, Inc. and Max Kamp Case No. 23-19208 |
|
| April 27, 2023 |
Cubic Pye Capital Management, Inc. and Nicholas Pye Case No. 23-19028 |
|
| March 28, 2023 |
August Wealth Group Inc. and William Westfield Case No. 23-18976 |
|
| February 13, 2023 |
H.C. Denison Co. Case No. 23-18850 |
|
| August 1, 2022 |
Dinosaur Financial Group LLC Case No. 22-18446 |
|
| July 26, 2022 |
Forge Markets LLC Case No. 22-18168 |
|
| December 21, 2021 |
Cribstone Capital Management, LLC and Jeffrey G. Burch Case No. 21-17913 |
|
| July 21, 2021 |
LPL Financial LLC Case No. 21-17533 |
|
| May 27, 2021 |
Jemma Investment Advisors LLC and William H. Cevallos Case No. 21-17367 |
|
| April 13, 2021 |
Fortune Financial Services, Inc. Case No. 21-17193 |
|
| April 12, 2021 |
Voya Financial Partners, LLC, Case No. 21-17223 |
|
| April 12, 2021 |
UBS Financial Services Inc., Case No. 21-17222 |
|
| April 8, 2021 |
Pensionmark Securities, LLC, Case No. 21-17220 |
|
| March 29, 2021 |
Janney Montgomery Scott LLC, Case No. 21-17219 |
|
| January 25, 2021 |
Polaris Wealth Advisory Group and Matthew Batzel Case No. 20-17125 |
|
| October 28, 2020 |
Branson Financial Planning LLC and Jeff Peter Branson Case No. 20-17010 |
|
| July 15, 2020 |
Caldwell Sutter Capital Inc. and Joseph DuCote Case No. 20-16774 |
|
| February 20, 2020 |
Cedar Crest Advisors, LLC and Michael Burgmaier Case No. 19-15983 |
|
| October 31, 2019 |
CanAm Investor Services LLC Case No. 19-15982 |
|
| May 28, 2019 |
Stone Arch Wealth Advisors, LLC and David Primozich Case No. 19-15547 |
|
| May 3, 2019 |
Hefren-Tillotson Inc, Al D. Vallano Jr. and William J. Mancino Case No. 19-15449 |
|
| March 22, 2019 |
YR Securities LLC - Case No. 19-15314 |
|
| October 23, 2018 |
York Securities, Inc. |
|
| October 23, 2018 |
Layline Advisors, LLC and Timothy B. Wyand |
|
| July 27, 2018 |
Renaissance Institutional Management LLC |
|
| May 3, 2018 |
Time Equities Securities LLC and Richard P. Viest |
|
| March 1, 2018 |
Garry Pierce Financial Services, LLP and Garry G. Pierce |
|
| January 31, 2018 |
Michael C. Reis |
|
| October 2, 2017 |
Thomas S. Rogers |
|
| June 8, 2017 |
Lawrence G. Sucsy |
|
| May 5, 2017 |
Realcadre LLC |
|
| April 25, 2017 |
Diversified Resources, LLC and Karen J. Bacon |
|
| March 23, 2017 |
Landaas & Company and Brian D. Kilb |
|
| August 23, 2016 |
Detwiler Fenton & Co. |
|
| July 29, 2016 |
Mercadien Securities and Reginald W. Burroughs |
|
| April 28, 2016 |
Moloney Securities Co. Inc. and William R. White III |
|
| December 22, 2015 |
Sean S. Mohammadi, Joseph Tedeschi, Richard J. DiMaggio |
|
| July 14, 2015 |
WFG Investments, Inc. and Frank J. Haas Jr. |
|
| November 17, 2014 |
Congress Springs Capital, LLC and Francis X. Fitzpatrick |
|
| April 14, 2014 |
Investment Management & Consulting Group, Lawrence J. Bowlan and Stephen L. Eddy |
|
| December 20, 2013 |
American Financial Associates, Inc. and Henry L. D'Alberto |
|
| December 20, 2013 |
Sequoia Investments, Inc. |
|
| November 26, 2013 |
H.D. Vest Investment Services |
|
| August 20, 2013 |
Bankers Life and Casualty Company |
|
| May 10, 2013 |
