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Department of Insurance, Securities and Banking
 

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Publications

E.g., 04/13/2021
E.g., 04/13/2021
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

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