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.

2021 | 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

2021

• Southern Union Revolving Fund, Inc. - June 7, 2021
  
• Greenway Capital Management, LLC. - May 25, 2021
• PFM Management Services, Inc. - May 12, 2021
• Phillip J. Leach - May 11, 2021
  
• Brandon Littleton & Form Advisory Group, LLC - April 9, 2021
• Nicholas Meriwether and Financial Planning Center, LLP - March 18, 2021
  
• Peter Towle - February 25, 2021
  

2020

• Anabaptist Financial - October 1, 2020
  
• James H. Mobley Jr. - September 21, 2020
• Witt Financial Group - July 23, 2020
• Gibson Gaither Wealth Management Advisors LLC - July 10, 2020
• Frank Fornshell Venable III - June 26, 2020
  
• William Baxter Lee IV and Save.Win LLC - June 11, 2020
  
• William Winchester III - June 11, 2020
• Matthew Lawson - June 3, 2020
• Jones Wealth Management - April 24, 2020
  
• Solium Financial Services, LLC - March 16, 2020
  
• Cypress Wealth Managment LLC - March 12, 2020
• Robert Robbins and Robbins Capital Management Inc. - March 9, 2020
• Steven Alan Capital LLC - March 5th, 2020
  
• Lirio LLC - January 27th, 2020
  
• TSD v. Patel - Shaneal Yogesh Patel - January 8th, 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 - Fundrise East Coast Opportunistic REIT, LLC., Fundrise Midland Opportunstic REIT, LLC., &  Fundrise West Coast Opportunstic, LLC - January 4, 2019
• Agile Enterprises - January 4, 2019
• Farnsley - Patrick Farnsley d/b/a Riverview Capital Management - April, 18, 2019
• Robbins - Robert S. Robbins & Robiins Capital Management, Inc. - 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 - Barry Hubert Bynum & Estate Security Trust - May 31, 2016
• Charles Sims Jr. - August 3, 2016
• The Home Email Business Corp. - The Home Email Business Corp, a/k/a Email.We.com, a/k/a Email.We.Biz, a/k/a Emial.We.com Communications Corporation, Darrell Woodard & Marvin Jackson - 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 - James E. Lush and Smartrades, LLC. - June 21, 2012
• E*Trade Securities, LLC - April 18, 2012
• Modern Investments - Modern Investment, LLC. & Daniel Gallagher - February 14, 2012
• Church of God Foundation, Inc. - January 17, 2012

2011

• Raymond James and Associates - Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. - 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 - Robert Boyde Scott, d/b/a Robet Scott Associates - 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 - Gordon B.Griggs; Protrust Management Group & Protrust Financial Group, Inc. - 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 - A.D Vallett & Company, LLC., & Aaron Donald Vallett - 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 - Westord Energy, LTD & Norris Harris - March 27, 2006

2005

• Waddell & Reed - November 29, 2005
• Shanklin Capital Management - June 16, 2005
• SF Investments  -June 7, 2005
• Granite Associates  - Granite Associates, Inc., f/k/a Galleon Merchant Bankers, Inc., & Raymond Francis Connors - June 7, 2005
• David Higgins - April 22, 2005
• William E Hopkins - April 21, 2005
• Jeffery L. Watt - April 05, 2005
• Principle Resources  - Principle Resources Group, Strategic Diversified Investments, O'Brien Insurance Agency & Michael C. O'Brien - April 04, 2005
• New Millennium - New Milleninum Investment Company & Joshua Hickerson - 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 & Peggy Dixon - 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 - Upper Cumberland Media Group, Inc., Don Napier, Pauleete Maynard, Kelly T. Keisling & Everett Asberry - June 04, 2004
• Phymed - Phymed Partner, Inc., Olde South Trust, LLC., Lamar McMichael, Michael Casper, Walter E. Phillips, & Ray Mercer -  April 26, 2004
• Heartland Holdings - Heartland Holding, LLC., & Anthony Cooper - April 22, 2004
• Pryor Oil, Inc. - April 2, 2004
• Walter Eugene Phillips, Jr. - Phymed Partner, Inc., Olde South Trust, LLC., Lamar McMichael, Michael Casper, Walter E. Phillips, & Ray Mercer - March 11, 2004
• Continental Broker-Dealer Corp. - March 10, 2004
• River Front Capital, L.L.C. - River Front Capital, LLC., Home Front Trading, LLC., & Ephraim F. Kutner - February 19, 2004

