Publications
07/15/2021
DISB v. Grid 202 Partners Conditional Settlement Agreement
SEC ADO
ADO
07/15/2021
Capital Mgmt Group Final Order Default Judgment 1
SEC ADO
ADO
01/21/2021
Final Solium Financial Services
SEC ADO
ADO
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
07/03/2017
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
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
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