Dec 10
2015

Order No. IC15-SUS-05

In the Matter of the Investment Adviser Registration of Marvin M. Slater DBA Marvin M. Slater & Associates: Cease and Desist; Suspension

Dec 10
2015

Order No. IC15-CAF-06

In the Matter of the Investment Adviser Representative Registration of Michael Reed Hall: Cease and Desist; Fine; Reprimand

Dec 1
2015

Order No. IC15-CDO-04

In the Matter of the Dealer Registration of LPL Financial LLC: Consent Order

Oct 21
2015

Order No. REG15-SUS-02

In the Matter of the Application for Investment Adviser Representative Registration of Jetmir Ahemeti: Reprimand, Suspension, Fine

Sep 3
2015

Order No. IC15-CAF-03

In the Matter of the Dealer Registration of WFG Investments, Inc.: Reprimand, Fine

Aug 18
2015

Order No. IC15-CAF-02

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

Jul 27
2015

Order No. IC15-CAF-01

In the Matter of the Dealer Registration of TD Ameritrade Inc.: Reprimand, Fine

Jun 22
2015

Order No. ENF-15-CDO-1739

In the Matter of Petro-San Resources LLC and Sean Patrick Riley: Emergency Cease and Desist Order

Apr 8
2015

Order No. REG15-SUS-01

In the Matter of the Application for Investment Adviser Representative Registration of Bruce William Schoendorf: Granted with Reprimand, Suspension

Mar 25
2015

Order No. ENF-15-CDO-1738

In the Matter of Lonestar Mineral Assets LLC AKA Lone Star Mineral Assets LLC and Kenneth Wayne McKay: Emergency Cease and Desist Order