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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

Bankers Life and Casualty Company and BLC Financial Services, Inc. - Consent Order

Wednesday, October 17, 2012

Categories: Enforcement Actions

First Call Ventures, LLC d/b/a First Call Movers, Thomas M. White - Order to Vacate, Cease and Desist Order

Tuesday, September 25, 2012

Categories: Enforcement Actions

Caldwell International Securities Corporation - Consent Order, Consent to Entry of Order

Monday, August 27, 2012

Categories: Enforcement Actions

SECURITIES COMMISSIONER ISSUES CEASE AND DESIST ORDER - New Hi-Tech Oil & Gas Discoveries, LLC

Wednesday, August 15, 2012

New Hi-Tech Oil & Gas Discoveries, LLC, Dennis W. Stutes - Stop Order Summarily Suspending the Offer and Sale

Monday, August 13, 2012

Categories: Enforcement Actions

SECURITIES COMMISSIONER ISSUES CEASE AND DESIST ORDER - Freedom USA Investing, LLC

Tuesday, July 31, 2012

Freedom USA Investing, LLC, James Young - Cease and Desist Order

Tuesday, July 31, 2012

Categories: Enforcement Actions

Scott L. Biggs - Cease and Desist Order

Tuesday, July 3, 2012

Categories: Enforcement Actions

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