Securities & Markets

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.

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.

Summary order and hearing notice for Baldwin

Summary order and hearing notice for Baldwin

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.

Nevada Final Order to Cease and Desist against Ching Yit Lim, Susan Su, B9 Crypto

The Nevada Securities Division issued a Final Order to Cease and Desist against Ching Yit Lim, Susan Su, and B9 Crypto for alleged violations of the Nevada Uniform Securities Act. The order makes final a prior summary order after the respondents failed to request a hearing.

Final Cease and Desist Order against Multigreen Properties, LLC and Randy C. Norton

The Nevada Secretary of State Securities Division issued a final cease and desist order against Multigreen Properties, LLC and Randy C. Norton. The order became final as the respondents failed to request a hearing within the statutory timeframe following a prior summary order.

Global Macro Asset Management LLC and Donald Cody Fined for Fee Disclosure Violations

The Nevada Securities Division has fined Global Macro Asset Management LLC and Donald Cody $2,950.23 for failing to properly disclose fees, resulting in client overcharges. The order resolves the administrative investigation into these activities.

RJJ Pasadena Securities, Inc. - Consent Order and Penalty

The Nevada Securities Division has issued a consent order against RJJ Pasadena Securities, Inc. and Nusheen Rena Javadizadeh. The order includes a $21,000 penalty for violations including failure to properly disclose fees and obtain annual client fund verification.

Austen Access Fund Ordered to Cease and Pay $2,500 Penalty

The New Hampshire Bureau of Securities Regulation has issued a consent order against Austen Access Fund, LP. The fund is ordered to cease and desist from further violations and pay a $2,500 penalty for filing a notice of exemption more than one year after its first sale of securities in the state.

NH Consent Order: Redwood Private Wealth, LLC and Thomas Space - Unsuitable Options Trades

The New Hampshire Bureau of Securities Regulation has issued a consent order against Redwood Private Wealth, LLC and Thomas Space for unsuitable options trades that resulted in an $81,426 loss for a client. The order settles the matter without admission of guilt and includes sanctions.