Notices and Orders
On this page, you can browse Notices and Orders that the Securities Division has made public. If you would like to be contacted directly whenever a new Notice or Order is made public, please fill out Investor Contact Form to join our mailing list.
In the matter of Daniel Y. Thomason, Sr., Daniel Y. Thomason, Jr., and Citizens Financial Services, Inc. – Consent Order as to Respondents Daniel Y. Thomason, Sr. and Citizens Financial Services, Incorporated (8/12/14).
In the matter of Foster Rogers Wealth Management Group, LLC, Cody Rogers, and Hamilton Foster – Order Revoking Registration by Default as to Respondent Foster Rogers Wealth Management Group, LLC (6/13/13).
In the matter of Jonathan W. Brooks, J. Brooks Financial, Inc – Notice of Intent to Seek Revocation of Investment Adviser, Investment Adviser Representative and Broker-Dealer Agent Registrations (2/25/13)