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-08

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

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 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

Dec 22
2011

Order No. IC12-CAF-04

In the Matter of the Dealer Registration of BNY Mellon Capital Markets LLC: Consent Order, Fine

Nov 28
2011

Order No. ENF-11-CDO-1715

In the Matter of Elevated Sound Productions Joint Venture Two LLC and Andrew Calvo: Agreed Cease and Desist Order

Nov 14
2011

Order No. IC12-SUS-02

In the Matter of the Agent and Investment Adviser Representative Registrations of Richard Henry Elizondo: Suspension

Oct 20
2011

SOAH Docket No. 312-11-8406

In the Matter of the Investment Adviser Representative Registration of Brian Anthony Bjork: Registration Revoked

Oct 13
2011

SOAH Docket No. 312-11-8406

In the Matter of the Investment Adviser Registration of Select Asset Management LLC: Registration Revoked

Oct 12
2011

Order No. ENF-11-CDO-1709

In the Matter of Robert J. Quintana D/B/A Southern Pump and Pipeline Services, and Robert J. Quintana, Individually: Agreed Cease and Desist Order

Oct 10
2011

SOAH Docket No. 312-12-1296

In the Matter of the Agent and Investment Adviser Registrations of Richard Henry Elizondo: Notice of Hearing

Oct 4
2011

Order No. REG11-CAF-02

In the Matter of the Applications for the Investment Adviser Registration of Burrus Financial Services, Inc. d/b/a Burrus and the Investment Adviser Representative Registration of Jeffrey Burrus Bland: Disciplinary Order

Sep 14
2011

SOAH Docket No. 312-12-0362

In the Matter of the Application for Agent Registration of Gregory Frank Estes: Notice of Hearing

Aug 16
2011

Order No. ENF-11-CDO-1706

In the Matter of Prevail Energy Inc. and Elliott Leavell: Agreed Cease and Desist Order

Aug 1
2011

SOAH Docket No. 312-11-8406

In the Matter of the Investment Adviser Registration of Select Asset Management LLC, and the Investment Adviser Representative Registration of Brian Anthony Bjork.

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