Enforcement Actions Administrative

In the Matter of Agent Registration of Michael Delao: Suspended and Fined

In the Matter of the Dealer Registration of Madison Avenue Securities, LLC: Fine & Undertaking 

In the Matter of Ellie Soto aka Ellie Palma aka Ellie Ramos: Agreed Order

In the Matter of Horatiu Charlie Caragaceanu aka Horatiu Caraceanu, Horatu Cara and Charlie Caragaceanu; The Shark of Wall Street; and Hedge4.ai: Emergency Cease and Desist Order 

In the Matter of the Agent Registration of Paul Prasifka: Reprimanded and fined

In he Matter of Nexo Capital, Inc.: Consent Order

In the Matter of Robinhood Financial, LLC: Consent Order

In the Matter of YieldTrust.ai and Stefan Ciopraga: Emergency Cease and Desist Order

In the Matter of the Dealer Registration of Penrod Financial Services, Inc.: Reprimanded and Fined

In the Matter of the Investment Adviser Representative Registration of Clifton Wayne Myers: Suspension