Ubs Financial Services Inc.
- Regulatory AUM
- $916B
- Discretionary
- $403B
- Clients
- 1,144,588
- Avg AUM / client
- $800K
- Accounts
- 1,144,309
- Employees
- 12,524
AUM over time
Annual snapshots from Form ADV filings · as of Jun 25, 2026
Asset allocation (SMA assets by investment type)
as of Jun 25, 2026Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 244,284 | $47.2B | 5.15% |
| High net worth individuals | 853,775 | $715B | 78.0% |
| Banking or thrift institutions | 8 | $59.3M | 0.01% |
| Pooled investment vehicles (non-investment companies) | 24 | $71.3M | 0.01% |
| Pension and profit sharing plans | 9,843 | $26.4B | 2.89% |
| Charitable organizations | 8,053 | $21.4B | 2.34% |
| State or municipal government entities | 357 | $4.3B | 0.46% |
| Insurance companies | 436 | $1.4B | 0.16% |
| Sovereign wealth funds and foreign official institutions | 34 | $399M | 0.04% |
| Corporations and other businesses | 27,490 | $94.5B | 10.3% |
| Other | 284 | $5.5B | 0.6% |
Nonprofit clients
Charities that reported this firm as a top-paid contractor (investment services) on Form 990.
| Charity | Location | Period |
|---|---|---|
| The Francis Ouimet Scholarship Fund Inc EIN 042234126 | Norton, MA | 03/31/2025 |
| Navy Marine Corps Relief Society EIN 530204618 | Arlington, VA | 12/31/2024 |
| Permian Basin Area Foundation EIN 752295008 | Midland, TX | 12/31/2024 |
| Benevolent Telephone Death Benefit Fund Inc EIN 042480299 | Andover, MA | 12/31/2024 |
| Cardwell Foundation EIN 742690488 | El Paso, TX | 12/31/2024 |
| International Brotherhood Of Electrical Workers EIN 221010215 | N Brunswick, NJ | 12/31/2024 |
| Clean Streams Foundation Inc EIN 522286668 | Lexington, KY | 12/31/2024 |
| Connie Maxwell Childrens Home EIN 570324927 | Greenwood, SC | 09/30/2024 |
| University Of Houston Law Foundation EIN 741732551 | Houston, TX | 08/31/2024 |
| Jal Public Library Fund EIN 850226305 | Jal, NM | 06/30/2024 |
| Engineers Union Welfare Fund 68 EIN 221550500 | West Caldwell, NJ | 06/30/2024 |
| Mf Community Impact Inc EIN 874099027 | Hemphill, TX | 12/31/2023 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C. Showing first 100 of 864.
People (9,383)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Francomano, Lisa M. | Chief Compliance Officer For The Advisory Business | Oct 2006 (20y) | Less than 5% | |
| Sanborn, Mark Wilson | Managing Director | Nov 2017 (9y) | Less than 5% | |
| Chandler, Jason Richard | President | Jan 2019 (8y) | Less than 5% | |
| Somma, Joseph | Principal Operations Officer | May 2019 (7y) | Less than 5% | |
| Mattone, Ralph | Principal Financial Officer | Jul 2019 (7y) | Less than 5% | |
| Hassan, Naureen Fatima | Chairman | Oct 2022 (4y) | Less than 5% | |
| Sakai, Kiye | General Counsel | Dec 2022 (4y) | Less than 5% | |
| Munfa, Lauren | Chief Compliance Officer | Feb 2023 (4y) | Less than 5% | |
| Allen James Dogger | Registered representative | CFP | Aug 1983 (43y) | |
| Charles Frederick Hutson | Registered representative | Aug 1983 (43y) | ||
| Gary L Smith | Registered representative | Aug 1983 (43y) | ||
| H Glenn Garvin Jr. | Registered representative | Aug 1983 (43y) | ||
| Myron Humphrey Bond | Registered representative | Aug 1983 (43y) | ||
| Reese B Lockett Jr. | Registered representative | Aug 1983 (43y) | ||
| Howell Davis Harralson | Registered representative | Feb 1985 (41y) | ||
| David Tower Everts | Registered representative | Jul 1985 (41y) | ||
| Glenn Allen Mosier | Registered representative | Dec 1985 (41y) | ||
| Marc Lewis Foster | Registered representative | Jul 1986 (40y) | ||
| Michael Joseph Picco | Registered representative | Aug 1986 (40y) | ||
| Dale Louis Emerick | Registered representative | Sep 1986 (40y) | ||
| David Brian Franken | Registered representative | Sep 1986 (40y) | ||
| David Eugene Walker | Registered representative | Sep 1986 (40y) | ||
| Donna Marie Miller | Registered representative | CFP | Sep 1986 (40y) | |
| J Thomas Smith | Registered representative | Sep 1986 (40y) | ||
| Sheri H Rubin | Registered representative | Sep 1986 (40y) | ||
| Susan Weidenkopf Watts | Registered representative | Mar 1987 (39y) | ||
| Kelly S Lane | Registered representative | Jul 1987 (39y) | ||
| Barry Michael Haffner | Registered representative | Aug 1987 (39y) | ||
| Charles L Verner | Registered representative | Aug 1987 (39y) | ||
| Bruce Edward Pratt | Registered representative | Nov 1987 (39y) | ||
| Peter Burgess Ford | Registered representative | Feb 1988 (38y) | ||
| Jonathan Bradley Awad | Registered representative | Apr 1988 (38y) | ||
| Kathleen Jane Reilley | Registered representative | Jun 1988 (38y) | ||
| Bruce Alfred Neal | Registered representative | Sep 1988 (38y) | ||
| John Thomas Petika | Registered representative | Oct 1988 (38y) | ||
| Stephen Dennis Arkwright | Registered representative | Jan 1989 (38y) | ||
| Marc Ronald Green | Registered representative | Jan 1989 (38y) | ||
| Kenneth David Horwitz | Registered representative | Mar 1989 (37y) | ||
| Christopher L Lewis Derr | Registered representative | Apr 1989 (37y) | ||
| Evans E Connelly Jr. | Registered representative | May 1989 (37y) | ||
| Emanuel Matthew Mains | Registered representative | Jul 1989 (37y) | ||
| James C. Spooner | Registered representative | Oct 1989 (37y) | ||
| Gregory Golding | Registered representative | Dec 1989 (37y) | ||
| Dino John Ragazzo | Registered representative | Jan 1990 (37y) | ||
| Ann Fucile Maile | Registered representative | Jan 1990 (37y) | ||
| Scott Alan Vehslage | Registered representative | Jan 1990 (37y) | ||
| Andrew D Burish | Registered representative | Jul 1990 (36y) | ||
| James F Fasi | Registered representative | CFP | Aug 1990 (36y) | |
| Donald Wayne Buescher | Registered representative | Sep 1990 (36y) | ||
| Barnet Fishbein | Registered representative | Jan 1991 (36y) | ||
| Barry Denis Kemballcook | Registered representative | Jan 1991 (36y) | ||
| Janette Guthrie Prichard | Registered representative | Jan 1991 (36y) | ||
| Jeffrey Mark Aboloff | Registered representative | Jan 1991 (36y) | ||
| Jerome Go | Registered representative | Jan 1991 (36y) | ||
| John B Young Jr. | Registered representative | Jan 1991 (36y) | ||
| John Mark Rinker | Registered representative | Jan 1991 (36y) | ||
| John Phillip Tuccio | Registered representative | Jan 1991 (36y) | ||
| Mark Allen Moore | Registered representative | Jan 1991 (36y) | ||
| Owen David Sweeney | Registered representative | May 1991 (35y) | ||
| Marilyn Ann Page | Registered representative | May 1991 (35y) | ||
| Peter Emmett Kenefick | Registered representative | Jun 1991 (35y) | ||
| Daniel W. Scott | Registered representative | Jun 1991 (35y) | ||
| Donald Mark Gillen | Registered representative | Aug 1991 (35y) | ||
| Chris G Garvin | Registered representative | Aug 1991 (35y) | ||
| Andrea K Nordell | Registered representative | Aug 1991 (35y) | ||
| Peggy Peters | Registered representative | Aug 1991 (35y) | ||
| Peter Starr Humphrey | Registered representative | Sep 1991 (35y) | ||
