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Publications

E.g., 07/26/2017
E.g., 07/26/2017
09/20/2013
Berg Faircloth Investment Advisors Corp. and Ricky Landon Faircloth

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.

Merrill Lynch, Pierce, Fenner and Smith, Inc.

SEC ADO

SB-05-13
07/11/2013
Preston Wealth Management, LLC and Alexander Preston Cole

Preston Wealth Management, LLC and Alexander Preston Cole

SEC ADO

SB-NOI-10-13
05/30/2013
SB-CO-03-13
LFC Securities, LLC 
 
SEC ADO
 
01/10/2013
Morgan Asset Management Inc. and Morgan Keegan and Company Inc.

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

SEC ADO

SB-CO-12-12
12/20/2012
Order Extending Temporary Exemption of “Exempt Reporting Advisers” from the Definition of “Investment Adviser” in the DC Securities Act of 2000

Order Extending Temporary Exemption of “Exempt Reporting Advisers” from the Definition of “Investment Adviser” in the DC Securities Act of 2000

...

SB-01-13
11/27/2012
ProEquities Administrative Consent Order

ProEquities Administrative Consent Order

SEC ADO

SB-CO-16-12
10/11/2012
Bankers Life and Casualty Co. and BLC Financial Services, Inc.

Administrative Consent Order

SEC ADO

 
SB-CO-14-12
10/09/2012
E*Trade Financial, LLC

Administrative Consent Order SB-CO-17-12

SEC ADO

 
SB-CO-17-12
07/27/2012
SB-CO-07-12 Perseus LLC

SEC ADO

SB-CO-07-12

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