2016 Securities Orders and Notices

In the matter of Jonathan Turecki and Palmetto Pub Company, LLC – Order to Cease and Desist (1/28/16).

In the matter of Halcyon Cabot Partners, Ltd. – Summary Suspension of Broker Dealer Registration; Rule to Show Cause (2/10/16)

In the matter of Michael Brooks and Brooks Communications, LLC – Order to Cease and Desist (2/10/16).

In the matter of Raymond J Saldi and RJS Enterprises, Inc. – Order to Cease and Desist (3/17/16)

In the matter of Legend Securities, Inc. – Administrative Order (3/18/16)

In the matter of Richard Eugene Whitley – Administrative Order (3/18/16)

In the matter of LPL Financial LLC – Consent Order (3/30/16)

In the matter of NJ Holdings, LLC (d/b/a Coast to Coast Business Funding), Nickolas Godfrey, and Jennifer Godfrey – Order to Cease and Desist (4/5/16)

In the matter of Raymond J. Saldi and RJS Enterprises, Inc. – Consent Order (4/13/16)

In the matter of IL Enterprises, LLC and Kevin Alonzo Tremayne Smith – Consent Order (4/18/16)

In the matter of Oppenheimer & Co., Inc. – Consent Order (5/4/16)

In the matter of Ronald Jeffrey Walters, Ballantyne Wealth Management Group, LLC, and Ballantyne Wealth Advisers, LLC – Consent Order (5/16/16)

In the matter of NJ Holdings, LLC (d/b/a Coast to Coast Business Funding), Nickolas Godfrey, and Jennifer Godfrey – Consent Order (5/16/16)

In the matter of Equinox Securities, Inc. – Summary Suspension of Broker-Dealer Registration (5/20/16)

In the matter of Equinox Securities, Inc. – Rule to Show Cause (5/20/16)

In the matter of Timothy Francis Dufresne – Administrative Order (6/1/16)

In the matter of Matthew Corrington Robinson and Eugene Corrington Robinson – Consent Order (6/3/16)

In the matter of Robert “Buddy” Laverne Johnson, Jr. – Order to Cease and Desist (6/23/16)

In the matter of Amy Leben, Robert Leben, and Structured Finance Group Corp. – Consent Order (6/29/16)

In the matter of Legend Securities, Inc. – Consent Order (6/30/16)

In the matter of Equinox Securities, Inc. – Order Revoking Registration by Default (7/6/16)

In the matter of William B. Steiger, Jr. and Boardroom Private Investment Group – Order to Cease and Desist (7/8/16)

In the matter of Michael Brooks and Brooks Communications, Inc – Order to Cease and Desist (9/7/16)

In the matter of Branch Banking and Trust Company and BB&T Asset Management, Inc. – Consent Order (9/7/16)

In the matter of Vicki G. Folk and Variety Shop – Order to Cease and Desist (9/8/16)

In the matter of Randy Leroy Geter – Order to Cease and Desist (9/21/16)

In the matter of William B. Steiger, Jr. and Boardroom Private Investment Group – Consent Order (9/27/16)

In the matter of Tub Plug, LLC (d/b/a TCE Inc. and For My Home, LLC) and Tower B. Carney, III –  Order to Cease & Desist (10.29.15)

In the Matter of Michael Brooks and Brooks Communications, LLC – Consent Order (11/21/16)

 

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Columbia, SC

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