| November 28, 2018 |
Harger and Company, Inc, Matthew Bennett Harger |
Consent Order |
|
| October 2, 2018 |
LPL Financial LLC |
Consent Order |
|
| February 22, 2018 |
Eduardo Triste |
Grand Jury Indictment |
|
| November 28, 2017 |
Randall Louis Birk, Roran Enterprises |
Consent Agreement |
|
| September 18, 2017 |
Mascolo |
Consent Agreement |
|
| September 7, 2017 |
Karoke World Championships USA, LLC |
Consent Agreement |
|
| August 11, 2017 |
ACCA Enterprises, LLC.
Adrian Sanchez
Christy L. Sanchez |
Consent Order |
|
| July 28, 2017 |
Claire E. Logan |
Grand Jury Indictment |
|
| July 28, 2017 |
James W. Logan |
Grand Jury Indictment |
|
| July 14, 2017 |
Gregory Castaneda |
Grand Jury Indictment |
|
| July 14, 2017 |
Randolph Velarde |
Grand Jury Indictment |
|
| April 14, 2017 |
State Farm Opinion Letter |
|
|
| March 24, 2017 |
Guardian Group Investments and Richard Kessler |
Cease and Desist |
|
| March 15, 2017 |
William Kalinowski |
Judgment and Sentence and Transport Order to New Mexico Department of Corrections |
|
| February 18, 2016 |
Wells Fargo Investments, LLC |
Order |
|
| October 26, 2015 |
Oppenheimer Co. Inc. |
Final Settlement |
|
|
September 4, 2015
September 4, 2015 |
Karaoke World Championships
Black Gold Resources |
Summary Order to Cease and Desist and Notice of Intent to Impose Sanctions
Summary Order to Cease and Desist and Notice of Intent to Impose Sanctions |
|
|
July 28, 2015
July 9, 2015
May 4, 2015 |
Citigroup Global Markets
Darbie
Perea |
Administrative Consent Order
Notice of Contemplated Action
Conditional Discharge |
|
| March 27, 2015 |
Duke City Gladiators, Inc. |
Order Vacating Prior Cease & Desist |
|
| March 25, 2015 |
Duke City Gladiators,Inc. |
Cease and Desist Order |
|
| November 20, 2014 |
Oppenheimer |
Notice of Contemplated Action |
|
| November 20, 2014 |
BOSC, Inc. |
Notice of Contemplated Action |
|
| September 4, 2014 |
NM Suitability Standards for Public Non-Traded Offerings |
Statement of Policy |
|
| March 3, 2014 |
Morgan Asst Management and Morgan Keegan Company, Inc. |
Consent Order |
11-11-996-011 |
| March 2, 2014 |
Jerome Griggs Beery |
Cease and Desist Order |
13-09-0021 |
| January 9, 2014 |
UBS Financial Services |
Consent Order |
13-10-0000 |
| December 18, 2013 |
Voyager Financial Group, Equity Advisors, LLC and Sidney Evans |
Cease and Desist Order |
13-10-0013 |
| December 2, 2013 |
Order Exempting Private Fund Advisors from State IA Registration |
Policy Order |
|
| October 16, 2013 |
Gabriel J. Ramos, Sr. |
Consent Agreement |
11-08-0078 |
| September 11, 2013 |
William Kalinowski |
Grand Jury Indictment |
|
| June 28, 2013 |
Taos Cab and Michael North |
Final Order |
13-15-0044 |
| June 11, 2013 |
Christina Coombs |
Grand Jury Indictment |
|
| June 11, 2013 |
John Perea |
Grand Jury Indictment |
|
| June 4, 2013 |
Taos Cab and Michael North |
Cease and Desist Order |
13-15-0044 |
| April 24, 2013 |
Sandia Investment Adviser LLC |
Consent Agreement |
12-11-0022 |
| January 28, 2013 |
UVEST Financial Services Group Inc. |
Consent Agreement |
13-13-996-001 |
| January 28, 2013 |
ProEquities Inc. |
Consent Agreement |
13-13-996-002 |
| September 21, 2012 |
Gregory M. Campbell |
Grand Jury Indictment |
|
| July 25, 2012 |
Arthur Herlihy, Bruce Beckner AKA Bill Evans, Sean Curtis |
Final Order Incorporating Finding of Fact and Conclusions of Law |
12-10-059-008 |
| June 7, 2012 |
Russell J. Dils - Southwest Machinery & Equipment |
Grand Jury Indictment |
|
| March 15, 2012 |
J. William Himes |