| Steven John Greco | Registered representative | Sep 1991 (35y) | ||
| William James Greco | Registered representative | Sep 1991 (35y) | ||
| Mike R Ross Mumford | Registered representative | Sep 1991 (35y) | ||
| Jean Roccon Rohm | Registered representative | Oct 1991 (35y) | ||
| Christina Dawn Mccrary | Registered representative | Oct 1991 (35y) | ||
| Terrance John Nugent | Registered representative | Nov 1991 (35y) | ||
| William Baylis Rector | Registered representative | Nov 1991 (35y) | ||
| James Francis Cannon | Registered representative | Nov 1991 (35y) | ||
| Maurice Lee Nissim | Registered representative | Jan 1992 (35y) | ||
| John Matsuo Miyamasu | Registered representative | Jan 1992 (35y) | ||
| John Edwards Landers | Registered representative | CFP | Apr 1992 (34y) | |
| Michael S Hyatt | Registered representative | Jul 1992 (34y) | ||
| Michael Scott Matthews | Registered representative | Aug 1992 (34y) | ||
| David Joseph Sullivan | Registered representative | Sep 1992 (34y) | ||
| Robert Clevenger Jr. | Registered representative | Oct 1992 (34y) | ||
| Steven Edward Robinson | Registered representative | Nov 1992 (34y) | ||
| William Gerard Murphy | Registered representative | Nov 1992 (34y) | ||
| William Gordon Schifani | Registered representative | Nov 1992 (34y) | ||
| Taglath Antonio Milburn | Registered representative | Dec 1992 (34y) | ||
| Richard Dick Cheow Eng | Registered representative | Feb 1993 (34y) | ||
| Alexander Joseph Taft | Registered representative | Mar 1993 (33y) | ||
| Douglas Lee Coughlin | Registered representative | May 1993 (33y) | ||
| Ruth Frances Wilde | Registered representative | May 1993 (33y) | ||
| Donna Rizor Longfellow | Registered representative | Jul 1993 (33y) | ||
| Lori A Farkas | Registered representative | Sep 1993 (33y) | ||
| Charles A. Anthony Lore | Registered representative | Sep 1993 (33y) | ||
| Curtis C. Charles Brown | Registered representative | Sep 1993 (33y) | ||
| Shawn Glen Nicholas | Registered representative | Dec 1993 (33y) | ||
| Douglas Henry Amyett | Registered representative | Jan 1994 (33y) | ||
| Janice Josephine Wright | Registered representative | Chartered Financial Consultant | Feb 1994 (32y) | |
| John Scott Mathews | Registered representative | Feb 1994 (32y) | ||
| David P. Paul Staats | Registered representative | Feb 1994 (32y) | ||
| Martin Patrick Kearns | Registered representative | Feb 1994 (32y) | ||
| Andrew Mark Ratner | Registered representative | Mar 1994 (32y) | ||
| V. Robert Fisher Jr. | Registered representative | Apr 1994 (32y) | ||
| Jane Hyatt Zimmerman | Registered representative | Apr 1994 (32y) | ||
| Gilbert Gordon Garceau | Registered representative | Apr 1994 (32y) | ||
| Dennis John Cahill | Registered representative | May 1994 (32y) | ||
| John Mark Kever | Registered representative | May 1994 (32y) | ||
| Owen Charles Mcbride | Registered representative | May 1994 (32y) | ||
| Howard Rogers Jr. | Registered representative | May 1994 (32y) | ||
| Douglas Wilson Robbins | Registered representative | Jun 1994 (32y) | ||
| Susan Sau Chung Wong Andrus | Registered representative | Jun 1994 (32y) | ||
| Donald Ray Jackson | Registered representative | Jun 1994 (32y) | ||
| Kevin Eugene Nichols | Registered representative | Jun 1994 (32y) | ||
| Russell Anthony Rabito | Registered representative | Aug 1994 (32y) | ||
| Michael C. Charles Seamands | Registered representative | Aug 1994 (32y) | ||
| Melissa Hooks Jameson | Registered representative | Oct 1994 (32y) | ||
| Thomas Joseph Flanagan | Registered representative | Nov 1994 (32y) | ||
| Daniel Takeo Sao Yung Shiu | Registered representative | Nov 1994 (32y) | ||
| Peter John Goglia | Registered representative | Jan 1995 (32y) | ||
| Timothy W. W O'brien | Registered representative | Jan 1995 (32y) | ||
| Ali M Fahr | Registered representative | Jan 1995 (32y) | ||
| Bernard Jude King | Registered representative | CFA | Jan 1995 (32y) | |
| Cynthia Bassett | Registered representative | Jan 1995 (32y) | ||
| David Andrew Rosegarten | Registered representative | Jan 1995 (32y) | ||
| Eliot Simon | Registered representative | Jan 1995 (32y) | ||
| Eric Lawson Fox | Registered representative | Jan 1995 (32y) | ||
| Horace R Nash Jr. | Registered representative | Jan 1995 (32y) | ||
| James Alfred Kitz | Registered representative | Jan 1995 (32y) | ||
| James Francis Leen | Registered representative | Jan 1995 (32y) | ||
| John Kenneth Doke | Registered representative | Jan 1995 (32y) | ||
| Leonard Maurice Starr | Registered representative | Jan 1995 (32y) | ||
| Mark Emerson Matthews | Registered representative | Jan 1995 (32y) | ||
| Michael Wood Jamieson | Registered representative | Jan 1995 (32y) | ||
| Miles Allan Rubin | Registered representative | Jan 1995 (32y) | ||
| Nathaniel Robert Mosley | Registered representative | Jan 1995 (32y) | ||
| Richard Mark Held | Registered representative | Jan 1995 (32y) | ||
| Thomas Hunter Jones | Registered representative | Jan 1995 (32y) | ||
| William Clarence Hyde | Registered representative | Jan 1995 (32y) | ||
| William Earle Dodd | Registered representative | Jan 1995 (32y) | ||
| Stephen Wiley Murray | Registered representative | Feb 1995 (32y) | ||
| Carla Kemp Thompson | Registered representative | Feb 1995 (31y) | ||
| Ann Fitzgerald Salazar | Registered representative | Feb 1995 (31y) | ||
| Thomas Gerard Huvane | Registered representative | Feb 1995 (31y) | ||
| Bradley Leon Pratt | Registered representative | Mar 1995 (31y) | ||
| David Krogh Lundquist | Registered representative | Mar 1995 (31y) | ||
| Gregory Joseph George | Registered representative | Mar 1995 (31y) | ||
| Stuart Edward Sierer | Registered representative | Mar 1995 (31y) | ||
| Rosemarie Siefert Dios | Registered representative | Apr 1995 (31y) | ||
| Arthur Gordon Chase | Registered representative | May 1995 (31y) | ||
| George C Bitting | Registered representative | Aug 1995 (31y) | ||
| Leo Bachle Schmid | Registered representative | Aug 1995 (31y) | ||
| Steven Halsey Hughes | Registered representative | Aug 1995 (31y) | ||
| Todd Buckendorf | Registered representative | Aug 1995 (31y) | ||
| James Davis Degoler | Registered representative | Oct 1995 (31y) | ||
| Mark Irwin Smith | Registered representative | Oct 1995 (31y) | ||
| Elizabeth Gillean Lockwood | Registered representative | Oct 1995 (31y) | ||
| Giovanna Neglia Testoni | Registered representative | Nov 1995 (31y) | ||
| John William Orr | Registered representative | Jan 1996 (31y) | ||
| Valerie Inez Butler | Registered representative | Jan 1996 (31y) | ||
| John C Williams | Registered representative | Jan 1996 (31y) | ||
| Brian Noel David | Registered representative | Jan 1996 (31y) | ||
| Kenneth Robert Powers | Registered representative | Jan 1996 (31y) | ||
| Diane J Veenendaal | Registered representative | Jan 1996 (31y) | ||
| Jeffrey M. Michael Steffes | Registered representative | Jan 1996 (31y) | ||
| Laurel Simon Bobrowich | Registered representative | Jan 1996 (31y) | ||
| Jay Bradford Owen | Registered representative | Apr 1996 (30y) | ||
