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RBC Capital Markets, LLC - Consent to Entry of Order, Administrative Consent Order

Friday, September 27, 2013

Categories: Enforcement Actions

Edwin Brent Lundgren - Order Refusing Registration as an Agent

Friday, September 20, 2013

Categories: Enforcement Actions

Edwin Brent Lundgren - Order to Summarily Postpone the Approval of Respon, Notice of Civil Penalty, Order Refusing Registration as an Agent, Order for Rescission, Notice of Right to Request Hearing

Tuesday, August 13, 2013

Categories: Enforcement Actions

Peachtree Partners, Ira J. Gaines - Stop Order Summarily Suspending the Offer and Sale, Notice of Right to Request Hearing

Tuesday, June 11, 2013

Categories: Enforcement Actions

Peachtree Partners, Ira J. Gaines - Order to Suspend Securities Registration, Notice of Right to Request Hearing

Tuesday, May 14, 2013

Categories: Enforcement Actions

Inland National Securities, Inc., David Theusch - Consent Order

Tuesday, April 16, 2013

Categories: Enforcement Actions

Roman Novak, Radoslav Novak, Inter Reef Ltd., Profitable Sunrise - Cease and Desist Order, Notice of Civil Penalty, Order for Rescission, Notice of Right to Request Hearing

Thursday, March 14, 2013

Categories: Enforcement Actions

Impact Energy, LLC, Eugene L. McArthur, Jr., Mike Ladue, Lynne Hanson - Consent Order

Tuesday, February 26, 2013

Categories: Enforcement Actions

UVEST Financial Services Group, Inc. - Consent Order

Monday, November 26, 2012

Categories: Enforcement Actions

ProEquities, Inc. - Consent Order

Friday, October 19, 2012

Categories: Enforcement Actions

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