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Publications

E.g., 2016-07-23
E.g., 2016-07-23
03/12/2014

KA Associates, Inc. Administrative Consent Agreement and Order

SEC ADO

01/10/2014

RBC Capital Markets, LLC

SEC ADO...

SB-CO-12-13
12/20/2013

This order provided temporary relief from the registration requirements for “exempt reporting advisers.” The order was in effect from January 1 through December 31, 2014.

SB-17-13
09/20/2013

Berg Faircloth Investment Advisors Corp. and Ricky Landon Faircloth

SEC ADO

SB-CO-02-13
09/10/2013

Merrill Lynch, Pierce, Fenner and Smith, Inc.

SEC ADO

SB-05-13
07/11/2013

Preston Wealth Management, LLC and Alexander Preston Cole

SEC ADO

SB-NOI-10-13
05/30/2013
LFC Securities, LLC 
 
SEC ADO
 
01/10/2013

Morgan Asset Management Inc. and Morgan Keegan and Company Inc.

SEC ADO

SB-CO-12-12
11/27/2012

ProEquities Administrative Consent Order

SEC ADO

SB-CO-16-12

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