| Garrit V Wamelink | Registered representative | Apr 1996 (30y) | ||
| Lynn Dintelmann Allgire | Registered representative | May 1996 (30y) | ||
| Betsabet Betsy Romero | Registered representative | May 1996 (30y) | ||
| Paul Scott Baker | Registered representative | May 1996 (30y) | ||
| Karen Anne Robbins | Registered representative | Jun 1996 (30y) | ||
| Christopher Drew Dickens | Registered representative | Jul 1996 (30y) | ||
| Michael David Kelly | Registered representative | Aug 1996 (30y) | ||
| Thomas Kelley Humphreys | Registered representative | Aug 1996 (30y) | ||
| Jason Michael Maas | Registered representative | Aug 1996 (30y) | ||
| Richard Anderson Renaudin | Registered representative | Sep 1996 (30y) | ||
| John Robert Doyle | Registered representative | Oct 1996 (30y) | ||
| Robert Craig Rathjen | Registered representative | Feb 1997 (29y) | ||
| Barry Dennis Mcmullan | Registered representative | Feb 1997 (29y) | ||
| Martin Joel Ehrenreich | Registered representative | Feb 1997 (29y) | ||
| Geoffrey Earl Wilwerding | Registered representative | Mar 1997 (29y) | ||
| Michael William Chudd | Registered representative | Mar 1997 (29y) | ||
| Winnona Marie Grabe | Registered representative | Apr 1997 (29y) | ||
| Steven Eugene Neff | Registered representative | May 1997 (29y) | ||
| Dale E. Eugene Young | Registered representative | May 1997 (29y) | ||
| David Alan Saltzman | Registered representative | CFP | Jun 1997 (29y) | |
| Sean Patrick Kelley | Registered representative | Jul 1997 (29y) | ||
| Bradley Curtis Mitchell | Registered representative | Jul 1997 (29y) | ||
| Bruce Thomas Pearson | Registered representative | Jul 1997 (29y) | ||
| Cameron Azad | Registered representative | Jul 1997 (29y) | ||
| Candice J Gleeson | Registered representative | Jul 1997 (29y) | ||
| Caroline Denise Brodersen | Registered representative | Jul 1997 (29y) | ||
| Dan Michael Gallagher | Registered representative | Jul 1997 (29y) | ||
| Dave Raymond Stewart | Registered representative | Jul 1997 (29y) | ||
| David Elliot Krigstein | Registered representative | Jul 1997 (29y) | ||
| David Evan Fong | Registered representative | Jul 1997 (29y) | ||
| David Lloyd Hohl | Registered representative | Jul 1997 (29y) | ||
| David Nicholas Spiegel | Registered representative | Jul 1997 (29y) | ||
| Deborah Marie Mazzulla | Registered representative | Jul 1997 (29y) | ||
| Dina Marie Hall | Registered representative | Jul 1997 (29y) | ||
| Donald Martineau Moulton | Registered representative | Jul 1997 (29y) | ||
| Douglass John Cosgrove | Registered representative | Jul 1997 (29y) | ||
| Dwight David Carlson | Registered representative | Jul 1997 (29y) | ||
| Earl B Thompson | Registered representative | Jul 1997 (29y) | ||
| Edward Saul Levin | Registered representative | Jul 1997 (29y) | ||
| Elizabeth Hing Wai Sackett | Registered representative | Jul 1997 (29y) | ||
| Eric Benjamin Idelson | Registered representative | Jul 1997 (29y) | ||
| Frank Gennero Bisceglia | Registered representative | Jul 1997 (29y) | ||
| Frederick Louis Behling | Registered representative | Jul 1997 (29y) | ||
| Gregory Michael Geller | Registered representative | Jul 1997 (29y) | ||
| James Louis Laporte | Registered representative | Jul 1997 (29y) | ||
| James Neill Cantrell | Registered representative | Jul 1997 (29y) | ||
| Jeffrey Paul Nash | Registered representative | Jul 1997 (29y) | ||
| John D. Mcdevitt | Registered representative | Jul 1997 (29y) | ||
| John Edward Mcgovern | Registered representative | Jul 1997 (29y) | ||
| John Edwin Allanson | Registered representative | Jul 1997 (29y) | ||
| John Joslin Gardiner | Registered representative | Jul 1997 (29y) | ||
| Joseph P. Katzaroff | Registered representative | Jul 1997 (29y) | ||
| Judith Leigh Seaver | Registered representative | Jul 1997 (29y) | ||
| June Brenda Bahr | Registered representative | Jul 1997 (29y) | ||
| Jodi Lynn Pieczynski | Registered representative | Jul 1997 (29y) | ||
| Kathleen M. Mary Snodgrass | Registered representative | Jul 1997 (29y) | ||
| Kevin Thomas Phillip | Registered representative | Jul 1997 (29y) | ||
| Lawrence Raymond Zech | Registered representative | Jul 1997 (29y) | ||
| Leonard Joseph Anable | Registered representative | Jul 1997 (29y) | ||
| Lisa Ann Chapman | Registered representative | Jul 1997 (29y) | ||
| Lisa Marie Beile | Registered representative | Jul 1997 (29y) | ||
| Lynne L Sebastian | Registered representative | Jul 1997 (29y) | ||
| M Kenneth Penwell Jr. | Registered representative | Jul 1997 (29y) | ||
| Mark Chenian | Registered representative | Jul 1997 (29y) | ||
| Mark Robert Fasano | Registered representative | Jul 1997 (29y) | ||
| Matthew Paul Corrado | Registered representative | Jul 1997 (29y) | ||
| Michael Donald Quaranta | Registered representative | Jul 1997 (29y) | ||
| Michael Scott Jankiewicz | Registered representative | Jul 1997 (29y) | ||
| Michael Thomas Yochum | Registered representative | Jul 1997 (29y) | ||
| Nathaniel Phillip Nesbitt | Registered representative | Jul 1997 (29y) | ||
| Panfang Fu | Registered representative | Jul 1997 (29y) | ||
| Paul Alexander Cutter | Registered representative | Jul 1997 (29y) | ||
| Peter Durk Browne | Registered representative | Jul 1997 (29y) | ||
| Philip Alan Carpenter | Registered representative | Jul 1997 (29y) | ||
| Raymond Morales Lejano | Registered representative | Jul 1997 (29y) | ||
| Robert Gary Whelan | Registered representative | Jul 1997 (29y) | ||
| Robert James Gach | Registered representative | Jul 1997 (29y) | ||
| Robert Lorin Taylor Brower | Registered representative | Jul 1997 (29y) | ||
| Ron L Herring | Registered representative | Jul 1997 (29y) | ||
| Shane Shannon Smith | Registered representative | Jul 1997 (29y) | ||
| Shelley Goglio | Registered representative | Jul 1997 (29y) | ||
| Stanford Stewart Smith | Registered representative | Jul 1997 (29y) | ||
| Stephen John Seiber | Registered representative | Jul 1997 (29y) | ||
| Todd Matthew Ringoen | Registered representative | Jul 1997 (29y) | ||
| Victor Nazareno Villagracia | Registered representative | Jul 1997 (29y) | ||
| William Scott Fortner | Registered representative | Jul 1997 (29y) | ||
| William Stephen Costas | Registered representative | Jul 1997 (29y) | ||
| Michael Vincent Sabaugh | Registered representative | Aug 1997 (29y) | ||
| Sam Sabaugh Jr | Registered representative | Aug 1997 (29y) | ||
| Jean Marie Wollenberg | Registered representative | Aug 1997 (29y) | ||
| Pamela Claire Dils | Registered representative | Sep 1997 (29y) | ||
| Trent Vernon Sanden | Registered representative | Sep 1997 (29y) | ||
| Kyle Thomas Smith | Registered representative | Sep 1997 (29y) | ||
| Andrew James Palmer | Registered representative | Sep 1997 (29y) | ||
| Annamarie Rita Sabatini | Registered representative | Sep 1997 (29y) | ||
| Douglas Ronald Eaton | Registered representative | Sep 1997 (29y) | ||
| John Louis Bodolay | Registered representative | CFP | Sep 1997 (29y) | |
