disb

Department of Insurance, Securities and Banking
 

DC Agency Top Menu


The Department is currently conducting business via telework and will not be able to address consumer issues in person. Read more >> 
Mayor Bowser Issues Stay at Home Order

 

-A +A
Bookmark and Share

Publications

E.g., 04/02/2020
E.g., 04/02/2020
03/18/2019

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

SEC ADO
ADO

08/02/2018

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

SEC ADO
ADO

04/23/2018

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

SEC ADO
ADO

11/22/2016

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

SEC ADO

ADO

SB-11-16
06/10/2016

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

SEC ADO

ADO

SB-09-16
02/03/2016

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

SEC ADO

ADO

SC# SB-SC-06-15
04/01/2015

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

SEC ADO

SB-CO-04-15

Pages

Subscribe to Publications List