Dec 14
2012

Order No. REG12-CEN-02

In the Matter of the Application for Investment Adviser Representative Registration of David Bruce Prilliman: Reprimand

Dec 14
2012

Order No. REG12-CEN-01

In the Matter of the Application for Investment Adviser Representative Registration of Gary Martin Borsch: Reprimand

Nov 16
2012

Order No. IC12-CAF-20

In the Matter of the Dealer Registration of IMS Securities Inc.: Reprimand, Fine

Oct 22
2012

Order No. IC12-REV-18

In the Matter of the Investment Adviser Registration of Duncan Private Wealth Management LLC and the Investment Adviser Representative Registration of Donovan Colin Duncan: Registrations Revoked

Oct 11
2012

Order No. ENF-12-CDO-1720

In the Matter of Global Eagle Media Inc., RMB International Distribution Inc., Waverider International LLC, and Bruce F. Brown: Agreed Cease and Desist Order

Sep 26
2012

Order No. IC12-SUS-19

In the Matter of the Investment Adviser Registration of Dennis Tate Brock D/B/A B&F Investment Strategies: Suspension

Sep 12
2012

SOAH Docket No. 312-13-0128

In the Matter of the Investment Adviser Registration of Duncan Private Wealth Management LLC and the Investment Adviser Representative Registration of Donovan Colin Duncan: Notice of Hearing

Sep 10
2012

SOAH Docket No. 312-13-0090

In the Matter of the Agent and Investment Adviser Representative Registrations of Jason Allen D'Amato: Notice of Hearing

Sep 5
2012

Order No. IC12-CAF-16

In the Matter of UVEST Financial Services Group Inc.: Consent Order, Fine

Sep 5
2012

Order No. IC12-CAF-14

In the Matter of Bankers Life and Casualty Company and BLC Financial Services Inc: Consent Order, FIne

Jul 20
2012

Order No. ENF-12-CDO-1718

In the Matter of Ecoenergy Group, Inc. DBA Intermodal Wealth, Intermodal Wealth, Inc., John Patrick Acord, Steven Patrick Jones, and Donald Drabik

Jul 17
2012

Order No. IC12-SUS-13

In the Matter of the Investment Adviser Representative Registration of Russell Kent Childs: Suspension

Apr 16
2012

Order No. IC12-REV-12

In the Matter of the Investment Adviser Representative Registration of Dale Lewis Stringer: Registration revoked

Apr 8
2012

Order No. REG13-CAF-02

In the Matter of the Application for Investment Adviser Representative Registration of Sharon Diane Butler: Approved, With Reprimand and Fine

Feb 29
2012

Order No. IC12-CDO-10

In the Matter of Morgan Asset Management Inc. and Morgan Keegan & Company, Inc.: Fine, Corrective Actions

Feb 23
2012

Order No. IC12-SUS-09

In the Matter of the Agent and Investment Adviser Representative Registrations of Kris Bradford Rhoden: Fine, Suspension

Feb 23
2012

Order No. IC12-SUS-08

In the Matter of the Agent and Investment Adviser Representative Registrations of Jimmy Wayne Freeman Jr.: Fine, Suspension

Feb 13
2012

Order No. IC12-CAF-07

In the Matter of the Investment Adviser Registration of Self Worth Financial Planning LLC: Reprimand, Fine

Jan 10
2012

Order No. IC12-CAF-06

In the Matter of the Dealer Registration of Chestnut Exploration Partners Inc.: Fine, Reprimand

Jan 6
2012

Order No. IC12-SUS-05

In the Matter of the Investment Adviser Registration of Dennis Tate Brock D/B/A B&F Investment Strategies: Suspension, Fine