| Lawrence Scott Sabatini | Registered representative | Sep 1997 (29y) | ||
| Michael Grant Ellington | Registered representative | Sep 1997 (29y) | ||
| Michael Robert Bailey | Registered representative | Sep 1997 (29y) | ||
| Michael Walter Greene | Registered representative | Sep 1997 (29y) | ||
| Stephen Daniel Smith | Registered representative | Sep 1997 (29y) | ||
| Teri K Conklin | Registered representative | Sep 1997 (29y) | ||
| Thomas Edward Rice | Registered representative | Sep 1997 (29y) | ||
| Anthony John Bebbington | Registered representative | Sep 1997 (29y) | ||
| Frederick Graydon Dunning | Registered representative | Sep 1997 (29y) | ||
| Mark Kenneth Sikorski | Registered representative | Oct 1997 (29y) | ||
| James David Madden | Registered representative | Oct 1997 (29y) | ||
| Kenneth Mingkong Lai | Registered representative | Nov 1997 (29y) | ||
| Matthew J Bragg | Registered representative | Nov 1997 (29y) | ||
| Henry Paul Jakobsze | Registered representative | Nov 1997 (29y) | ||
| Monty Leroy Wambold | Registered representative | Nov 1997 (29y) | ||
| Douglas Shepard Adams | Registered representative | Jan 1998 (29y) | ||
| Earl J. J Keller Iii | Registered representative | Feb 1998 (28y) | ||
| Scott Alan Garnett | Registered representative | Feb 1998 (28y) | ||
| John Allen Short | Registered representative | Mar 1998 (28y) | ||
| Mitri Elias Hajjar | Registered representative | Mar 1998 (28y) | ||
| Sree J Raman | Registered representative | Apr 1998 (28y) | ||
| Mary Z. Zainey Townsend | Registered representative | Apr 1998 (28y) | ||
| James C Macdonald | Registered representative | CFP | May 1998 (28y) | |
| Frank Mccannon | Registered representative | May 1998 (28y) | ||
| Sam Bartolai | Registered representative | May 1998 (28y) | ||
| Robert T. Thomas Cochrane | Registered representative | Jun 1998 (28y) | ||
| Keith A. Allan Weidemann | Registered representative | Jun 1998 (28y) | ||
| Cray Randal Martin | Registered representative | Jul 1998 (28y) | ||
| Linda Modico | Registered representative | Jul 1998 (28y) | ||
| John Edward Petrick | Registered representative | Jul 1998 (28y) | ||
| Robert Eugene Kendall | Registered representative | Aug 1998 (28y) | ||
| Steven Craig Matthews | Registered representative | Aug 1998 (28y) | ||
| John Erin Clendenin | Registered representative | Aug 1998 (28y) | ||
| Michael J. James Hammar | Registered representative | Aug 1998 (28y) | ||
| Sylvia L. Guzman | Registered representative | Sep 1998 (28y) | ||
| David Brent Rutberg | Registered representative | Sep 1998 (28y) | ||
| Christopher Stuart Pfaff | Registered representative | Sep 1998 (28y) | ||
| Michael Nathan Willard | Registered representative | CFP | Sep 1998 (28y) | |
| Thomas John Krumenacker | Registered representative | Oct 1998 (28y) | ||
| Christopher Todd Green | Registered representative | Oct 1998 (28y) | ||
| Duncan Edward Mcallister | Registered representative | Oct 1998 (28y) | ||
| Joseph Andrew Haynes | Registered representative | Oct 1998 (28y) | ||
| William Sherdahl Feeney | Registered representative | Oct 1998 (28y) | ||
| Devin Robert Meucci | Registered representative | Oct 1998 (28y) | ||
| Kelly Anne Oberg | Registered representative | Oct 1998 (28y) | ||
| Amy Jane Gillis | Registered representative | Oct 1998 (28y) | ||
| Jasmine Olivia Turner | Registered representative | Nov 1998 (28y) | ||
| Sara Dawn Roth | Registered representative | Nov 1998 (28y) | ||
| Clifford D Allen | Registered representative | Dec 1998 (28y) | ||
| Paul Edward Johnson | Registered representative | Dec 1998 (28y) | ||
| Steven Charles Waggoner | Registered representative | Dec 1998 (28y) | ||
| Paul Joseph Vanacker | Registered representative | Dec 1998 (28y) | ||
| Alan Bruce Webster | Registered representative | Jan 1999 (28y) | ||
| David Mccoll Young | Registered representative | CFP | Jan 1999 (28y) | |
| James Raymond Oplt | Registered representative | Jan 1999 (28y) | ||
| John Knox Nimock | Registered representative | Jan 1999 (28y) | ||
| Peter Douglas Braun | Registered representative | Jan 1999 (28y) | ||
| Steven Duane Duesenberg | Registered representative | CFP | Jan 1999 (28y) | |
| Steven Wallace Crawford | Registered representative | Jan 1999 (28y) | ||
| Trevor Lynn Shaner | Registered representative | Jan 1999 (28y) | ||
| James P Sheffield | Registered representative | CFP | Jan 1999 (28y) | |
| Laurie P Barry | Registered representative | Jan 1999 (28y) | ||
| Lucia Rita Fiumara | Registered representative | Jan 1999 (28y) | ||
| Patrick Cvitanovich | Registered representative | Jan 1999 (28y) | ||
| Robert Pierce Allen | Registered representative | Jan 1999 (28y) | ||
| Shawn Matthew Hintz | Registered representative | Feb 1999 (27y) | ||
| Nathan Neal Thomas | Registered representative | Feb 1999 (27y) | ||
| Mary Margaret Crummey | Registered representative | Mar 1999 (27y) | ||
| Matthew Tyler Bret | Registered representative | Mar 1999 (27y) | ||
| Paul Genji Tashima | Registered representative | Mar 1999 (27y) | ||
| Chris G. George Atsaves | Registered representative | Mar 1999 (27y) | ||
| Warren Overman | Registered representative | Mar 1999 (27y) | ||
| Michelle M Kowal | Registered representative | Apr 1999 (27y) | ||
| Mark William Kersenbrock | Registered representative | Apr 1999 (27y) | ||
| Stacy Ryan Oster | Registered representative | Apr 1999 (27y) | ||
| Waddy Joe Hammond | Registered representative | Apr 1999 (27y) | ||
| David Martin Souza | Registered representative | May 1999 (27y) | ||
| Emmee Sarmiento Ferguson | Registered representative | May 1999 (27y) | ||
| Cherrie Suzanne Brickhouse | Registered representative | May 1999 (27y) | ||
| Scott Evan Troutman | Registered representative | May 1999 (27y) | ||
| Michael Geoffrey Trahan | Registered representative | May 1999 (27y) | ||
| Valarie Joan Jensen | Registered representative | May 1999 (27y) | ||
| Robert Kyle Kight | Registered representative | Jun 1999 (27y) | ||
| Charles James Kabeiseman | Registered representative | Jun 1999 (27y) | ||
| Ejner J Johnson Jr. | Registered representative | Jun 1999 (27y) | ||
| Michael George Poots | Registered representative | Jun 1999 (27y) | ||
| David Eliot Aycock | Registered representative | Jul 1999 (27y) | ||
| Anna M. Burish | Registered representative | Aug 1999 (27y) | ||
| Russell Allen Kane | Registered representative | Aug 1999 (27y) | ||
| Chad Arthur Hartup | Registered representative | Aug 1999 (27y) | ||
| Colin Robert Driscoll | Registered representative | Aug 1999 (27y) | ||
| David Sean Maher | Registered representative | Aug 1999 (27y) | ||
| Deanna Lyn Collins | Registered representative | Aug 1999 (27y) | ||
| Deborah Lynne Junior | Registered representative | Aug 1999 (27y) | ||
| Gary Matthew Young | Registered representative | Aug 1999 (27y) | ||
| James Francis Negrelli | Registered representative | Aug 1999 (27y) | ||
| James Jackson Burchenal | Registered representative | Aug 1999 (27y) | ||
| Jeanine Marie Toney | Registered representative | Aug 1999 (27y) | ||
