Wyoming Secretary of State


Petitions, Orders and Stipulations

Date Name Stipulation

03/04/2014 Morgan Keegan & Company, Inc. Administrative Consent Order

03/12/2013 KBR Capital Markets, LLC Broker-Dealer Revocation Order

10/10/2012 E*Trade Securities LLC Administrative Consent Order

04/03/2012 Priority Capital Investments, LLC Broker-Dealer Revocation Order

04/03/2012 Pacific American Securities, LLC Broker-Dealer Revocation Order

10/05/2011 Raymond James Administrative Consent Order

11/17/2010 Morgan Stanley & Co. Incorporated Administrative Consent Order

11/10/2010 TD Ameritrade, Inc. Administrative Consent Order

06/29/2010 Credit Suisse Securities LLC Administrative Consent Order

06/01/2010 UBS Financial Services Inc. Administrative Consent Order

04/09/2010 Deutsche Bank Securities, Inc. Administrative Consent Order


Archived Orders (Zip File)