Wyoming Secretary of State

Enforcement

The Secretary of State is granted authority to investigate any violation or potential violation of Wyoming's Uniform Securities Act and the Wyoming Registered Offices and Agents Act. The text of administrative orders in enforcement actions are listed below to provide the public with official records of actions taken against persons in the securities industry.

Administrative Procedures:
Petitions, Orders and Stipulations

Date
Name
Stipulation
03/16/2009
David Oliver, Michael LaSala, IncSmart.biz, Inc.
Findings of Fact Regarding False Filings with the Wyoming Secretary of State and Order Refusing Filings
04/21/2009
Mortgages Ltd. Securities, LLC
Order Revoking Broker-Dealer Registration
04/21/2009
Bernard L. Madoff Investment Securities, LLC
Order Revoking Broker-Dealer Registration
04/21/2009
North American Clearing, Inc.
Order Revoking Broker-Dealer Registration
06/23/2009
Wachovia Securities, LLC
Administrative Consent Order
07/13/2009
Citigroup Global Markets Inc.
Administrative Consent Order
08/19/2009
Prosper Marketplace, Inc.
Administrative Consent Order
09/02/2009
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Consent Order

Archived Orders

© 2010 Wyoming Secretary of State's Office. All Rights Reserved.