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Securities & Investment Regulation
OTHER PFR AGENCIES
Consent Agreements in Alphabetical Order
ACS TradeOne Marketing, Inc.
Acument Securities, Inc.
- Notice of Intent to Issue a Cease and Desist Order, and to Impose a Civil Penalty Against McCarty, and to Bar from Association, and to Revoke the Broker-Dealer License of Acument, and to Impose a Civil Penalty Upon Acument - June 24, 2002 (PDF format)
- Amended Notice of Intent to Issue a Cease and Desist Order and to Impose a Civil Penalty Against Respondednts, to Bar McCarty from Association, to Revoke the Broker-Dealer License of Acument, to Censure or Revoke the Sales Representative License of Angle, and to Censure or Bar White from Association - October 8, 2002 (PDF format)
American Financial Associates, Inc. and Henry L. D'Alberto
American Research & Management Company
Aptus Technology Corporation, Hirak Biswas, Joseph Orlando and Apurba Mukherjee
A.R. Schmeidler & Co., Inc.
Aurora Financial Group, LLC
Balis Lewittes & Coleman, Inc.
Bangor Securities, Inc. Michael Ludwig
Bankers Life and Casualty Company
William Thomas Bennett IV
Bidwell & Company
Biondo Asset Management LLC
Black Point Capital Management
Bolton Securities Corp.
Burke, Lawton, Brewer & Burke
Butler, Wick & Co., Inc.
Christopher Street Financial
Charles S. Clark
CitiStreet Advisors LLC.
Commonwealth Church Finance, Inc.
Commonwealth Financial Network, Alan Perry Hess, David Linus Kelly and Peter Thompkins Wheeler
Compass Securities Corporation
D.M. Becker Investment Management Company, Inc.
Deltec Asset Management LLC
Downeast Financial Group, Michael J. Poulin and Lena-Jo Hartley
Drake Asset Management, Inc., and David R. Lidstone
E. E. Powell & Company Inc., and Robert C. Wagner IV
Edward D. Jones & Co., L.P.
Eubanks Capital Management and Ronald M. Eubanks, Jr.
Fifth Third Securities, Inc.
Financial Advocates Investment Management and Michael S Tuell
Financial Services of New England and Scott Pelletier
First Manhattan Co.
Fuller, Jones & Stivers, LLP - Judith A. Fuller - Rendle A. Jones
Winslow J. Furber
Gabriel J. Giguere, Jr.
Garden State Securities, Inc., Robert B. Steck, Kevin J. Derosa and Craig R. Margolies
George McKelvey Co., Inc.
Gilbert Capital Group and Cass A. Gilbert
Gladowsky Capital Management Corp.
Global Resource Investments LTD
Greycourt & Co., Inc. and Claude Perrier
Guidance Point Advisors, LLC and Benjamin J. Smith
H.D. Vest Investment Services
Harbor Investment Advisors and Thomas J. Repeta
Harvest Financial Corporation
Hawthorne Investment Management, LLC
- Notice of Intent to Issue an Order to Deny a License - June 7, 2002 (PDF format)
Huntington Investment Company
Investacorp, Inc., and Michael J. Poulin
Investment Management & Consulting Group, Charles W. Dibner and Fredric W. Williams
J.P. Turner & Company, LLC
Jaguar Capital Management, Inc.
Jepson Financial Advisors, P.A., Brent K. Jepson and Gordon W.H. Buzza, Jr.
Jesup & Lamont Securities Corp.
Kovack Securities, Inc.
Laidlaw & Company (UK) LTD
Landmark Financial Services, Inc. and James F. Jurczak
Lemley, Yarling & Co. and Ralph J. Lemley II
Liberty Investment Advisors and Richard Liberty
M&I Brokerage Services, Inc.
Maine Securities Corporation
McKinnon & Company, Inc.
Brent Wilson McLaughlin dba The Glen Mills Group
Means Investment Co., Inc.
Merrill Lynch, Pierce, Fenner & Smith, Inc.
Merrion Group, LLC
MHP Asset Management LLC
Mid-Ohio Securities Corp.
- Notice of Intent to Issue Cease and Desist Order (Amended) - October 9, 2001 (PDF format)
Miller Johnson Steichen Kinnard, Inc.
Robert J. Montgomery
Moors & Cabot/Hodgman
Morgan Financial Advisors, Inc.
Nations Financial Group, Inc.
James W. Nichols
North Coast Energy, Inc. and McDonald Investments Inc.
Northern Capital Securities Corporation
Ohanesian/Lecours, Inc. and Richard Hammond
Olympia Asset Management, Ltd. and Michael P. Murphy
- Notice of Intent to Deny a Broker-Dealer and Sales Representative License, Issue a Cease and Desist Order, and Impose a Civil Penalty - December 20, 2004 (PDF format)
OppenheimerFunds, Inc. and OppenheimerFunds Distributor, Inc.
James L. Paris Financial Services, Inc., James L. Paris and Carmen G. Paris
- Notice of Intent to Impose a Civil Penalty, Censure and Issue a Cease and Desist Order Against Respondents or to Bar James L. Paris - August 4, 2003 (PDF format)
Petersen Investments, Inc.
Portland Global Advisors LLC, John Sullivan, Derek Jaskulski, Richard Strabley and Charles Oestreicher
Prospera Financial Services, Inc.
Pruco Securities, LLC
Ram Trust Services Inc.
Raymond James Financial Services, Inc. and Nina Lee J. Mendall
Robotti & Company LLC
Roger F. Woodman Jr. & Co. and Roger F. Woodman Jr.
SF Investments, Inc.
Sandgrain Securities Inc.
Sequoia Investments, Inc.
Sigma Financial Corporation
Sterne, Agee & Leach, Inc.
Alec Joel Stevens
Summit Brokerage Services, Inc.
Tesseract Partners, LLC
Tradex Brokerage Service, Inc.
Trubee, Collins & Co., Inc.
Univest Investments Inc
Van Ness Investments, LLC/Linda Van Ness
VanceGray Wealth Management Inc. and Joseph M. Alvarez
Wachovia Securities, LLC
Waters, Parkerson & Co., Inc.
Welton Street Investments LLC
Wind River Capital Mangement, Inc., William S. Clark and John Benjamin Wootten
Wind River Capital Mangement, Inc. and William M. Hunter II
Last Updated: December 31, 2013 1:22 PM
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