Robotti & Company, LLC |
|
| November 30, 2012 |
Financial Advocates Investment Management and Michael S Tuell |
|
| September 17, 2012 |
MHP Asset Management LLC |
|
| June 11, 2012 |
Trubee, Collins & Co., Inc. |
|
| June 5, 2012 |
Ohanesian/Lecours, Inc. and Richard Hammond |
|
| May 31, 2012 |
Guidance Point Advisors, LLC and Benjamin J. Smith |
|
| May 17, 2012 |
Alec Joel Stevens |
|
| May 2, 2012 |
VanceGray Wealth Management Inc. and Joseph M. Alvarez |
|
| September 20, 2011 |
Global Resource Investments LTD |
|
| April 11, 2011 |
Winslow J. Furber |
|
| March 17, 2011 |
Aurora Financial Group, LLC |
|
| January 18, 2011 |
Brent Wilson McLaughlin dba The Glen Mills Group |
|
| October 20, 2010 |
Compass Securities Corporation |
|
| July 12, 2010 |
A.R. Schmeidler & Co., Inc. |
|
| June 22, 2010 |
OppenheimerFunds, Inc. and OppenheimerFunds Distributor, Inc. |
|
| April 15, 2010 |
Gladowsky Capital Management Corp. |
|
| January 6, 2010 |
James W. Nichols |
|
| January 4, 2010 |
Wind River Capital Mangement, Inc. and William M. Hunter II |
|
| August 6, 2009 |
Laidlaw & Company (UK) LTD |
|
| March 20, 2009 |
Van Ness Investments, LLC/Linda Van Ness |
|
| January 6, 2009 |
William Thomas Bennett IV |
|
| July 18, 2008 |
Robotti & Company LLC |
|
| May 12, 2008 |
Rothschild Investment Corporation |
|
| February 29, 2008 |
M&I Brokerage Services, Inc. |
|
| September 4, 2007 |
George McKelvey Co., Inc. |
|
| August 6, 2007 |
Garden State Securities, Inc., Robert B. Steck, Kevin J. Derosa and Craig R. Margolies |
|
| July 23, 2007 |
Welton Street Investments LLC |
|
| July 13, 2007 |
Pruco Securities, LLC |
|
| April 23, 2007 |
Intersecurities Inc |
|
| January 5, 2007 |
Univest Investments Inc |
|
| September 8, 2006 |
Bolton Securities Corp. |
|
| September 8, 2006 |
Gabriel J. Giguere, Jr. |
|
| September 5, 2006 |
Prospera Financial Services, Inc. |
|
| August 17, 2006 |
CitiStreet Advisors LLC |
|
| August 10, 2006 |
Harvest Financial Corporation |
|
| July 20, 2006 |
Liberty Investment Advisors and Richard Liberty |
|
| June 22, 2006 |
Eubanks Capital Management (CRD #135493) and Ronald M. Eubanks, Jr. (CRD #2957448) |
|
| May 31, 2006 |
Investacorp, Inc., and Michael J. Poulin |
|
| May 4, 2006 |
Downeast Financial Group, Michael J. Poulin and Lena-Jo Hartley |
|
| April 21, 2006 |
Portland Global Advisor LLC, John Sullivan, Derek Jaskulski, Richard Strabley and Charles Oestreicher |
|
| March 7, 2006 |
Aptus Technology Corporation, Hirak Biswas, Joseph Orlando and Apurba Mukherjee |
|
| February 28, 2006 |
Edward D. Jones & Co., L.P. |
|
| February 24, 2006 |
Lemley, Yarling & Co. and Ralph J. Lemley II |
|
| February 14, 2006 |
Petersen Investments, Inc. |
|
| January 3, 2006 |
Kovack Securities, Inc. |
|
| December 27, 2005 |
Commonwealth Financial Network, Alan Perry Hess, David Linus Kelly and Peter Thompkins Wheeler |
|
| December 15, 2005 |
Bangor Securities, Inc., Michael E. Ludwig |
|
| November 28, 2005 |
McKinnon & Company, Inc. |
|
| October 31, 2005 |
First Manhattan Co. (CRD #1845) |
|
| October 4, 2005 |
