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

Friday, October 20, 2023

Categories: Enforcement Actions

Order: Ireland & Sando LLC, and Michael J. Rydell

Thursday, July 27, 2023

Categories: Enforcement Actions

Cease and Desist Order, Notice of and Order for Civil Penalties, Order for Rescission, and Notice of Right to Request a Hearing

Securities Commissioner orders Ireland & Sando and Michael J. Rydell to cease and desist from the sale of unregistered securities and acting as an unregistered securities agent and investment adviser representative

Thursday, July 27, 2023

Categories: Enforcement Actions

Securities Commissioner orders Bradley J. Stroup and AMS Holdings to cease and desist from the sale of unregistered securities

Wednesday, July 19, 2023

Categories: Enforcement Actions

AMS Holdings LLC, and Bradley J. Stroup

Wednesday, July 19, 2023

Categories: Enforcement Actions

Cease and Desist Order, Notice of Civil Penalties, Order for Rescission, and Notice of Right to Request a Hearing

North Dakota Securities Department Joins Multiple States in $10 Million Settlement with Robinhood for Failing Investors

Wednesday, July 12, 2023

Categories: Enforcement Actions

Robinhood Financial LLC

Wednesday, July 12, 2023

Categories: Enforcement Actions

Administrative Consent Order

Agridime LLC, a Texas limited liability company, and Joshua Link

Thursday, May 25, 2023

Categories: Enforcement Actions

Cease and Desist Order, Notice of Civil Penalty, and Notice of Right to Request a Hearing

Cattle Company Ordered to Stop Selling Unregistered Securities

Thursday, May 25, 2023

Categories: Enforcement Actions

Securities Commissioner orders Michael Kuntz, National Sports Opportunity Partners, Jeremy L. Carlson, and Jamieson Capital Financial to cease and desist from sale of over $25 million in unregistered securities and misappropriation of investor funds

Monday, April 24, 2023

Categories: Enforcement Actions

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