| Jeffrey S Pacetti | Registered representative | Aug 1999 (27y) | ||
| Kimberly Suzanne Troutner | Registered representative | Aug 1999 (27y) | ||
| Michael Edwin Kern | Registered representative | Aug 1999 (27y) | ||
| Richard Lee Stager | Registered representative | Aug 1999 (27y) | ||
| Thomas Joseph Frank | Registered representative | Aug 1999 (27y) | ||
| Timothy E Donovan Sr. | Registered representative | Aug 1999 (27y) | ||
| Jay Todd Bowman | Registered representative | Aug 1999 (27y) | ||
| Jeffrey William Brauley | Registered representative | Aug 1999 (27y) | ||
| Jennifer Lynn Dimmitt | Registered representative | Aug 1999 (27y) | ||
| Judith Ann Wietrzykowski | Registered representative | Aug 1999 (27y) | ||
| Ricke L Cocke | Registered representative | Aug 1999 (27y) | ||
| Robert Earl Wood | Registered representative | Aug 1999 (27y) | ||
| Thomas Charles Purcell | Registered representative | Aug 1999 (27y) | ||
| Deborah Anne Jackman | Registered representative | Aug 1999 (27y) | ||
| Lisa Faye Sherrod | Registered representative | Aug 1999 (27y) | ||
| Mark William Hagan | Registered representative | Sep 1999 (27y) | ||
| Patrick Harold Oconnell | Registered representative | Sep 1999 (27y) | ||
| Louis George Skertich | Registered representative | Sep 1999 (27y) | ||
| Glen Titan | Registered representative | Sep 1999 (27y) | ||
| Carlyn M. English | Registered representative | Sep 1999 (27y) | ||
| Joseph Anthony Depaula | Registered representative | Oct 1999 (27y) | ||
| David Bryant Field | Registered representative | Oct 1999 (27y) | ||
| Joseph Daniel Michel | Registered representative | Oct 1999 (27y) | ||
| Tara C Corrigall | Registered representative | Oct 1999 (27y) | ||
| Lesley Ann Ferguson | Registered representative | Oct 1999 (27y) | ||
| Stephen Hoi Tak Luk | Registered representative | Nov 1999 (27y) | ||
| Nancy J Sawicki | Registered representative | CFP | Nov 1999 (27y) | |
| Jeffrey Max Hoffman | Registered representative | Nov 1999 (27y) | ||
| Denise Ellen Manning | Registered representative | Nov 1999 (27y) | ||
| Marco Peter Giancotti | Registered representative | Nov 1999 (27y) | ||
| Jason Maxwell Katz | Registered representative | Dec 1999 (27y) | ||
| Daniel Philip Demsky | Registered representative | Dec 1999 (27y) | ||
| Roland Olaf Vonwinckelmann | Registered representative | Jan 2000 (27y) | ||
| John Julian Vazquez | Registered representative | Jan 2000 (27y) | ||
| Robert Glen Levy | Registered representative | Jan 2000 (27y) | ||
| Stephen Douglas Lucero | Registered representative | Jan 2000 (27y) | ||
| Earl Amerman Dyke | Registered representative | Feb 2000 (26y) | ||
| Michael Saunders | Registered representative | Feb 2000 (26y) | ||
| David Steven Goldberg | Registered representative | Feb 2000 (26y) | ||
| Robert Holmes Allred | Registered representative | Mar 2000 (26y) | ||
| James E. Dahl | Registered representative | Mar 2000 (26y) | ||
| Virginia Nassour | Registered representative | Mar 2000 (26y) | ||
| Marc A. Ciociola | Registered representative | Mar 2000 (26y) | ||
| Steve James Moss | Registered representative | Mar 2000 (26y) | ||
| Andrew Armour Bassock | Registered representative | Apr 2000 (26y) | ||
| Joseph P Doman Jr. | Registered representative | Apr 2000 (26y) | ||
| Paul Basil Makris | Registered representative | Apr 2000 (26y) | ||
| Peggy Earls Godwin | Registered representative | May 2000 (26y) | ||
| Richard Adam Suss | Registered representative | May 2000 (26y) | ||
| Michael Gabriele | Registered representative | Jun 2000 (26y) | ||
| Robert A. Long | Registered representative | Jun 2000 (26y) | ||
| John R Torregrosa | Registered representative | Jun 2000 (26y) | ||
| Keith Kazuo Kawamoto | Registered representative | Jun 2000 (26y) | ||
| Steven Albert Davis | Registered representative | Jun 2000 (26y) | ||
| Patrick M. Michael Evans | Registered representative | Jul 2000 (26y) | ||
| Donald Everett Williams | Registered representative | Jul 2000 (26y) | ||
| Stephen D Mcgalla | Registered representative | Jul 2000 (26y) | ||
| Gino R Stumpo | Registered representative | Jul 2000 (26y) | ||
| Tiffany D Kellner | Registered representative | Aug 2000 (26y) | ||
| Anne Bransford Wallace | Registered representative | Aug 2000 (26y) | ||
| Benjamin Wade Wakefield | Registered representative | Aug 2000 (26y) | ||
| James Douglas Matthews | Registered representative | Aug 2000 (26y) | ||
| Jana Lisle Parham | Registered representative | Aug 2000 (26y) | ||
| Mark Jerome Bloom | Registered representative | Aug 2000 (26y) | ||
| Samuel Jeffrey Davidson | Registered representative | Aug 2000 (26y) | ||
| Nikkol Madonna Jennings | Registered representative | Aug 2000 (26y) | ||
| Christopher Allen Barnard | Registered representative | Aug 2000 (26y) | ||
| Shaun Perry Nicholson | Registered representative | Aug 2000 (26y) | ||
| Timothy Odonnell Cornell | Registered representative | Aug 2000 (26y) | ||
| Eric Michael Carter | Registered representative | Aug 2000 (26y) | ||
| Clayton Robert Gilcrease | Registered representative | Sep 2000 (26y) | ||
| Barry Jason Dupuy | Registered representative | Sep 2000 (26y) | ||
| James Andrew Wilcox | Registered representative | Sep 2000 (26y) | ||
| Benjamin Roy Bergfelt | Registered representative | Sep 2000 (26y) | ||
| Christopher Matthew Geesman | Registered representative | Sep 2000 (26y) | ||
| Mark Robert Edwards | Registered representative | Sep 2000 (26y) | ||
| Michele Louise Burch Lippincott | Registered representative | Oct 2000 (26y) | ||
| Gregory Neal Mcdonald | Registered representative | Nov 2000 (26y) | ||
| Scott Thomas Cengia | Registered representative | Nov 2000 (26y) | ||
| Shawn R Meneely | Registered representative | Nov 2000 (26y) | ||
| Dave Erik Krueckel | Registered representative | Nov 2000 (26y) | ||
| Lorraine Allemand | Registered representative | Nov 2000 (26y) | ||
| David Michael Wehrman | Registered representative | Nov 2000 (26y) | ||
| James Lynn | Registered representative | Nov 2000 (26y) | ||
| Alon Kim | Registered representative | Nov 2000 (26y) | ||
| Nick C Paterakos | Registered representative | Nov 2000 (26y) | ||
| Ann C Christine Lutz | Registered representative | Dec 2000 (26y) | ||
| George W Burke Jr. | Registered representative | Dec 2000 (26y) | ||
| Natasha Tyagi Gilbert | Registered representative | Dec 2000 (26y) | ||
| Calvina Lum | Registered representative | Dec 2000 (26y) | ||
| Daniel F Marcus | Registered representative | Dec 2000 (26y) | ||
| John W. Warren Bloom | Registered representative | Jan 2001 (26y) | ||
| Gary Albert Cooper | Registered representative | Jan 2001 (26y) | ||
| Debra J. Klinzing | Registered representative | Jan 2001 (26y) | ||
| Rosemary King Lombardy | Registered representative | Jan 2001 (26y) | ||
| Barbara Jean Bodon | Registered representative | Jan 2001 (26y) | ||
| Benjamin Scott Majewski | Registered representative | Jan 2001 (26y) | ||
| Brandon Stuart Mazur | Registered representative | Feb 2001 (25y) | ||
| Joel David Jason | Registered representative | Feb 2001 (25y) | ||