The Huntington Investment Company (CRD #16986) |
|
| September 21, 2005 |
J.P. Turner & Company, LLC (CRD #43177) |
|
| September 21, 2005 |
Biondo Asset Management LLC (CRD #129690) |
|
| August 15, 2005 |
Merrion Group, LLC (CRD #30145) |
|
| August 15, 2005 |
Commonwealth Church Finance, Inc. |
|
| July 28, 2005 |
Commonwealth Financial Network, Alan Perry Hess, David Linus Kelly and Peter Thompkins Wheeler |
|
| July 26, 2005 |
Means Investment Co., Inc., 802 Stillwater Avenue, Bangor, ME 04401 |
|
| July 20, 2005 |
SF Investments, Inc. (CRD #6564) |
|
| July 7, 2005 |
Northern Capital Securities Corporation |
|
| June 30, 2005 |
ACS TradeOne Marketing, Inc. |
|
| June 14, 2005 |
Raymond James Financial Services, Inc. and Nina Lee J. Mendall |
|
| May 17, 2005 |
Fuller, Jones & Stivers LLP, Judith A. Fuller and Rendle A. Jones |
|
| April 29, 2005 |
North Coast Energy, Inc. and McDonald Investments inc. |
|
| April 25, 2005 |
Wachovia Securities, LLC |
|
| March 30, 2005 |
Investment Management & Consulting Group, Charles W. Dibner, and Fredric W. Williams |
|
| March 21, 2005 |
Ram Trust Services Inc., Michael P. Wood, John P. Higgins and Kate C. Wilkinson |
|
| March 4, 2005 |
Jesup & Lamont Securities Corp., 650 Fifth Avenue, 3rd Floor, New York, NY 10019 (CRD #39056) |
|
| January 31, 2005 |
Olympia Asset Management, Ltd. and Michael P. Murphy |
|
| December 22, 2004 |
Mane Securities Corporation |
|
| December 20, 2004 |
Olympia Asset Management, Ltd. and Michael P. Murphy |
|
| November 22, 2004 |
Robert J. Montgomery |
|
| September 16, 2004 |
Wachovia Securities, LLC (CRD #19616) |
|
| September 16, 2004 |
Butler, Wick & Co., Inc. (CRD #120) |
|
| September 14, 2004 |
StoresOnline, Inc. |
|
| September 2, 2004 |
RDSC, LLC, 300 Main Street, Cincinnati, OH 45202 |
|
| August 3, 2004 |
Burke, Lawton, Brewer & Burke 516 N. Bethlehem Pike, Spring House, PA 19477 (CRD #1346) |
|
| July 8, 2004 |
Morgan Financial Advisors, Inc. (CRD #107868) |
|
| June 24, 2004 |
StoresOnline, Inc. |
|
| June 14, 2004 |
Moors & Cabot, Inc. (CRD #594) Lucien D. Hodgman (CRD #1546902) |
|
| May 20, 2004 |
Greycourt & Co., Inc. (CRD #111936) and Claude Perrier (CRD #4557418) |
|
| April 5, 2004 |
Wind River Capital Management, Inc., William S. Clark and John Benjamin Wootten |
|
| April 5, 2004 |
Drake Asset Management, Inc. (CRD #118687) and David R. Lidstone (CRD #1325528) |
|
| March 31, 2004 |
Landmark Financial Services, Inc. (CRD #122568) and James F. Jurzak (CRD #2032940) |
|
| March 26, 2004 |
Tradex Brokerage Service, Inc., 20 Vesey Street, Suite 800, New York, NY 10007 |
|
| March 19, 2004 |
Charles S. Clark and Clark & Stuart, Inc. |
|
| March 16, 2004 |
Jaguar Capital Management, Inc., (CRD #123156) and Jeffrey Alan Grossman (CRD #2017925) |
|
| February 18, 2004 |
Sigma Financial Corporation, 4261 Park Road, Ann Arbor, Michigan 48103-9508 |
|
| February 18, 2004 |
James L. Paris Financial Services, Inc., James L. Paris and Carmen G. Paris |
|
| February 18, 2004 |
Gilbert Capital Group (CRD #117268) and Cass A. Gilbert (CRD #705088) |
|
| January 7, 2004 |
