TAG Mobility, LLC - Designation as Eligible Telecommunications Carrier

The Indiana Utility Regulatory Commission has approved TAG Mobility, LLC d/b/a TAG Mobile's application to be designated as an Eligible Telecommunications Carrier (ETC). This designation allows TAG Mobile to receive federal Universal Service Fund support for its Lifeline wireless services in Indiana.

Duke Energy and UDWI REMC Service Area Boundary Modification

The Indiana Utility Regulatory Commission approved a joint petition from Duke Energy Indiana, LLC and Utilities District of Western Indiana Rural Electric Membership Corporation to modify their service area boundaries in Monroe County, Indiana. The modification aims to improve service efficiency for a specific customer location.

CenterPoint Energy Indiana South seeks electric rate adjustment approval

CenterPoint Energy Indiana South has petitioned the Indiana Utility Regulatory Commission for approval to adjust its electric service rates through its Tax Adjustment Rider (TAR). The adjustment seeks to pass back eligible federal and state excess accumulated deferred income tax and production tax credits associated with renewable energy projects for the period of March 2026 through February 2027.

AEP Indiana Michigan Transmission Company Financing Program Approval

The Indiana Utility Regulatory Commission has approved AEP Indiana Michigan Transmission Company, Inc.'s petition to issue and sell up to $750 million in long-term debt securities. This approval authorizes the financing program through December 31, 2027.

Patrick Beeson Appeal of Citizens Water Service Provision Decision

The Indiana Utility Regulatory Commission (IURC) is reviewing an appeal filed by Patrick Beeson regarding a decision by its Consumer Affairs Division (CAD) concerning Citizens Water's lead line replacement program. The CAD had previously ruled in favor of Citizens Water, a decision Mr. Beeson is contesting.

Public Comment on Crossroads Utilities Wastewater Rate Increase

The Indiana Utility Regulatory Commission is seeking public comment on a wastewater rate increase proposed by Crossroads Utilities, LLC. A field hearing will be held on March 2, 2026, in Lawrenceburg, Indiana, for ratepayers to voice their opinions.

Public Comment on Bloomington Water Rates and Financing

The Indiana Utility Regulatory Commission (IURC) is seeking public comment on Bloomington Municipal Water's petition to increase water rates and approve financing for system improvements. A field hearing is scheduled for February 25, 2026, in Bloomington.

Indiana PUC Announces Investigative Inquiry on Energy Affordability

The Indiana Utility Regulatory Commission (IURC) will host a press conference to announce an investigative inquiry into energy affordability. The inquiry will involve the state's five largest investor-owned utilities presenting on usage, rates, and potential short-term solutions to rising energy costs.

Indiana PUC Announces Inquiry on Energy Affordability

The Indiana Utility Regulatory Commission (IURC) has announced an investigative inquiry into energy affordability, scheduled for March 24, 2026. The inquiry will involve presentations from the five largest investor-owned utilities regarding usage, rates, and potential solutions to rising energy costs.

Public Comment Opportunity: American Suburban Utilities Rate Case

The Indiana Utility Regulatory Commission (IURC) is providing an opportunity for public comment on American Suburban Utilities, Inc.'s petition to increase wastewater rates and approve financing for system improvements. A field hearing will be held on March 12, 2026, in West Lafayette.

Consent Order: McGonigle and RetireCo Cease and Desist

The Wisconsin Department of Financial Institutions issued a consent order against Matthew McGonigle and RetireCo Solutions, LLC for violating securities laws. The order requires them to cease and desist from further violations and includes restitution and barring from future registration.

Cease and Desist Order Against Watsans Exchange and Sabrina Marlow

The Wisconsin Department of Financial Institutions has issued a cease and desist order against Watsans Exchange and Sabrina Marlow for alleged violations of the Wisconsin Uniform Securities Law. The order revokes exemptions and proposes restitution and civil penalties for operating an unregistered crypto asset trading platform.

Montana Securities Act Overview

The Montana Securities Division provides an overview of the Montana Securities Act, emphasizing its role in investor protection, capital formation, and promoting uniformity among states. The page highlights key statistics for broker-dealer firms, capital approved, and issuer filings in Montana.

Montana Securities Division Enforcement Actions

The Montana Securities Division filed 16 enforcement actions in FY 2025, resulting in $59,000 in restitution ordered and $145,500 in fines and fees. The division investigates and prosecutes violations of Montana's insurance and securities laws.

Montana Securities Fraud Reporting and Investigation

The Montana State Auditor, Commissioner of Securities and Insurance has updated its website to provide information on reporting securities fraud, investment theft, Ponzi schemes, and pyramid schemes. The agency encourages consumers and professionals to report suspected fraud through their online or paper complaint forms.

Montana CSI Securities and Insurance Enforcement Actions

The Montana Commissioner of Securities and Insurance (CSI) has listed multiple securities and insurance enforcement actions on its website. These actions include consent agreements and final orders against various companies for alleged violations of Montana's Insurance Code and Securities Act.

CFTC and States v. Safeguard Metals LLC - Securities Enforcement

The Commodity Futures Trading Commission (CFTC) and multiple states have reached a settlement with Safeguard Metals LLC and its principal, Jeffrey Ikahn. The settlement includes a $2.8 million civil penalty for alleged violations of the Commodity Exchange Act and state securities laws.