| Timothy Darren Whitworth | Registered representative | Feb 2001 (25y) | ||
| Gregory Michael Power | Registered representative | Feb 2001 (25y) | ||
| James Michael Orr | Registered representative | Mar 2001 (25y) | ||
| Michelle L Lowe | Registered representative | Mar 2001 (25y) | ||
| Madeleine A. Antekelian | Registered representative | Mar 2001 (25y) | ||
| Mark Joseph Russo | Registered representative | Mar 2001 (25y) | ||
| Forrest Eugene Fielder | Registered representative | Mar 2001 (25y) | ||
| Joseph Jerome Schirripa | Registered representative | Mar 2001 (25y) | ||
| Jonathan Sloan Kendall | Registered representative | Mar 2001 (25y) | ||
| Caesar R. R Ruegg | Registered representative | May 2001 (25y) | ||
| Dorian John Khouri | Registered representative | May 2001 (25y) | ||
| Teresa Annette Jacobsen | Registered representative | May 2001 (25y) | ||
| Thomas Robert Gaspich | Registered representative | May 2001 (25y) | ||
| James Scott Knight | Registered representative | May 2001 (25y) | ||
| Karen G Garcia | Registered representative | May 2001 (25y) | ||
| Robert Nick Cusano | Registered representative | May 2001 (25y) | ||
| Jeffrey H. Becker | Registered representative | May 2001 (25y) | ||
| Frank Horace Moore | Registered representative | May 2001 (25y) | ||
| Kristi M. Thelen | Registered representative | CFP | Jun 2001 (25y) | |
| Joseph Alan Currier | Registered representative | Jun 2001 (25y) | ||
| Elizabeth A Deane | Registered representative | Jun 2001 (25y) | ||
| Kent Alan Ryland | Registered representative | Jun 2001 (25y) | ||
| John Dull Jr. | Registered representative | Jul 2001 (25y) | ||
| Larry Dean Callender | Registered representative | Jul 2001 (25y) | ||
| Sharon Callender Snowden | Registered representative | CFP | Jul 2001 (25y) | |
| Veronica Michele Miller | Registered representative | Jul 2001 (25y) | ||
| Brett Edward Tank | Registered representative | Jul 2001 (25y) | ||
| Brian Christopher Sauer | Registered representative | Jul 2001 (25y) | ||
| Pamela Jo Thompson | Registered representative | CFP | Jul 2001 (25y) | |
| Robert Scott Anderson | Registered representative | Jul 2001 (25y) | ||
| Joshua Howard Strawn | Registered representative | Jul 2001 (25y) | ||
| Daniel Joseph Gurian | Registered representative | Aug 2001 (25y) | ||
| Ryan F. Kotarba | Registered representative | Aug 2001 (25y) | ||
| Joy Hadsell Ellison | Registered representative | Aug 2001 (25y) | ||
| Anthony Robert Schena | Registered representative | Aug 2001 (25y) | ||
| Ronald Francis Giancristofaro | Registered representative | Sep 2001 (25y) | ||
| Carl R. Randall Watson | Registered representative | Sep 2001 (25y) | ||
| Bryan Carl Adamson | Registered representative | Sep 2001 (25y) | ||
| Christopher Andrew Gachi | Registered representative | Sep 2001 (25y) | ||
| Kamron Westman Praytor | Registered representative | Oct 2001 (25y) | ||
| Richard Edward Ristau | Registered representative | Oct 2001 (25y) | ||
| Jeremy T Shull | Registered representative | Oct 2001 (25y) | ||
| Thomas Wood | Registered representative | Oct 2001 (25y) | ||
| Gerard H Soriano Jr. | Registered representative | Oct 2001 (25y) | ||
| Susan Jane Mckinney | Registered representative | Oct 2001 (25y) | ||
| Tyler Paul Massey | Registered representative | Nov 2001 (25y) | ||
| Brian Henderson | Registered representative | Nov 2001 (25y) | ||
| Kelly L. Lynn Wittich | Registered representative | Nov 2001 (25y) | ||
| Michael L Mckay | Registered representative | Nov 2001 (25y) | ||
| Mark P. Worley | Registered representative | Dec 2001 (25y) | ||
| Patrick James Galbraith | Registered representative | Dec 2001 (25y) | ||
| Benjamin Edward Goldstein | Registered representative | Dec 2001 (25y) | ||
| Frederick H Hosmer Cooke | Registered representative | Dec 2001 (25y) | ||
| Gordon Frederick Semeniuk | Registered representative | Dec 2001 (25y) | ||
| John Marcus Aderholdt | Registered representative | Dec 2001 (25y) | ||
| Kelly Budd Tinsley | Registered representative | Dec 2001 (25y) | ||
| Kevin Owen Moran | Registered representative | Dec 2001 (25y) | ||
| Stephen Alton Hailey | Registered representative | Dec 2001 (25y) | ||
| Thomas Alan Binkley | Registered representative | Dec 2001 (25y) | ||
| Bruce David Ochsman | Registered representative | Jan 2002 (25y) | ||
| David George Feroleto | Registered representative | Jan 2002 (25y) | ||
| James B Bernard Daley | Registered representative | Jan 2002 (25y) | ||
| James Woodson West | Registered representative | Jan 2002 (25y) | ||
| Jason David Windfield | Registered representative | Jan 2002 (25y) | ||
| Alice Marie Holcomb | Registered representative | Jan 2002 (25y) | ||
| W Clark Gallivan | Registered representative | Jan 2002 (25y) | ||
| Bryan Scott Steele | Registered representative | Feb 2002 (24y) | ||
| Gregory D Dean Lew | Registered representative | Feb 2002 (24y) | ||
| Michael J Scandalios | Registered representative | Feb 2002 (24y) | ||
| Matson F. Forrest Schwalm | Registered representative | Feb 2002 (24y) | ||
| Brian Charles Gardiner | Registered representative | Feb 2002 (24y) | ||
| Curtis Conover | Registered representative | Mar 2002 (24y) | ||
| David Edward Fitch | Registered representative | Mar 2002 (24y) | ||
| Jenny B Andersson | Registered representative | Mar 2002 (24y) | ||
| Sherry Phillips Malone | Registered representative | Mar 2002 (24y) | ||
| Benjamin Pierce Quick | Registered representative | Mar 2002 (24y) | ||
| Altaf R Merchant | Registered representative | Mar 2002 (24y) | ||
| Richard Curtis Jr. | Registered representative | Mar 2002 (24y) | ||
| Hardy L. Lathan Winburn | Registered representative | Apr 2002 (24y) | ||
| Andrea Nucero | Registered representative | Apr 2002 (24y) | ||
| Douglas Paul Posluszny | Registered representative | Apr 2002 (24y) | ||
| Eric M Rosen | Registered representative | Apr 2002 (24y) | ||
| Michael Guido | Registered representative | CFP | Apr 2002 (24y) | |
| Robert John Moses | Registered representative | CFP | Apr 2002 (24y) | |
| Susan Marie Bailey | Registered representative | Apr 2002 (24y) | ||
| Beth Alison Lovell | Registered representative | Apr 2002 (24y) | ||
| Craig Christopher Callery | Registered representative | Apr 2002 (24y) | ||
| Benjamin Youngquist Dean | Registered representative | Apr 2002 (24y) | ||
| Lisa Michelle Trivisone | Registered representative | Apr 2002 (24y) | ||
| Steven Allen Rothman | Registered representative | CFP | May 2002 (24y) | |
| Keith Martin Fallis | Registered representative | May 2002 (24y) | ||
| Winona Chere Ward | Registered representative | May 2002 (24y) | ||
| Manuel Alberto Coroalles | Registered representative | CFP | May 2002 (24y) | |
| Dean Lawrence Scarpa | Registered representative | May 2002 (24y) | ||
| Frances Poliandro Heath | Registered representative | May 2002 (24y) | ||
| Frank Matthew Condon | Registered representative | May 2002 (24y) | ||
| Gregory W Bielat | Registered representative | May 2002 (24y) | ||
