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Administrative and Criminal Proceedings 2013 All Archives

RBC Capital Markets, LLC Administrative Consent Order RBC Capital Markets, LLC Administrative Consent Order
Petition for Order to Cease and Desist and Request that Administrative Sanctions be Imposed Petition for Order to Cease and Desist and Request that Administrative Sanctions be Imposed
Respondents: Michael Elzufon, David Lundberg, Real Development Corp., Sutton MN, LLC
Obsidian Financial Group, LLC Final Order Revoking Broker-Dealer Registration Obsidian Financial Group, LLC Final Order Revoking Broker-Dealer Registration
EKN Financial Services, Inc., Final Order Revoking Broker-Dealer Registration EKN Financial Services, Inc., Final Order Revoking Broker-Dealer Registration
Aletheia Securities, Inc. Final Order Revoking Broker-Dealer Registration Aletheia Securities, Inc. Final Order Revoking Broker-Dealer Registration
Nancy Jo Frazer and Focus Up Ministries Order of Dismissal Nancy Jo Frazer and Focus Up Ministries Order of Dismissal
Sunflower Asset Management Consent Order Sunflower Asset Management Consent Order
Sunflower Asset Management, Stipulation for Consent Order Sunflower Asset Management, Stipulation for Consent Order
Sidelight Entertainment Group, Inc, Robert S. Beene, Cease and Desist Order Sidelight Entertainment Group, Inc, Robert S. Beene, Cease and Desist Order
Obsidian Financial Group, LLC, Notice of Intent to Suspend Broker-Dealer Registration Obsidian Financial Group, LLC, Notice of Intent to Suspend Broker-Dealer Registration
Gartner Financial Group, LLC and Scott Alan Gartner Final Order Imposing Administrative Sanctions Gartner Financial Group, LLC and Scott Alan Gartner Final Order Imposing Administrative Sanctions
Aletheia Securities, Inc., Notice of Intent to Revoke Broker-Dealer Registration Aletheia Securities, Inc., Notice of Intent to Revoke Broker-Dealer Registration
Gartner Financial Group, LLC Emergency Order of Suspension and Notice of Intent to Impose Administr Gartner Financial Group, LLC Emergency Order of Suspension and Notice of Intent to Impose Administr
Gartner Financial Group, LLC Cease and Desist Order Gartner Financial Group, LLC Cease and Desist Order
Inter Reef Ltd d/b/a Profitable Sunrise Final Order Imposing Administrative Sanctions Inter Reef Ltd d/b/a Profitable Sunrise Final Order Imposing Administrative Sanctions
This Order Applies to Respondents Inter Reef Ltd. d/b/a Profitable Sunrise, Roman Novak and Radoslav Novak only
Consent Order as to David P. Cozzocrea Only Consent Order as to David P. Cozzocrea Only
Gordon Schultz Cease and Desist Order Gordon Schultz Cease and Desist Order
Gordon Schultz Stipulation for Cease and Desist Order Gordon Schultz Stipulation for Cease and Desist Order
Inter Reef Ltd. dba Profitable Sunrise et al cease and Desist Order and Notice of Intent to Impose Inter Reef Ltd. dba Profitable Sunrise et al cease and Desist Order and Notice of Intent to Impose
James Doering Consent Order James Doering Consent Order
Jimmy Weishaar Consent Order Jimmy Weishaar Consent Order
Jimmy Duane Weishaar Stipulation for Consent Order Jimmy Duane Weishaar Stipulation for Consent Order
UVEST Financial Services Group, Inc., Consent Order UVEST Financial Services Group, Inc., Consent Order
ProEquities, Inc., Consent Order ProEquities, Inc., Consent Order