2010 Administrative Actions

7/29/2010

 

Press Release

 

In the matter of Wells Fargo Investments, LLC.
 

Stipulation and Consent Order
 

 

 7/21/2010

 

Press Release

Press Release 2

 

In the matter of E*Trade Securities, LLC
 

 

6/29/2010

 

 

 

In the matter of Triton Financial

Stipulation for Consent Order
Consent Order

 

5/24/2010

 

Press Release

 

 

In  the Matter of TD Ameritrade, Inc.

 

Stipulation for Consent Order and Consent Order regarding auction rate securities

 

5/12/2010

Press Release

 

In the Matter of UBS Securities, LLC and UBS Financial Services Inc.

Stipulation for Consent Order
Consent Order

 

4/12/2010

Press Release

 

In the matter of John B. Guyette:

Stipulation for Consent Order
Consent Order

 

2/1/2010

 

Press Release

 

In the Matter of Merrill Lynch Pierce Fenner & Smith Incorporated

 

Stipulation for Consent Order and Consent Order regarding Client Associates
 

1/20/2010

 

Press Release

 

 

In the Matter of Deutsche Bank Securities, Inc.

 

Stipulation for Consent Order regarding auction rate securities
Consent Order