| Jeffrey D Lichtstein | Registered representative | May 2002 (24y) | ||
| John Francis Buckley | Registered representative | May 2002 (24y) | ||
| Laura Weiss Strubel | Registered representative | May 2002 (24y) | ||
| Martha Lee Harding | Registered representative | May 2002 (24y) | ||
| Paul Richard Stevens | Registered representative | May 2002 (24y) | ||
| Victor Francis Anthony | Registered representative | May 2002 (24y) | ||
| Sasha Ray Kottmeier | Registered representative | May 2002 (24y) | ||
| L Marc Shegoski | Registered representative | May 2002 (24y) | ||
| Brandy L. Rehberger | Registered representative | Jun 2002 (24y) | ||
| Catherine Stampul | Registered representative | Jun 2002 (24y) | ||
| Steven Stanley Posluszny | Registered representative | Jun 2002 (24y) | ||
| Jennifer A Owens | Registered representative | CFP | Jun 2002 (24y) | |
| Marc Craig Portnoy | Registered representative | Jun 2002 (24y) | ||
| Robert Devaney | Registered representative | Jun 2002 (24y) | ||
| Timothy Michael Donnelly | Registered representative | Jun 2002 (24y) | ||
| Gerard Patrick Melley | Registered representative | Jun 2002 (24y) | ||
| Louis Anthony Sforza | Registered representative | Jun 2002 (24y) | ||
| Daniel C Shepler | Registered representative | Jun 2002 (24y) | ||
| Sonny Hamesh Gulati | Registered representative | Jun 2002 (24y) | ||
| Dana Ann Sudol | Registered representative | Jun 2002 (24y) | ||
| Gregory Lee Pfaff | Registered representative | Jun 2002 (24y) | ||
| Mark William Murray | Registered representative | Jun 2002 (24y) | ||
| Edward Mark Lubell | Registered representative | Jul 2002 (24y) | ||
| John Seiberling Fulton | Registered representative | Jul 2002 (24y) | ||
| Mark William Namvary | Registered representative | Jul 2002 (24y) | ||
| Brian G. Gerard Lockier | Registered representative | Jul 2002 (24y) | ||
| Edward John Emanuel | Registered representative | Jul 2002 (24y) | ||
| Mark David Harbaugh | Registered representative | Jul 2002 (24y) | ||
| Ryan James Beckwith | Registered representative | Jul 2002 (24y) | ||
| Brett Coltman | Registered representative | Jul 2002 (24y) | ||
| Ronald C Fleischman | Registered representative | Aug 2002 (24y) | ||
| Ellice Jean Papp | Registered representative | Aug 2002 (24y) | ||
| Robin Mary Ax | Registered representative | Aug 2002 (24y) | ||
| Susan Marie Wolff | Registered representative | Aug 2002 (24y) | ||
| James Michael Giordano | Registered representative | CFP | Aug 2002 (24y) | |
| Karen Blodgett Lamberton | Registered representative | Aug 2002 (24y) | ||
| Sean Thomas Steady | Registered representative | Aug 2002 (24y) | ||
| Thomas William Gower | Registered representative | Aug 2002 (24y) | ||
| David Franklin Childers | Registered representative | Aug 2002 (24y) | ||
| Douglas Paul Braff | Registered representative | Aug 2002 (24y) | ||
| Franklin Russell Beard | Registered representative | Aug 2002 (24y) | ||
| Edward Charles Brown | Registered representative | Aug 2002 (24y) | ||
| Ryan Michael Long | Registered representative | Sep 2002 (24y) | ||
| Michael Carey | Registered representative | Sep 2002 (24y) | ||
| Timothy J Schneider | Registered representative | Sep 2002 (24y) | ||
| Christopher Grennon | Registered representative | Sep 2002 (24y) | ||
| Bill Rush Mosby | Registered representative | Sep 2002 (24y) | ||
| Brent Gordon Thompson | Registered representative | Sep 2002 (24y) | ||
| David Michael Blindman | Registered representative | Sep 2002 (24y) | ||
| George William Skonberg | Registered representative | Sep 2002 (24y) | ||
| James Marc Engel | Registered representative | Sep 2002 (24y) | ||
| James William Rimmel | Registered representative | Sep 2002 (24y) | ||
| John Robert Lynn | Registered representative | Sep 2002 (24y) | ||
| Lewis Cohen | Registered representative | Sep 2002 (24y) | ||
| Philip Bocketti | Registered representative | Sep 2002 (24y) | ||
| Richard Keith Schneider | Registered representative | Sep 2002 (24y) | ||
| Robert J Long | Registered representative | CFP | Sep 2002 (24y) | |
| Sean Vance Dillon | Registered representative | Sep 2002 (24y) | ||
| John Richard Dolloff | Registered representative | Sep 2002 (24y) | ||
| Peter C Carl Johnson | Registered representative | Sep 2002 (24y) | ||
| Matthew B Clark | Registered representative | Oct 2002 (24y) | ||
| Vivian Heloise Aguirre | Registered representative | Oct 2002 (24y) | ||
| Danielle C Klimash | Registered representative | Oct 2002 (24y) | ||
| George Licht | Registered representative | Oct 2002 (24y) | ||
| John Bresnehan | Registered representative | Oct 2002 (24y) | ||
| Karen B. Edelman | Registered representative | CFP Chartered Financial Consultant | Oct 2002 (24y) | |
| Kenneth Antonio Rubio | Registered representative | CFP | Oct 2002 (24y) | |
| Stephanie Rebecca Bornstein | Registered representative | Oct 2002 (24y) | ||
| James A Alexander Chambers Ii | Registered representative | Nov 2002 (24y) | ||
| Richard Thomas Ebert | Registered representative | Nov 2002 (24y) | ||
| James Christ Ruboyianes | Registered representative | Nov 2002 (24y) | ||
| Lisanne Marie Glew | Registered representative | Nov 2002 (24y) | ||
| Paula Jean Raleigh | Registered representative | Nov 2002 (24y) | ||
| Harry Thomas Bucalo | Registered representative | Nov 2002 (24y) | ||
| Wilfred Ross Keyser | Registered representative | Nov 2002 (24y) | ||
| Edward A. Alexander Sui | Registered representative | Nov 2002 (24y) | ||
| Karla H. Flick | Registered representative | Nov 2002 (24y) | ||
| Jamie L White | Registered representative | Nov 2002 (24y) | ||
| Andrew D. David Ferguson | Registered representative | Nov 2002 (24y) | ||
| John Francis Mclaurin | Registered representative | Nov 2002 (24y) | ||
| Emily Williams Vanhoorickx | Registered representative | Dec 2002 (24y) | ||
| Sara Mcquaid Saxe | Registered representative | Dec 2002 (24y) | ||
| Travis Vann Doyle | Registered representative | Dec 2002 (24y) | ||
| Laci Lou Weatherford | Registered representative | Dec 2002 (24y) | ||
| Christopher Riley Jackson | Registered representative | Dec 2002 (24y) | ||
| Denny B Goforth | Registered representative | Dec 2002 (24y) | ||
| Paul A Romano | Registered representative | Dec 2002 (24y) | ||
| Timothy Allen Holt | Registered representative | Dec 2002 (24y) | ||
| Jerome Gibson Hornowski | Registered representative | Dec 2002 (24y) | ||
| John Leo Ahearn | Registered representative | Dec 2002 (24y) | ||
| Mark Richard Switow | Registered representative | Dec 2002 (24y) | ||
| William Donald Radtke | Registered representative | Jan 2003 (24y) | ||
| Jeffrey Bicknell Burke | Registered representative | Jan 2003 (24y) | ||
| Dianna Jean Reiser | Registered representative | Jan 2003 (24y) | ||
| Edward Glen Snyder | Registered representative | Jan 2003 (24y) | ||
| Georgette M Richards | Registered representative | Jan 2003 (24y) | ||
| William Bruce Holt | Registered representative | Jan 2003 (24y) | ||
| William Michael Mccarthy | Registered representative | Jan 2003 (24y) | ||
