Enforcement Actions Administrative

Jun 15
2010

Order No. IC10-CAF-14

In the Matter of the Dealer Registration of Lincoln Financial Securities Corp.: Reprimand, Fine

Jun 15
2010

Order No. ENF-10-CDO-1690

In the Matter of Aquatic International Networking, LLC D/B/A The Finance Shop, and Michael Lynn McQuade: Agreed Cease and Desist Order

May 13
2010

Order No. ENF-10-CDO-1689

In the Matter of Michael A. Lacoco: Agreed Cease and Desist Order

May 10
2010

Order No. IC10-CAF-13

In the Matter of the Agent Registration of Leon Parvizian: Reprimand; Refusal to Furnish Information to Commissioner

May 3
2010

Order No. IC10-CAF-12

In the Matter of the Dealer Registration of Citigroup Global Markets Inc.: Fine, Reprimand

Apr 8
2010

Order No. IC10-CAF-11

In the Matter of the Dealer Registration of Deutsche Bank Securities Inc: Fine; Repurchase of Auction Rate Securities

Apr 7
2010

Order No. ENF-10-1688

In the Matter of Martin Graham Tyson Sr.: Agreed Cease and Desist Order

Apr 7
2010

Order No. REG10-CAF-02

In the matter of the Application for Investment Adviser Representative Registration of Joseph Leonard Klingen: Reprimand, Fine; Registration Granted

Apr 5
2010

Order No. ENF-10-CDO-1687

In the Matter of AGAP Life Offerings, LLC; Charles D. Madden; and Matthew Searle: Emergency Cease and Desist Order

Apr 1
2010

Order No. IC10-SUS-10

In the Matter of the Agent and Investment Adviser Representative Registrations of Russell Kent Childs, the Dealer Registration of Cambridge Legacy Securities L.L.C., and Cambridge Legacy Advisors, Inc.