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Maine.gov> PFR Home > Securities Home Page > Consent Agreements in Date Order

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

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. Consent Agreement - (PDF format)
September 8, 2006 Gabriel J. Giguere, Jr. Consent Agreement - (PDF format)
September 5, 2006 Prospera Financial Services, Inc. Consent Agreement - (PDF format)
August 17, 2006 CitiStreet Advisors LLC Consent Agreement - (PDF format)
August 10, 2006 Harvest Financial Corporation Consent Agreement - (PDF format)
July 20, 2006 Liberty Investment Advisors and Richard Liberty Consent Agreement - (PDF format)
June 22, 2006 Eubanks Capital Management and Ronald M. Eubanks, Jr. Consent Agreement - (PDF format)
May 31, 2006 Investacorp, Inc., and Michael J. Poulin Consent Agreement - (PDF format)
May 4, 2006 Downeast Financial Group, Michael J. Poulin and Lena-Jo Hartley Consent Agreement - (PDF format)
April 21, 2006 Portland Global Advisors LLC, John Sullivan, Derek Jaskulski, Richard Strabley and Charles Oestreicher Consent Agreement - (PDF format)
March 7, 2006 Aptus Technology Corporation, Hirak Biswas, Joseph Orlando and Apurba Mukherjee Consent Agreement - (PDF format)
February 28, 2006 Edward D. Jones & Co., L.P. Consent Agreement - (PDF format)
February 24, 2006 Yarling & Co. and Ralph J. Lemley II Consent Agreement - (PDF format)
February 14, 2006 Petersen Investments, Inc Consent Agreement - (PDF format)
January 3, 2006 Kovack Securities, Inc. Consent Agreement - (PDF format)
December 27, 2005 Commonwealth Financial Network, Alan Perry Hess, David Linus Kelly and Peter Thompkins Wheeler Consent Agreement - (PDF format)
December 15, 2005 Bangor Securities, Inc. Michael Ludwig Consent Agreement - (PDF format)
November 28, 2005 McKinnon & Company, Inc. Consent Agreement - (PDF format)
October 31, 2005 First Manhattan Co. Consent Agreement - (PDF format)
October 4, 2005 Huntington Investment Company Consent Agreement - (PDF format)
September 21, 2005 J.P. Turner & Company, LLC Consent Agreement - (PDF format)
September 21, 2005 Biondo Asset Management LLC Consent Agreement - (PDF format)
August 15, 2005 Merrion Group, LLC Consent Agreement - (PDF format)
August 15, 2005 Commonwealth Church Finance, Inc. Consent Agreement - (PDF format)
July 28th, 2005 Commonwealth Financial Network, Alan Perry Hess, David Linus Kelly and Peter Thompkins Wheeler Notice of Intent to Censure and Impose a Civil Penalty on Broker-Dealer and Sales Representatives - (PDF format)
July 26, 2005 Means Investment Co., Inc. Consent Agreement - (PDF format)
July 20, 2005 SF Investments, Inc. Consent Agreement - (PDF format)
July 7, 2005 Northern Capital Securities Corporation Consent Agreement - (PDF format)
June 30, 2005 ACS TradeOne Marketing, Inc. Consent Agreement - (PDF format)
June 14, 2005 Raymond James Financial Services, Inc. and Nina Lee J. Mendall Consent Agreement - (PDF format)
May 17, 2005 Fuller, Jones & Stivers, LLP - Judith A. Fuller - Rendle A. Jones Consent Agreement - (PDF format)
April 29, 2005 North Coast Energy, Inc. and McDonald Investments Inc. Consent Agreement - (PDF format)
April 25, 2005 Wachovia Securities, LLC Consent Agreement - (PDF format)
March 30, 2005 Investment Management & Consulting Group, Charles W. Dibner and Fredric W. Williams Consent Agreement - (PDF format)
March 21, 2005 Ram Trust Services Inc. Consent Agreement - (PDF format)
March 4, 2005 Jesup & Lamont Securities Corp. Consent Agreement - (PDF format)
January 31, 2005 Olympia Asset Management, Ltd. and Michael P. Murphy Consent Agreement - (PDF format)
December 22, 2004 Maine Securities Corporation Consent Agreement - (PDF format)
December 20, 2004 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 - (PDF format)
November 22, 2004 Robert J. Montgomery Consent Agreement - (PDF format)
November 15, 2004 Aptus Technology Corporation, Hirak Biswas, Joseph Orlando and Apurba Mukherjee Notice of Intent to Issue a Cease and Desist Order and Impose a Civil Penalty - (PDF format)
September 16, 2004 Wachovia Securities, LLC Consent Agreement - (PDF format)
September 16, 2004 Butler, Wick & Co., Inc. Consent Agreement - (PDF format)
September 14, 2004 StoresOnline, Inc. Consent Agreement - (PDF format)
September 2, 2004 RDSC, LLC Consent Agreement - (PDF format)
