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Missouri Securities Administrative Orders

The Missouri Securities Division has updated its list of administrative orders. This includes rescinding an order related to investment adviser examination requirements and waiving examination requirements for certain broker-dealer agents and investment advisers. Several orders for payment from the Investor Restitution Fund are also listed.

Missouri Securities Enforcement Orders and News

The Missouri Secretary of State's Securities Division has updated its website to provide access to recent enforcement orders and news. This update aims to enhance investor protection by offering a centralized location for relevant information from the Enforcement Section.

Utah Securities Enforcement FAQs

The Utah Division of Securities has published an FAQ addressing common questions regarding its enforcement processes. The FAQs cover investigation timelines, complaint filing procedures, restitution, and the possibility of testifying in court.

Maine Securities Enforcement Administrative Actions

The Maine Office of Securities and Investment Regulation provides a list of its current administrative enforcement actions and consent agreements. This page serves as a public record of regulatory actions taken against individuals and firms operating within the state's securities market.

Maine Securities Enforcement Actions

The State of Maine's Office of Securities & Investment Regulation has updated its list of civil and criminal enforcement actions. The page provides a chronological listing of past enforcement cases initiated by the state, including actions against individuals and entities for alleged securities violations.

Maine Securities Enforcement Actions and Administrative Orders

The Maine Office of Securities and Investment Regulation provides a list of its administrative orders and enforcement actions. This page serves as a central repository for these documents, including orders related to broker-dealer inspections and exemptions for private fund advisors.

The People v. Dunn - Criminal Appeal

This entry provides search results for case number A172594, identified as 'The People v. Dunn', originating from the 1st Appellate District of California. The results link to detailed case information for this criminal appeal.

Clarke v. Yu - Civil Case

The California Supreme Court has docketed a new civil case, Clarke et al. v. Yu et al. (Case No. D085636). The filing date for this case was January 28, 2025. This entry represents the initial filing of the appeal.

People v. Riggs - Criminal Case Filing

The California Supreme Court has filed a new criminal case, People v. Riggs (Case No. D085449). The filing date was October 1, 2024. This represents the initiation of a new appellate proceeding.

Clapkin v. Levin - Civil Case Filing

The California Supreme Court has received a filing for the civil case Clapkin et al. v. Levin et al. The case was filed on August 21, 2024, under appellate court case number B340606. Further details regarding the disposition, parties, and trial court information are available.