黑料社区

In the matter of Jonathan Turecki and Palmetto Pub Company, LLC 鈥� Order to Cease and Desist (1/28/16).

In the matter of Halcyon Cabot Partners, Ltd. 鈥� Summary Suspension of Broker Dealer Registration; Rule to Show Cause (2/10/16)

In the matter of Michael Brooks and Brooks Communications, LLC 鈥� Order to Cease and Desist (2/10/16).

In the matter of Raymond J Saldi and RJS Enterprises, Inc. 鈥� Order to Cease and Desist (3/17/16)

In the matter of Legend Securities, Inc. 鈥� Administrative Order (3/18/16)

In the matter of Richard Eugene Whitley 鈥� Administrative Order (3/18/16)

In the matter of LPL Financial LLC 鈥� Consent Order (3/30/16)

In the matter of NJ Holdings, LLC (d/b/a Coast to Coast Business Funding), Nickolas Godfrey, and Jennifer Godfrey 鈥� Order to Cease and Desist (4/5/16)

In the matter of Raymond J. Saldi and RJS Enterprises, Inc. 鈥� Consent Order (4/13/16)

In the matter of IL Enterprises, LLC and Kevin Alonzo Tremayne Smith 鈥� Consent Order (4/18/16)

In the matter of Oppenheimer & Co., Inc. 鈥� Consent Order (5/4/16)

In the matter of Ronald Jeffrey Walters, Ballantyne Wealth Management Group, LLC, and Ballantyne Wealth Advisers, LLC 鈥� Consent Order (5/16/16)

In the matter of NJ Holdings, LLC (d/b/a Coast to Coast Business Funding), Nickolas Godfrey, and Jennifer Godfrey 鈥� Consent Order (5/16/16)

In the matter of Equinox Securities, Inc. 鈥� Summary Suspension of Broker-Dealer Registration (5/20/16)

In the matter of Equinox Securities, Inc. 鈥� Rule to Show Cause (5/20/16)

In the matter of Timothy Francis Dufresne 鈥� Administrative Order (6/1/16)

In the matter of Matthew Corrington Robinson and Eugene Corrington Robinson 鈥� Consent Order (6/3/16)

In the matter of Robert 鈥淏uddy鈥� Laverne Johnson, Jr. 鈥� Order to Cease and Desist (6/23/16)

In the matter of Amy Leben, Robert Leben, and Structured Finance Group Corp. 鈥� Consent Order (6/29/16)

In the matter of Legend Securities, Inc. 鈥� Consent Order (6/30/16)

In the matter of Equinox Securities, Inc. 鈥� Order Revoking Registration by Default (7/6/16)

In the matter of William B. Steiger, Jr. and Boardroom Private Investment Group 鈥� Order to Cease and Desist (7/8/16)

In the matter of Michael Brooks and Brooks Communications, Inc 鈥� Order to Cease and Desist (9/7/16)

In the matter of Branch Banking and Trust Company and BB&T Asset Management, Inc. 鈥� Consent Order (9/7/16)

In the matter of Vicki G. Folk and Variety Shop 鈥� Order to Cease and Desist (9/8/16)

In the matter of Randy Leroy Geter 鈥� Order to Cease and Desist (9/21/16)

In the matter of William B. Steiger, Jr. and Boardroom Private Investment Group 鈥� Consent Order (9/27/16)

In the matter of Tub Plug, LLC (d/b/a TCE Inc. and For My Home, LLC) and Tower B. Carney, III 鈥撀� Order to Cease & Desist (10.29.15)

In the Matter of Michael Brooks and Brooks Communications, LLC 鈥� Consent Order (11/21/16)