2003

• Ferguson Financial - Ferguson Financial Services & William R. Ferguson - 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. - UBS Wartburg LLC. & UBS Paine Webber, Inc. - 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. - Credit Suisse First Boston, LLC., f/k/a Credit Suisse First Boston Corporation - August 12, 2003
• Cuso Equities, Inc. (a.k.a. Cue) - June 27, 2003
• ACI, Inc. (#2) - ACI, Inc., Capital Enhancement Opportunities, United Services, Prosper International League LTD., Offshore Roll Program Report Number 5599, Fastgold.Net & John L. Hill, II - June 18, 2003
• ACI, Inc. (#1) - ACI, Inc., Capital Enhancement Opportunities, United Services, Prosper International League LTD., Offshore Roll Program Report Number 5599, Fastgold.Net & John L. Hill, II - June 18, 2003
• MONY Securities Corporation & Louis Dewitt Hamric - June 3, 2003
• B & B Worm Farm, Inc. - B&B Worm Farm, Inc., Worm Source of Tennessee, Lynn Bradley, Gene Pierpaoli & Regina Pierpaoli - 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 - Accelerated Benefits Corp., Pennsco Pensions Services of Florida, 21st Century Pay Communications, Sandra Katherine Sandberg, & Elizabeth Gertrude Christmas - April 26, 2002
• Ohio Kentucky Oil Corporation - Ohio Kentucky Oil Corporation, Ohio Kentucky Limited Partnership, William M. Griffith, Carol L. Campbell, Taureq Al-Abass, & Christine H. Vick - March 7, 2002
• Southwest Trading - Southwest Trading Diversities, Inc., Legacy Capital, Darrell Flanders & Ron Weems - February 8, 2002
• Roscoe F. Stephens, III - February 8, 2002

2001

• Francis H. Phillips - November 5, 2001
• Southwest Trading - Southwest Trading Diversities, Inc., Legacy Capital, Darrell Flanders & Ron Weems - October 12, 2001
• Basin Oil and Gas Corporation - Basin Oil and Gas Corporation, Michael Smith & Thomas Watkins - August 17, 2001
• Goldis Financial Group, Inc. - Goldis Financial Group, Inc. & Michael P. Dreitlein - May 9, 2001

2000

• Legends Resorts, Inc. - Legends Resorts, Inc., Legends Entertainment Group, Inc., & Buel E. Lombard - October 25, 2000
• Smith, Brown, & Groover, Inc. - Smith, Brown & Grover, Inc., Raymond Hill Smith & Raymond Hill Smith Jr. - October 11, 2000
• Westminster Securities Corporation - Westminster Securities Corporation, Daniel Lusking, Henry Krauss, & Darin Myman - September 1, 2000
• Terra Nova Trading, L.L.C. - Terra Nova Trading, LLC. &, M.A Jabbar Malik - 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 - United States Profit Corporation & Donald Dechaine - 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. - Van Buren Securities, LLC., Robert Fred Sistrunk & Sholeen Wuest  - August 12, 1999
• Glaser Capital Corporation - Glaser Capital Corporation & Thomas G. Glaser - June 1, 1999
• Merit Capital Associates, Inc. - Merit Capital Associates, Inc. & Paul Harper Daimler  - 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. - First Financial Investment Securities, Inc. & Laurel Lorain Miller  - 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

Some files are Adobe Reader® Files [pdf], 6.0 or higher. You may need to DOWNLOAD a free copy of Adobe Reader® to view these files.