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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.

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.

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.

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.

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.

Fund II Consent Order and $2,500 Penalty

The New Hampshire Bureau of Securities Regulation has issued a consent order against Fund II, a series of Cambrian VC, LP, for late notice filing of securities sales. Fund II has agreed to pay a $2,500 penalty and cease and desist from further violations.