2011 Administrative Actions
|
12/15/2011
Press Release
|
In the Matter of Raymond James & Associates, Inc. (“Respondent RJA”) and Raymond James Financial Services, Inc.
Stipulation for Consent Order
Consent Order
|
|
8/25/2011
Press Release
|
In the Matter of O&G Securities, Inc., Mary Martha Simpson, and Donald Allen Wood, Case Number XY 2011-003
Notice of Charges
Stipulation for Consent Order-Donald Allen Wood
Consent Order-Donald Allen Wood
Stipulation for Consent Order - O&G Securities, Inc. and Mary Martha Simpson
Consent Order - O&G Securities, Inc. and Mary Martha Simpson
|
|
6/3/2011
|
In the Matter of Michael G. Eathorne, Case No. XY 2011-002
Notice of Charges
Final Order
|
|
5/22/2011
|
In the Matter of Tony M. Hartman, Case No. XY 2011 – 001
Notice of Charges
Amended Notice of Charges adding VFG Securities, Inc., and VFG Advisors, Inc., as Respondents
Stipulation for Consent Order – VFG Securities And VFG Advisors
Consent Order – VFG Securities And VFG Advisors
Stipulation for Consent Order and Consent Order – Tony Hartman
|
|
3/14/2011
Press Releas
|
In the matter of Morgan Stanley Co. Incorporated
Stipulation for Consent Order
Consent Order
|
|
1/12/2011
Press Release
|
In the matter of Goldman, Sachs & Co.
Stipulation for Consent Order
Consent Order regarding Auction Rate Securities
|
