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Core Funding Group, L.P., Thomas F. Emmick - Cease and Desist Order

Wednesday, February 8, 2012

Categories: Enforcement Actions

E*TRADE SECURITIES, LLC - Administrative Consent Order, Consent to Entry of Order

Wednesday, February 1, 2012

Categories: Enforcement Actions

Piper Jaffray & Co., Brady Vollmers - Order for and Notice of Civil Penalty

Friday, January 13, 2012

Categories: Enforcement Actions

Associated Financial Services, Inc. - Order to Revoke the Dealer Registration

Thursday, January 12, 2012

Categories: Enforcement Actions

Ronald Dean Bennett d/b/a Ron Bennett Commercial Real Estate - Cease and Desist Order

Wednesday, December 21, 2011

Categories: Enforcement Actions

Brent Kitzan d/b/a Kitzan & Associates - Cease and Desist Order

Wednesday, December 14, 2011

Categories: Enforcement Actions

Associated Financial Services, Inc. - Order for Summary Suspension of the Dealer Registration

Tuesday, December 6, 2011

Categories: Enforcement Actions

R. Seelaus & Co. Inc. - Consent Order

Friday, November 25, 2011

Categories: Enforcement Actions

Ross Owen Haugen - Plea Agreement

Monday, November 14, 2011

Categories: Enforcement Actions

Raymond James & Associates, Inc., Raymond James Financial Services, Inc. - Administrative Consent Order

Monday, September 26, 2011

Categories: Enforcement Actions

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