Securities Enforcement Actions

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TitleOrder#Issue Date
collapse Agreement-CategoryCease and Desist Orders
Wellington Sports Club, LLCLS-19-350410/28/2019
Welscorp, Inc.LS-19-350410/28/2019
Thomas J. BeckerLS-19-350410/28/2019
John ThomasLS-19-350410/28/2019
Douglas MartinLS-19-350410/28/2019
Lougel Fadio LLC Mining Company (SL) LimitedLS-18-31352/21/2019
Arthur M. "Mac" ClementsLS-18-31352/21/2019
Amadou LyLS-18-31352/21/2019
Eduardo G. DiazLS-18-300512/10/2018
Michael B. AndersonLS-17-260611/2/2017
B&B Energy of New OrleansLS-17-24366/21/2017
David A. BrewerLS-17-24366/21/2017
Richard RaffLS-17-22686/19/2017
JWM VenturesLS-16-20245/22/2017
Angeles Fields Partners, LLCLS-16-20245/22/2017
John McDonaldLS-16-20245/22/2017
Solie Grace, LLCLS-16-20245/22/2017
collapse Agreement-CategoryCease and Desist Orders (Summary)
Brant RayLS-15-16064/12/2017
collapse Agreement-CategoryConsent Agreements and Consent Orders
SameDay Security, Inc.LS-15-14926/16/2016
collapse Agreement-CategoryConsent Orders
Harold Todd YatesLS-19-371010/22/2019
Nathan G.KatzLS-19-34684/2/2019
Sowell Management Services & T. Kenneth Watts, Jr.LS-17-25821/24/2019
Beyond Capital Financial Management Group, Inc.LS-17-25821/4/2019
T. Kenneth Watts, Jr.LS-17-25821/4/2019
LPL Financial LLCLS-17-228812/12/2018
Frank ZitoLS-18-3126-211/7/2018
Frank ZitoLS-18-312611/2/2018
Donald BlackwellLS-18-320610/12/2018
LPL Financial LLCLS-17-276810/11/2018
Jon R. MyersLS-17-26182/22/2018
American WealthLS-16-21187/5/2017
William D. ChancellorLS-17-22916/21/2017
Steven K. SavellLS-15-15307/26/2016
collapse Agreement-CategoryMiscellaneous Orders
Brookshire Securities CorporationS-07-03624/29/2009
Brookstreet Securities CorporationS-07-0647, S-07-0657, S-07-06583/7/2008
collapse Agreement-CategoryOrders
SoBell Corp., BAIC, Inc., Voyager Financial Group, LLC and Andrew Gamber, IndividuallyLS-16-18912/23/2017
Stifel, Nicolaus & Company, Incorporated, CRD #793; and Lanis Dale Noble, CRD #858008LS-14-0977-A and -B; LS-15-1435; LS-15-14631/4/2017
Hilary J. Zimmerman CRD #2191841LS-12-0454-C11/16/2016
Morgan Stanley Smith Barney LLCLS-12-04548/9/2016
Frederick M. AbrahamLS-15-14345/19/2016
Fred E. BristerLS-12-0405-B5/19/2016
Steven M. WyattLS-12-0454-A3/31/2016
LPL Financial, LLCLS-15-149711/24/2015
Nick L. Morgan LS-15-13999/8/2015
Citigroup Global Markets Inc.LS-15-13768/6/2015
LPL Financial, LLCLS-15-13627/6/2015
Leo Thomas Landry, IIILS-15-13977/6/2015
Eduardo Guillermo Diaz LS-14-05431/27/2015
Marshall Wolfe and Jack HarringtonS-09-01871/21/2015
Ralph H. Moore, JrLS-14-102212/18/2014
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