State Securities

New Mexico Joins $19M Multistate Settlement Over Excessive Commissions

New Mexico has joined a multistate $19 million settlement with Edward Jones, LPL Financial, RBC, Stifel, and TD Ameritrade for charging excessive commissions on small-dollar equity transactions. The firms will provide restitution to affected customers and pay $175,000 to New Mexico.

Edward Jones Multistate Settlement for Supervisory Failures

The New Mexico Securities Division joined a $17 million multistate settlement with Edward Jones over supervisory failures related to charging front-load commissions on Class A mutual fund shares and subsequent movement to fee-based advisory accounts. Edward Jones will pay approximately $320,000 to each of the 50 states, D.C., and territories.

Illinois Securities Department Administrative Actions Search

The Illinois Securities Department has launched a new online search tool for administrative actions, currently covering data from 2003 to the present. The tool is under development, with additional years to be added. Contact information for obtaining further assistance or copies of documents is provided.

Illinois Securities Department Administrative Actions Search

The Illinois Securities Department has launched a new online search tool for administrative actions, currently covering data from 2003 to the present. The tool is under development, with additional years to be added. Contact information is provided for obtaining documents not yet available online.

Illinois Securities Administrative Actions Search Tool

The Illinois Securities Department has launched a new administrative actions search tool, currently under development. The tool allows users to search for actions from 2003 to the present, with additional years to be added. Contact information for the department is provided for further assistance.

Illinois Securities Administrative Actions Search

The Illinois Securities Department has launched a new online search tool for administrative actions dating back to 2003. The tool is currently under development, with additional years to be added as the project progresses. Users can search by respondent name or file number.

Illinois Securities Department Administrative Actions Search Tool Development

The Illinois Securities Department is developing a new administrative actions search tool. The tool currently allows searches for actions between 2003 and the present, with plans to add more years. Contact information is provided for further assistance.

Maryland Financial Enforcement Actions 2024

The Maryland Department of Labor has published its 2024 financial enforcement actions, detailing actions against collection agencies, mortgage lenders, and other financial service providers. These actions include final orders and settlement agreements, with the latest listed on December 27, 2024.

Maryland Financial Regulation Enforcement Actions 2023

The Maryland Department of Labor has published its 2023 enforcement actions related to financial regulation. These actions include summary orders to cease and desist and settlement agreements and consent orders against various entities for violations in mortgage lending, credit services, and money transmission.

Maryland Financial Regulation Enforcement Actions 2022

The Maryland Department of Labor's Division of Financial Regulation has published a list of enforcement actions taken in 2022. These actions include consent orders and settlement agreements related to banking, mortgage assistance relief services, consumer lending, debt management, and mortgage loan originating.