Grand Jury Indictment |
|
| January 13, 2012 |
Michael Maxwell |
Grand Jury Indictment |
|
| January 13, 2012 |
Steven Maxwell |
Grand Jury Indictment |
|
| December 30, 2011 |
Shelby Wealth Management Co., and Bruce Fillpot |
Consent Agreement |
11-10-049-024 |
| November 15, 2011 |
Goldman, Sachs & Co. |
Consent Order |
11-11-998-003 |
| October 3, 2011 |
Raymond James & Associates, Inc., & Raymond James Financial Services, Inc. |
Administrative Consent Order |
11-11-996-015 |
| September 7, 2011 |
Savoy Travel Center LLC |
Order to Cease and Desist |
11-10-059-016 |
| February 24, 2011 |
Douglas F. Vaughan |
Arrest Warrant & Grand Jury Indictment |
|
| January 31, 2011 |
Denver Energy Exploration, LLC |
Consent Agreement |
10-10-999-015 |
| November 19, 2010 |
TD Ameritrade, Inc. |
Consent Order |
10-09-055-013 |
| July 8, 2010 |
UBS Securities, LLC and UBS Financial Services Inc. |
Consent Agreement |
10-10-037-009 |
| June 3, 2010 |
DW BBX Gunter #1B, LP |
Consent Agreement |
10-10-999-004 |
| May 24, 2010 |
Aequitas Income Opportunity Fund, LLC |
Consent Agreement |
10-10-999-007 |
| April 22, 2010 |
ACP Funds Trust |
Consent Agreement |
10-10-999-003 |
| April 22, 2010 |
Tri Global Energy, LLC |
Consent Agreement |
10-10-999-005 |
| March 29, 2010 |
Otis Gold Corp. |
Consent Agreement |
09-09-999-054 |
| February 11, 2010 |
Banc of America Securities LLC & Banc of America Investment Services, Inc. |
Consent Order |
09-09-029-069 |
| January 8, 2010 |
Credit Suisse Securities (USA) LLC |
Consent Order |
09-09-054-060 |
| January 8, 2010 |
JPMorgan Chase & Co. |
Consent Order |
09-09-999-058 |
| January 7, 2010 |
Citigroup Global Markets Inc. |
Consent Order |
09-09-999-063 |
| January 6, 2010 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Consent Order |
09-09-050-066 |
| January 4, 2010 |
Option Income Fund, LLC |
Consent Agreement |
09-09-999-056 |
| January 4, 2010 |
Morgan Stanley & Co. Incorporated |
Consent Order |
09-09-999-057 |
| January 4, 2010 |
RBC Capital Markets Corporation |
Consent Order |
09-09-999-064 |
| November 17, 2009 |
Hew-Tex Oil and Gas Corporation; Hew-Tex/Cape Nome Joint Venture |
Consent Agreement |
09-09-999-048 |
| November 9, 2009 |
SFM Global Strategies, L.P. |
Consent Agreement |
09-09-999-051 |
| November 9, 2009 |
SFM Capital Markets, L.P. |
Consent Agreement |
09-09-999-052 |
| October 30, 2009 |
Pangea Pictures Corporation |
Consent Agreement |
09-09-999-053 |
| October 22, 2009 |
Hew-Tex Oil and Gas Corporation; Hew-Tex/Bandera 2 Joint Venture |
Consent Agreement |
09-09-999-045 |
| October 18, 2009 |
Geronimo Wind Energy, LLC |
Consent Agreement |
09-09-999-049 |
| October 15, 2009 |
Choice Exploration, Inc.; Choice Vicksking-Wildi #1 Drilling Program |
Consent Agreement |
09-09-999-047 |
| October 2, 2009 |
Barrow, Hanley, Mewhinney & Strauss High Yield Fixed Income Fund |
Consent Agreement |
09-09-999-044 |
| August 27, 2009 |
Prosper Marketplace, Inc. |
Consent Order |
09-09-037-034 |
| August 18, 2009 |
Wachovia Securities, LLC; and Wachovia Capital Markets, LLC |
Consent Order |
09-09-007-040 |
| July 28, 2009 |
Icon Aircraft, Inc. |
Consent Agreement |
09-09-999-032 |
| June 22, 2009 |
Zoom Focus Eyewear, LLC |
Consent Agreement |
09-09-999-021 |
| April 17, 2009 |
Taurus Newbury Street Limited Partnership |
Consent Agreement |
09-09-999-013 |
| March 30, 2009 |
RCP Georgetown Mixed-Use land, Ltd. |
Consent Agreement |
09-09-999-012 |
| February 10, 2009 |
Regal Bennet #1 Joint Venture |
Consent Agreement |
09-09-999-002 |