SD Securities Admin Actions

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.