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Publications

E.g., 04/02/2020
E.g., 04/02/2020
03/18/2019
Executed Settlement - LPL Financial

Executed Settlement - LPL Financial SB-CO-10-18

SEC ADO
ADO

08/02/2018
Executed Settlement - JP Morgan Securities Consent Order SB-05-18

Executed Settlement - JP Morgan Securities Consent Order SB-05-18

SEC ADO
ADO

04/23/2018
Administrative Consent Agreement and Order: LPL Financial LLC

 LPL Financial LLC - Administrative Consent Agreement and Order No -SB-03-18

SEC ADO
ADO

07/03/2017
Destiny Capital Securities - Administrative Order No -SB-CO-05-15 EXECUTED: Aug-10-2016

Destiny Capital Securities - Administrative Order No -SB-CO-05-15 EXECUTED: Aug-10-2016

SEC ADO

ADO

11/22/2016
Citigroup Global Markets, Inc. Administrative Consent Order

Citigroup Global Markets, Inc. Administrative Consent Order

SEC ADO

ADO

SB-14-16
06/21/2016
Halcyon Cabot Partners, LTD. Final Order to Cease and Desist

Halcyon Cabot Partners, LTD. Final Order to Cease and Desist

SEC ADO

ADO

SB-11-16
06/10/2016
Exempt Private Fund Advisers

This order excludes certain private fund advisers from District securities licensing requirements.

SEC ADO

ADO

SB-09-16
02/03/2016
Exempt Venture Capital Advisers

This order excludes venture capital investment advisers from District securities licensing requirements.

SEC ADO

ADO

SB-08-16
05/27/2015
Steven D. Yarn and Yarn & Company, Inc. Administrative Consent Agreement and Order

Steven D. Yarn and Yarn & Company, Inc. Administrative Consent Agreement and Order

SEC ADO

ADO

SC# SB-SC-06-15
04/01/2015
J.P. Morgan Chase Securities, LLC, Administrative Order

J.P. Morgan Chase Securities, LLC, Administrative Order

SEC ADO

SB-CO-04-15

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