Securities & Markets

Budget Finance Co. Ordered to Reopen Business

The West Virginia Division of Financial Institutions has ordered Budget Finance Company to reopen its business by November 30, 2015. The company was found to have closed indefinitely without authorization, potentially violating licensing regulations.

WV DFI Approves Bank Acquisition

The West Virginia Division of Financial Institutions has approved an application by Citizens Bank of West Virginia, Inc. to acquire Miners and Merchants Bank. This approval marks the final step in the acquisition process.

Stifel Nicolaus Consent Order and Monetary Penalty

The South Dakota Division of Securities has issued a consent order against Stifel, Nicolaus & Company, Inc. The order includes a monetary penalty for alleged violations of state securities laws. This action addresses specific compliance failures identified by the regulator.

Edward D. Jones & Co., LP Consent Order and Penalty

The South Dakota Division of Securities has issued a consent order and penalty against Edward D. Jones & Co., LP. The order addresses alleged violations of state securities laws and includes a financial penalty.

LPL Financial LLC Consent Order and Monetary Penalty

The South Dakota Division of Securities has issued a consent order against LPL Financial LLC, imposing a monetary penalty. This action addresses alleged violations of state securities laws and regulations by the financial services firm.

SWBC Investment Services LLC Consent Order and Penalty

The South Dakota Division of Securities has issued a consent order and penalty against SWBC Investment Services LLC. The order addresses violations related to the sale of unregistered securities and imposes a financial penalty.

RBC Capital Markets LLC Consent Order and Penalty

The South Dakota Division of Securities issued a consent order and penalty against RBC Capital Markets LLC for alleged violations of state securities laws. The firm agreed to pay a penalty of $50,000 and implement enhanced compliance measures.

Summary order and hearing notice for Baldwin

Summary order and hearing notice for Baldwin

Securities Enforcement Order - Pre-Trial Conference

The Oklahoma Securities Commission has issued an order granting a joint motion for a pre-trial conference in enforcement case CJ-25-2051. This order pertains to the procedural scheduling of the case, indicating ongoing legal proceedings.

Securities Enforcement Journal Entry

The Oklahoma Securities Department has issued a journal entry related to enforcement case CJ-25-2051. This entry documents a procedural step in an ongoing enforcement action.