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Publications

E.g., 2013-05-19
E.g., 2013-05-19
07/07/2011
SB-CO-14-11
UBS Securities, LLC and UBS Financial Services, Inc.

Administrative Consent Order

SEC ADO

05/25/2011
SB-CO-11-11
JP Morgan Chase & Co.

Administrative Consent Order

SEC ADO

05/24/2011
SB-CO-01-11
Newbury Street Capital Limited Partnership

Administrative Consent Order

SEC ADO

 
04/25/2011
SB-CO-10-11
Deutsche Bank Securities, Inc.

Administrative Consent Order

SEC ADO

02/17/2011
SB-CO-03-11
RBC Capital Markets Corporation

Administrative Consent Order

SEC ADO

02/03/2011
SB-CO-06-10
Banc of America Securities LLC and Banc of America Investment Services, Inc.

Administrative Consent Order 

SEC ADO

01/03/2011
SB-CO-05-10
Merrill Lynch, Pierce, Fenner & Smith Inc.

Administrative Consent Order

SEC ADO

04/02/2010
SB-CO-02-10
Citigroup Global Markets, Inc. (CGMI)

Adminstrative Consent Order

SEC ADO

 
03/12/2010
IB-RF-02-10
Group Hospitalization and Medical Services, Inc. (GHMSI)

Group Hospitalization and Medical Services, Inc.,
Rate Filing

Individual Non-Medigap PPO/Blue Preferred Underwritten Saver Plan

INS ADO...
09/16/2009
SB-09-02
Wachovia Securities, LLC and Wachovia Capital Markets, LLC

Administrative Consent Order

SEC ADO

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