Regulatory Orders
Enforcement Orders
In the matter of Stifel, Nicolaus & Company, Inc., Respondent. Consent Order - (01/05/2026)
In the matter of TD Ameritrade, Inc., Respondent. Consent Order - (02/04/2026)
In the matter of Declan W. Whitmyer, Respondent. Order to Cease and Desist - (02/13/2026)
In the matter of Edward D. Jones & Co., L.P. (CRD #250), Respondent. Consent Order - (02/25/2026)