Black Point Capital Management (CRD #116654) and Seth Sprague (CRD #4593074) |
|
| January 5, 2004 |
Jepson Financial Advisors, P.A. (CRD #123342), Brent K. Jepson (CRD #841113) and Gordon W. H. Buzza, Jr. |
|
| January 4, 2004 |
Harbor Investment Advisors (CRD #118480) and Thomas J. Repeta (CRD #2363309) |
|
| December 24, 2003 |
Roger F. Woodman Jr. & Co. (CRD #119778) and Roger F. Woodman Jr. (CRD #4527885) |
|
| December 22, 2003 |
Financial Services of New England (CRD #38088) and Scott Pelletier (CRD #1240152) |
|
| December 17, 2003 |
D.M. Becker Investment Management Company, Inc. (CRD #119860) and Douglas Becker (CRD #862225) |
|
| December 9, 2003 |
Summit Brokerage Services, Inc., 980 N. Federal Highway, Suite 310, Boca Raton, FL 33432 |
|
| December 5, 2003 |
Charles S. Clark |
|
| October 20, 2003 |
Sandgrain Securities Inc., 1050 Franklin Avenue, Suite 101, Garden City, NY 11530 |
|
| October 7, 2003 |
Tesseract Partners, LLC (CRD #111811) and Dimitri N. Balatsos (CRD #2114760) |
|
| August 12, 2003 |
American Research & Management Company, 145 Front Street, Marion, MA 02738-0576 |
|
| June 24, 2003 |
StoresOnline, Inc. |
|
| May 28, 2003 |
E. E. Powell & Company Inc. and Robert C. Wagner IV |
|
| February 11, 2003 |
Acument Securities, Inc., Robert T. Angle, Thomas F. White, and William M. McCarty |
|
| December 2, 2002 |
Hawthorne Investment Management, LLC |
|
| November 8, 2002 |
OneSetPrice, Inc. |
|
| October 21, 2002 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. |
|
| September 13, 2002 |
Balis Lewittes & Coleman, Inc., 575 Lexington Avenue, New York, NY 10022 |
|
| June 7, 2002 |
Hawthorne Investment Management, LLC |
|
| December 27, 2001 |
Mid-Ohio Securities Corp., Richard Desich and Leonard J. Gibel |
|
| December 14, 2001 |
Waters, Parkerson & Co., Inc., Suite 512, 228 St. Charles Avenue, New Orleans, Louisiana |
|
| November 19, 2001 |
Sterne, Agee & Leach, Inc., CMT Plaza, 813 Shades Creek Parkway Suite 100B, Birmingham, AL 35209 |
|
| October 9, 2001 |
Mid-Ohio Securities Corp., Richard Desich, Thomas Gordon Cloud, Thomas Gordon Cloud Jr., Cloud & Associates Consulting, Inc., First Choice Management Services, Inc., and Gary Van Waeyenberghe |
|
| July 31, 2001 |
Miller Johnson Steichen Kinnard, Inc., 920 Second Avenue South, Minneapolis, MN 55402 |
|
| July 6, 2001 |
Mid-Ohio Securities Corp., Richard Desich, Thomas Gordon Cloud, Thomas Gordon Cloud Jr., Cloud & Associates Consulting, Inc., First Choice Management Services, Inc., and Gary Van Waeyenberghe |
|
| March 29, 2001 |
Fifth Third Securities, Inc., 38 Fountain Square Plaza, Cincinnati, Ohio 45263 |
|
| March 1, 2001 |
Bidwell & Company, 330 S.W. Sixth Avenue, Portland, OR 97204 |
|
| February 21, 2001 |
Nations Financial Group, Inc., 4000 River Ridge Drive NE, Cedar Rapids, IA 52402 |
|
| February 13, 2001 |
Deltec Asset Management LLC, 645 Fifth Avenue, 18th Floor, New York, NY 10022 |
|
| February 13, 2001 |
Christopher Street Financial, Inc., 80 Wall St., Suite 515, New York, New York 10005-3601 |
|
Last Updated: February 15, 2024 1:13 PM
|
Consumer Tools
Industry Tools
|
