Consent Orders

Consent Orders are separated by year. You can click on one of the years below to jump to exams as of that year. On the lower parts of this page, an arrow icon will appear. You can return to the top of this page by clicking that icon.

2020 | 2019 | 2018 | 2017 | 2016  | 2014 | 2013 | 2012 | 2011
2010 | 2009 | 2008 | 2007 | 2006 | 2005  | 2004 | 2003 | 2002 | 2001
2000 | 1999 | 1998 | Prior to 1998

2020

• Lirio LLC - January 27th, 2020
  
• TSD v. Patel - January 8, 2020
• Crowdvest Securities, LLC And Penn Financial Group, LLC, - January 6th, 2020

2019

• Penn Financial Group, LLC - December 3th, 2019
• New Southern Advisory - December 2nd, 2019
  
• John North - November 12th, 2019
  
• David W. Bradley and Spectrum Financial Advisors, LLC  - September 24th, 2019
• Karmel Capital Founders Fund II, LP - September 24th, 2019
• Ryan D. Moore - May 6th, 2019
  
• Family Wealth Management, LLC - March 15th, 2019
• LPL Financial, LLC - June 21st, 2019 
  
• Fundrise - January 4, 2019
• Agile Enterprises - January 4, 2019
• Farnsley - April, 18, 2019
• Robbins - March, 19, 2019
  

2018

• SRI, LLC - August 9, 2018
  
• Steven S. Boulter - July 18, 2018
  
• Wesleyan Investment Foundation, Inc. - May 1, 2018

2017

• Stephen Ray Arnold D/B/A Storehouse Advisory Group - December 18, 2017
• John E. Bonk and Wealth Investors, LLC, a/k/a Millions Forever, LLC, - November 29, 2017
• Fieldstone Financial Partners - November  20, 2017
• Beasley & Company - July 14th, 2017
  
• Clarence Andrew Elcan - May 12, 2017

2016

• Wedbush Securities September 29, 2016 
• Barry Bynum May 31, 2016
• Charles Sims Jr. August 3, 2016
• The Home Email Business Corp. May 23, 2016
• Wortham Laboratories, Inc. August 12, 2016
• Scott B. Chitwood July 21, 2016

2014

• JP Morgan Securities, LLC December 19th, 2014
• RBC Capital Markets, LLC  January 17th, 2014 

2013

• UBS Financial Services  December 19th, 2013 
• Quinn Financial Partners, LLC and Ms. Catherine V. Quinn March 12th, 2013
• Keblo Energy, LLC and Lori J. Morel February 20th, 2013
• Bankers Life and Casualty Company & BLC Financial Services, Inc.January 30, 2013

2012

• UVEST Financial Services Group, Inc. December 28, 2012
• ProEquities, Inc. November 12, 2012
• James E. Lush June 21, 2012
• E*Trade Securities, LLC April 18, 2012
• Modern Investments February 14, 2012
• Church of God Foundation, Inc. January 17, 2012

2011

• Raymond James and Associates Sept 19, 2011
• Morgan Keegan June 21, 2011
• Lonnie Gene Layne, individually and d.ba. Legacy Estate Services March 22, 2011
• A.D. Vallett & Co., LLC February 14, 2011

2010

• Robert Boyde Scott November 22, 2010
• Mark S. Riddle August 19, 2010
• Goldman, Sachs & Co. August 19, 2010
• UBS Securities, LLC and UBS Financial Services, Inc. July 8, 2010
• Wells Fargo Investments, LLC July 8, 2010
• Stifel, Nicolaus & Company, Incorporated June 16, 2010
• Merrill Lynch (ARS Case) May 12, 2010
• Merrill Lynch (Client Associates Case) April 30, 2010
• Deutsche Bank Securities, Inc. May 10, 2010
• RBC Capital Markets Corporation April 12, 2010
• Senior Select Services, and David S. Cooper, and Rose Cooper March 24, 2010
• Credit Suisse Securities (USA) LLC, March 16, 2010
• Morgan Stanley & Co., Incorporated, January 29, 2010
• TD Ameritrade, Inc., January 25, 2010

2009

• William Walter Spencer, November 16, 2009
• JPMorgan Chase & Co., October 30, 2009
• Banc of America Securities, LLC and Banc of America Investment Services, Inc. September 2, 2009
• Prosper Marketplace, Inc. September 2, 2009
• Aaron Capital, Inc. August 14. 2009
• Quadra Pay, Inc., and Quadra Pay Land,LLC July 1, 2009
• Wachovia Securities May 19, 2009
• Citigroup Global April 29, 2009
• Gordon B. Grigg, Protrust April 27, 2009

2008

• David A. Costello, Jr.  November 7, 2008
• Michael Jin Yong Park August 25, 2008
• Morgan Stanley & Co., Inc.  July 18, 2008
  • D. Vallett and Company LLC  June 16, 2008
• JeffreyCassman  February 28, 2008

2007

• Hattier, Sanford & Reynoir, LLP January 30, 2007
• Thomas Weisel Partners, LLC   January 26, 2007
• Wachovia Capital Markets, LLC January 25, 2007