Pankaj Dayo Motwani Settles Securities Violations with Oregon DFR

The Oregon Division of Financial Regulation has issued a Consent Order against Pankaj Dayo Motwani for alleged securities violations. The order includes findings of fact, conclusions of law, and assesses civil penalties, denies use of exemptions, and bars Motwani from financial services business activities.

Oregon Division of Financial Regulation v. Quantum Corp. Technologies - Default Order

The Oregon Division of Financial Regulation has issued a default order against Quantum Corp. Technologies (QCT) and Jacqueline Hudson Parsons. The order includes a cease and desist, denial of exemptions, civil penalties, and restitution, entered by default against QCT due to failure to ratify a hearing request.

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.

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.

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 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.

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.

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.

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 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.

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.

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.

Utah Securities Fraud Convictions and Warnings

The Utah Division of Securities is issuing warnings and highlighting recent enforcement actions related to securities fraud. Recent updates include investor alerts about BG Wealth Sharing LTD, a sentencing for a multi-million dollar securities fraud scheme, and a final judgment against a precious metals firm.

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 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.

Maine Securities Consent Agreements and Enforcement Actions

The Maine Office of Securities has published a list of recent consent agreements and enforcement actions against financial firms and individuals. These agreements represent voluntary settlements of potential violations of securities laws.

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 Administrative Orders

The State of Maine's Office of Securities Enforcement has published a list of administrative orders issued against various financial entities and individuals. These orders represent enforcement actions taken by the state regulator concerning securities and investment activities within Maine.

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.

Johnston Contractor Arrested for Insurance Fraud

The Iowa Insurance Division announced the arrest of Shawn Heuss, a Johnston contractor, on multiple felony charges related to insurance fraud. Heuss is accused of submitting a fraudulent invoice to his insurer for uncompleted roof repairs, receiving insurance proceeds to which he was not entitled.

Iowa Woman Charged with Insurance Fraud and Theft

The Iowa Insurance Division announced the arrest and charging of Cristal Gale Kastantin for ongoing criminal conduct, theft, and fraudulent submission related to her former employment at an insurance agency. The charges stem from alleged misuse of work funds for personal gain and submission of false insurance claim documentation.

Council Bluffs Woman Charged with Insurance Fraud

The Iowa Insurance Division announced the arrest of Shannon Marie Doty for insurance fraud. Doty is accused of submitting a fraudulent claim to her insurer after an accident, despite not having an active policy at the time.

Sanjeev Kumar Sentenced, Abdul Hussin Ahmadbin Pleads Guilty to Fraud

The Iowa Insurance Division announced that Sanjeev Kumar was sentenced to up to 25 years for his role in a fraud operation targeting a senior citizen. Abdul Hussin Ahmadbin also pleaded guilty to related charges. The case highlights successful inter-agency cooperation in combating financial exploitation.

Man Sentenced for Forgery and Insurance Fraud

An Illinois man has been sentenced to up to 25 years in prison for nine counts of forgery and insurance fraud in Iowa. Scott Lennington unlawfully endorsed insurance claim checks without consent, diverting funds for his own use. He received a suspended sentence, probation, fines, and must pay restitution.

Scott Richard Rookus - Cease and Desist Order and Fine

The Michigan Department of Licensing and Regulatory Affairs issued a Notice and Order to Cease and Desist against New Haven Capital Holdings, L.L.C. and Scott Richard Rookus for violating the Michigan Uniform Securities Act. A fine of $1,000,000 was due by May 16, 2017.

New Haven Capital Holdings LLC - Cease and Desist Order and Fine Payment

The State of Michigan has issued a Notice and Order to Cease and Desist against New Haven Capital Holdings, L.L.C. and Scott Richard Rookus for violations of the Michigan Uniform Securities Act. The order includes instructions for paying a $1,000,000 fine by May 16, 2017.

TradeStation Crypto Inc. Consent Order for Securities Violations

TradeStation Crypto, Inc. (TCI) has entered into a consent order with 51 jurisdictions, including Michigan, resolving an investigation into its digital asset interest feature. TCI will pay $1.5 million in settlement payments and cease offering unregistered securities.

Ascend Removal Services LLC Cease and Desist Order

The Michigan Department of Licensing and Regulatory Affairs has issued a Cease and Desist Order against Damarious Johnson and Ascend Removal Services LLC for operating a removal service without the required state license. The order requires immediate cessation of unlicensed activities.

Legacy Cremation Services LLC - Cease and Desist Order

The Michigan Department of Licensing and Regulatory Affairs has issued a Cease and Desist Order against Legacy Cremation Services, LLC for engaging in the practice of mortuary science without a license. The order requires the company to immediately stop all unlicensed activity within the state.

Order Modifying Opinion on Domestic Partnership Case

The California Court of Appeal modified an opinion regarding a domestic partnership case. The modification adds text to a footnote concerning the verification of generative AI output and citations, emphasizing the responsibility of judicial officers and attorneys to ensure accuracy. The court also sanctioned respondent's counsel for citing fictitious legal authorities.

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.