Securities & Markets

Edward D. Jones & Co., L.P. - Consent Order

The North Dakota Securities Department has issued a consent order against Edward D. Jones & Co., L.P. The order details alleged violations and requires the firm to take specific corrective actions. This action stems from an enforcement investigation by the department.

Edward Jones Faces $17M Multi-State Enforcement Settlement

The North Dakota Securities Department joined a $17 million multi-state settlement with Edward Jones over supervisory failures related to front-load commissions on Class A mutual fund shares. Edward Jones will pay approximately $320,000 to each participating state and Washington D.C., the U.S. Virgin Islands, and Puerto Rico.

North Dakota Joins $106M Vanguard Settlement for Investors

North Dakota has joined a multi-state settlement with Vanguard Marketing Corporation and The Vanguard Group Inc., resulting in a $106 million payment to investors. The settlement addresses failures to supervise registered persons and disclose potential tax consequences to investors following a change in investment minimums for certain retirement funds.

EPIC Management, Todd Berning - Stop Order Issued by ND

The North Dakota Securities Department has issued a stop order against EPIC Management, LLC and Todd Berning, requiring them to immediately cease offering or selling membership interests. This action is due to concerns about the company's financial condition, transparency, and operations, and aims to protect investors.

Tennessee Securities Division Consent Orders

The Tennessee Securities Division has updated its list of consent orders, adding new actions for 2026 and 2025. These orders typically involve enforcement actions against individuals and firms for alleged violations of state securities laws.

Tennessee Securities Division Initial Enforcement Orders

The Tennessee Securities Division has published a new section detailing its initial enforcement orders. This resource provides information on past enforcement actions taken by the division to protect investors and ensure compliance with state securities laws.

Vermont Securities Enforcement and Consent Orders

The Vermont Department of Financial Regulation has published a list of recent securities enforcement and consent orders. These orders involve various financial advisory firms and broker-dealers, detailing stipulations and agreements related to their operations within the state.

Vermont DFR Securities Bulletins and Guidance

The Vermont Department of Financial Regulation has issued Securities Bulletin S-2025-02, providing guidance for investment advisers and broker-dealers on complying with state requirements for protecting client financial information. This bulletin outlines specific measures firms must implement to safeguard sensitive client data.

Vermont Securities Regulations

The Vermont Department of Financial Regulation has updated its securities regulations. This revision pertains to Regulation S-2016-01, with a revised effective date of December 16, 2021.

Missouri Securities Division Consent Orders Index

The Missouri Securities Division has published an index of recent consent orders and other enforcement actions. These orders involve various financial firms and individuals, with dates signed ranging from July 2024 to January 2026. The index provides case numbers and links to official copies of the orders.