2006

• Stanley Michael Shelley, and J.J.B. Hilliard, W.L. Lyons, Inc,November 21, 2006
• J.P. Michael Company and Joyce Dutton September 18, 2006
• Donald Beverly September 18, 2006
• Barry R. Stokes October 16, 2006
• Deutsche Bank Securities, Inc. June 26, 2006
• Edward D. Jones May 25, 2006
• Edward Martin April 25, 2006
• Westford Energy March 27, 2006

2005

• Waddell & Reed November 29, 2005
• Shanklin Capital Management June 16, 2005
• SF Investments June 7, 2005
• Granite Associates June 7, 2005
• David Higgins April 22, 2005
• William E Hopkins April 21, 2005
• Jeffery L. Watt April 05, 2005
• Principle Resources April 04, 2005
• New Millennium March 21, 2005
• Phillip Sharp March 17, 2005
• David Herman Becerra February 28, 2005
• Russell Waldrip February 25, 2005
• Vernon Shiflett February 07, 2005
• Denver Farley January 31, 2005
• Ronald Mashburn January 27, 2005
• Dixon Insurance Agency January 10, 2005

2004

• InvestIN Securities Consent Order December 12, 2004
• Patrick N. Doyle September 30, 2004
• Tykisha Harrison - September 2, 2004
• Adrian Allie Bond - September 2, 2004
• Coastal Discount Stockbrokers - August 09, 2004
• Thompson Davis & Company and Mathew Henry Daniel - July 29, 2004
• Russell Hunt - July 9, 2004
• Professional Asset Company - June 16, 2004
• Upper Cumberland Media Group - June 04, 2004
• Phymed April 26, 2004
• Heartland Holdings April 22, 2004
• Pryor Oil, Inc. - April 2, 2004
• Walter Eugene Phillips, Jr. - March 11, 2004
• Continental Broker-Dealer Corp. - March 10, 2004
• River Front Capital, L.L.C. - February 19, 2004

2003

• Ferguson Financial December 29, 2003
• Dynetech Corp. - December 9, 2003
• USBancorp Piper Jaffray November 06, 2003
• Lehman October 31, 2003
• Morgan Stanley October 30, 2003
• CitiGroup Global Markets October 28, 2003
• JP Morgan Securities October 16, 2003
• Exclusive Safe Drivers' Membership Reward System, Inc. - October 16, 2003
• UBS Warburg, L.L.C. - September 29, 2003
• Bear, Stearns, & Co., Inc. - September 29, 2003
• Goldman, Sachs, & Co. - September 3, 2003
• James Henry Morton - August 29, 2003
• Credit Suisse First Boston, L.L.C. - August 12, 2003
• Cuso Equities, Inc. (a.k.a. Cue) - June 27, 2003
• ACI, Inc. (#2) - June 18, 2003
• ACI, Inc. (#1) - June 18, 2003
• MONY Securities Corporation & Louis Dewitt Hamric - June 3, 2003
• B & B Worm Farm, Inc. - June 3, 2003
• James D. Horn (d.b.a. Quality Financial Concepts) - May 20, 2003
• Advanced Asset Trading, Inc. - April 29, 2003

2002

• Merrill Lynch, Pierce, Fenner, & Smith, Inc. - October 9, 2002
• Sandra Katherine Sandberg - April 26, 2002
• Ohio Kentucky Oil Corporation - March 7, 2002
• Southwest Trading - February 8, 2002
• Roscoe F. Stephens, III - February 8, 2002

2001

• Francis H. Phillips - November 5, 2001
• Southwest Trading - October 12, 2001
• Basin Oil and Gas Corporation - August 17, 2001
• Goldis Financial Group, Inc. - May 9, 2001

2000

• Legends Resorts, Inc. - October 25, 2000
• Smith, Brown, & Groover, Inc. - October 11, 2000
• Westminster Securities Corporation - September 1, 2000
• Terra Nova Trading, L.L.C. - May 22, 2000
• Pacific Cortez Securities, Inc. (f.k.a. Lajolla Capital Corp.) - May 4, 2000
• D. H. Blair & Co., Inc. - April 14, 2000
• United States Profit Corporation - February 5, 2000
• First Financial Planners, Inc. - February 4, 2000

1999

• Carlin Equities Corporation - December 20, 1999
• Elizabeth (Betsy) Kathryn Madden - September 8, 1999
• Van Buren Securities, L.L.C. - August 12, 1999
• Glaser Capital Corporation - June 1, 1999
• Merit Capital Associates, Inc. - March 26, 1999
• Constitution Capital Corporation - March 11, 1999
•  John Lawson Greer, III - March 4, 1999
• D. H. Blair & Co., Inc. - February 9, 1999
• First Financial Investment Securities, Inc. - January 21, 1999

1998

• Douglas Eugene Phillips (d.b.a. The Oxford Capital Groupe)- July 23, 1998
• San Clemente Securities, Inc. - July 1, 1998
• Nationssecurities - February 13, 1998

Prior to 1998

• Pelham Humphries Heirs, Association - 12-11-1992

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