MyCapitalTradeFX
A cease and desist order directing respondents to stop committing securities fraud in connection with unregistered...
Maria Elena Carbone Coyne
Order entered by the Arkansas Securities Commissioner approving limited agent registration.
Cetera Investment Services, LLC
A Consent Order issued in connection with the firm’s failure to supervise in violation of the...
David Butler
Order granting David Butler conditional registration as a Broker Dealer Agent with Veritas Independent Partners, LLC.
John C. Hamilton
A consent order concerning violations of the Arkansas Securities Act and the Rules of the Arkansas...
Andrew S. Lee
A consent order concerning violations of the Arkansas Securities Act including acting as an unregistered investment...
Security Asset Management/William Barnett
A consent order issued in connection with violations of the Arkansas Securities Act and Rules of...
Metals.com A/K/A TMTE Inc. A/K/A Chase Metals, Inc. A/K/A Chase Metals, LLC
A Consent Order finalizing a Cease and Desist Order entered against the Respondents on March 9,...
Security Asset Management/William Barnett
Request for an order summarily and immediately suspending the registration of Security Asset Management, LLC as...