August 3, 2004 Burke, Lawton, Brewer & Burke Consent Agreement - (PDF format)
July 8, 2004 Morgan Financial Advisors, Inc. Consent Agreement - (PDF format)
June 24, 2004 StoresOnline Inc. Consent Agreement - (PDF format)
June 14, 2004 Moors & Cabot/Hodgman Consent Agreement - (PDF format)
May 20, 2004 Greycourt & Co., Inc. and Claude Perrier Consent Agreement - (PDF format)
April 5, 2004 Wind River Capital Mangement, Inc., William S. Clark and John Benjamin Wootten Consent Agreement - (PDF format)
April 5, 2004 Drake Asset Management, Inc., and David R. Lidstone Consent Agreement - (PDF format)
March 31, 2004 Landmark Financial Services, Inc. and James F. Jurczak Consent Agreement - (PDF format)
March 26, 2004 Tradex Brokerage Service, Inc. Consent Agreement - (PDF format)
March 19, 2004 Charles S. Clark and Clark & Stuart, Inc. Consent Agreement - (PDF format)
March 16, 2004 Jaguar Capital Management, Inc. Consent Agreement - (PDF format)
February 18, 2004 Sigma Financial Corporation Consent Agreement - (PDF format)
February 18, 2004 James L. Paris Financial Services, Inc., James L. Paris and Carmen G. Paris Consent Agreement - (PDF format)
February 18, 2004 Gilbert Capital Group and Cass A. Gilbert Consent Agreement - (PDF format)
January 7, 2004 Black Point Capital Management Consent Agreement - (PDF format)
January 5, 2004 Jepson Financial Advisors, P.A., Brent K. Jepson and Gordon W.H. Buzza, Jr. Consent Agreement - (PDF format)
January 4, 2004 Harbor Investment Advisors and Thomas J. Repeta Consent Agreement - (PDF format)
December 24, 2003 Roger F. Woodman Jr. & Co. and Roger F. Woodman Jr. Consent Agreement - (PDF format)
December 22, 2003 Financial Services of New England and Scott Pelletier Consent Agreement - (PDF format)
December 17, 2003 D.M. Becker Investment Management Company, Inc. Consent Agreement - (PDF format)
December 9, 2003 Summit Brokerage Services, Inc. Consent Agreement - (PDF format)
December 5, 2003 Charles S. Clark Notice of Intent to Revoke a Sales Representative License and Bar Him from Association - (PDF format)
October 20, 2003 Sandgrain Securities Inc. Consent Agreement - (PDF format)
October 7, 2003 Tesseract Partners, LLC Consent Agreement - (PDF format)
August 12, 2003 American Research & Management Company Consent Agreement - (PDF format)
August 4, 2003 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 - (PDF format)
June 24, 2003 StoresOnline Inc. Consent Agreement - (PDF format)
May 28, 2003 E. E. Powell & Company Inc., and Robert C. Wagner IV Consent Agreement - (PDF format)
February 11, 2003 Acument Securities, Inc. Consent Agreement - (PDF format)
December 2, 2002 Hawthorne Investment Management, LLC Consent Agreement - (PDF format)
November 8, 2002 OneSetPrice Inc. Consent Agreement - (PDF format)
October 21, 2002 Merrill Lynch, Pierce, Fenner & Smith, Inc. Consent Agreement - (PDF format)
October 8, 2002 Acument Securities, Inc Amended Notice of Intent to Issue a Cease and Desist Order and to Impose a Civil Penalty Against Respondednts - (PDF format)
September 13, 2002 Balis Lewittes & Coleman, Inc. Consent Agreement - (PDF format)
June 24, 2002 Acument Securities, Inc. Notice of Intent to Issue a Cease and Desist Order - (PDF format)
June 7, 2002 Hawthorne Investment Management, LLC Notice of Intent to Issue an Order to Deny a License - (PDF format)
December 27, 2001 Mid-Ohio Securities Corp., Richard Desich, and Leonard J. Gibel Consent Agreement - (PDF format)
December 14, 2001 Waters, Parkerson & Co., Inc. Consent Agreement - (PDF format)
November 19, 2001 Sterne, Agee & Leach, Inc. Consent Agreement - (PDF format)
October 9, 2001 Mid-Ohio Securities Corp. Notice of Intent to Issue Cease and Desist Order (Amended) - (PDF format)
July 31, 2001 Miller Johnson Steichen Kinnard, Inc. Consent Agreement - (PDF format)
July 6, 2001 Mid-Ohio Securities Corp. Notice of Intent to Issue Cease and Desist Order - (PDF format)

March 29, 2001 Fifth Third Securities, Inc. Consent Agreement - (PDF format)
March 1, 2001 Bidwell & Company Consent Agreement - (PDF format)
February 21, 2001 Nations Financial Group, Inc. Consent Agreement - (PDF format)
February 13, 2001 Deltec Asset Management LLC Consent Agreement - (PDF format)
February 13, 2001 Christopher Street Financial Consent Agreement - (PDF format)

 

Last Updated: November 18, 2014 12:04 PM