| Adele J Gabbay Muir | Registered representative | Jan 2003 (24y) | ||
| Langley King Respess | Registered representative | Jan 2003 (24y) | ||
| Michael Edward Hyzdu | Registered representative | Jan 2003 (24y) | ||
| Robert Louis Karem | Registered representative | Jan 2003 (24y) | ||
| Thomas Patrick Reusser | Registered representative | Jan 2003 (24y) | ||
| Allen G Carter Jr. | Registered representative | Jan 2003 (24y) | ||
| Ernest V Moncrieff | Registered representative | Jan 2003 (24y) | ||
| Ragan Earl Defreese | Registered representative | Jan 2003 (24y) | ||
| Jared Leon Papin | Registered representative | Jan 2003 (24y) | ||
| Kent R. Randall Deaver | Registered representative | Jan 2003 (24y) | ||
| Mark Steven Elias | Registered representative | Jan 2003 (24y) | ||
| Harris Mckenzie Gignilliat | Registered representative | Feb 2003 (23y) | ||
| David F. Ball | Registered representative | Feb 2003 (23y) | ||
| Leland Baldwin Bishop | Registered representative | Feb 2003 (23y) | ||
| Jany A Brown | Registered representative | Mar 2003 (23y) | ||
| Hugh Lyndon Stephenson | Registered representative | Mar 2003 (23y) | ||
| James Wansley Morton | Registered representative | Mar 2003 (23y) | ||
| Jon Paul Ledoyen | Registered representative | Mar 2003 (23y) | ||
| Stephen Wendell Stana | Registered representative | Mar 2003 (23y) | ||
| Adam Scott Wilson | Registered representative | Mar 2003 (23y) | ||
| Deborah Ann Quinn | Registered representative | Mar 2003 (23y) | ||
| Fernando J Salgado Jr. | Registered representative | Mar 2003 (23y) | ||
| Howard Lyle Abrams | Registered representative | Mar 2003 (23y) | ||
| Stephen Gerard Maloof | Registered representative | Mar 2003 (23y) | ||
| Franco J. Estrada | Registered representative | Mar 2003 (23y) | ||
| Amanda Jackson | Registered representative | Mar 2003 (23y) | ||
| Michael William Meek | Registered representative | Mar 2003 (23y) | ||
| Cromwell Santos Baun | Registered representative | Apr 2003 (23y) | ||
| Steven Edward Rutledge | Registered representative | Apr 2003 (23y) | ||
| Brent George Coakley | Registered representative | Apr 2003 (23y) | ||
| Judith Hefter Berlin | Registered representative | Apr 2003 (23y) | ||
| Joseph James Lauri | Registered representative | Apr 2003 (23y) | ||
| Andrew Bradford Shantz | Registered representative | Apr 2003 (23y) | ||
| James P Shantz | Registered representative | Apr 2003 (23y) | ||
| Matthew Patrick Terry | Registered representative | Apr 2003 (23y) | ||
| Thomas Erik Mantione | Registered representative | Apr 2003 (23y) | ||
| Ashley H Laubach | Registered representative | Apr 2003 (23y) | ||
| Todd Patrick Kennedy | Registered representative | May 2003 (23y) | ||
| Karen Ann Kurrasch | Registered representative | May 2003 (23y) | ||
| Paul Thomas Vosburgh | Registered representative | CFP | May 2003 (23y) | |
| Sharon Shauh Rong Juang | Registered representative | May 2003 (23y) | ||
| Glenn E. Edsel Malloy | Registered representative | May 2003 (23y) | ||
| Kimberly Ann Twombly | Registered representative | CFP | May 2003 (23y) | |
| Scott Phillip Morris | Registered representative | May 2003 (23y) | ||
| Tracey Dubree | Registered representative | May 2003 (23y) | ||
| Christopher Gordon Beale | Registered representative | May 2003 (23y) | ||
| Kenneth Charles Mulreed | Registered representative | May 2003 (23y) | ||
| Angela D. Woodward | Registered representative | Jun 2003 (23y) | ||
| Diane Harper | Registered representative | Jun 2003 (23y) | ||
| Edmund G Nasief Jr. | Registered representative | Jun 2003 (23y) | ||
| Stefanie C Gretkowski | Registered representative | Jun 2003 (23y) | ||
| Diane Mcminds | Registered representative | Jul 2003 (23y) | ||
| Lisa Nicosia | Registered representative | Jul 2003 (23y) | ||
| Michael David Kanigher | Registered representative | Jul 2003 (23y) | ||
| Blair Thompson Cornell | Registered representative | Jul 2003 (23y) | ||
| Charlton Estevan Vance | Registered representative | Aug 2003 (23y) | ||
| Jeffrey Burnell Heard | Registered representative | Aug 2003 (23y) | ||
| Robert Brad Bishop | Registered representative | Aug 2003 (23y) | ||
| Martha Maher Naselli | Registered representative | Aug 2003 (23y) | ||
| Andrew Wade Kittelson | Registered representative | Sep 2003 (23y) | ||
| Dennis Stephen Oleszkowicz | Registered representative | Sep 2003 (23y) | ||
| Amy R. Brooks | Registered representative | Oct 2003 (23y) | ||
| Sandra Lee Bright | Registered representative | Oct 2003 (23y) | ||
| Joseph Anthony Dieterle | Registered representative | Oct 2003 (23y) | ||
| Jennifer Mary Pope | Registered representative | Oct 2003 (23y) | ||
| Scott William Green | Registered representative | Oct 2003 (23y) | ||
| Chris James Shukie | Registered representative | Nov 2003 (23y) | ||
| Edgar Henry Bachrach | Registered representative | Nov 2003 (23y) | ||
| Jeffrey Lee Nemechek | Registered representative | Nov 2003 (23y) | ||
| William Boone Finnerty | Registered representative | Nov 2003 (23y) | ||
| Crystal G. Maxwell | Registered representative | Nov 2003 (23y) | ||
| Julene V. Richards Scilingo | Registered representative | Nov 2003 (23y) | ||
| Tracy D Flinton | Registered representative | Nov 2003 (23y) | ||
| William Carroll | Registered representative | Nov 2003 (23y) | ||
| Christopher Di Muria | Registered representative | Dec 2003 (23y) | ||
| Mark Harold Brewer | Registered representative | Dec 2003 (23y) | ||
| Irene Frances Apgar | Registered representative | Dec 2003 (23y) | ||
| Marne Helen Head | Registered representative | Dec 2003 (23y) | ||
| Ashley M. Buhl | Registered representative | Jan 2004 (23y) | ||
| William Austin Duncan | Registered representative | Jan 2004 (23y) | ||
| Douglas Alan Brown | Registered representative | Jan 2004 (23y) | ||
| Lee Craig Oleinick | Registered representative | Jan 2004 (23y) | ||
| Michael Cotter | Registered representative | Jan 2004 (23y) | ||
| Almerine Stout | Registered representative | Jan 2004 (23y) | ||
| Angela Lanning | Registered representative | Jan 2004 (23y) | ||
| Jennifer Brenzel Hartlage | Registered representative | Jan 2004 (23y) | ||
| Joan L Lanham Baldwin | Registered representative | Jan 2004 (23y) | ||
| Tracy Smith King | Registered representative | Jan 2004 (23y) | ||
| Christopher Douglas Jenkins | Registered representative | Jan 2004 (23y) | ||
| Leigh Galloway | Registered representative | Jan 2004 (23y) | ||
| Richard Albert Park | Registered representative | Jan 2004 (23y) | ||
| Thomas Clark Eddy | Registered representative | CFP | Jan 2004 (23y) | |
| Alan Sully Cohen | Registered representative | Jan 2004 (23y) | ||
| Doris Jo Adams Sowell | Registered representative | Jan 2004 (23y) | ||
| Robert Carlton Andrews | Registered representative | Jan 2004 (23y) | ||
| Susan K Morris | Registered representative | Jan 2004 (23y) | ||
| Cynthia Martin | Registered representative | Jan 2004 (23y) | ||
| David Marshall Tarver | Registered representative | Jan 2004 (23y) | ||
| James Emerson Wilford | Registered representative | Jan 2004 (23y) | ||
| Melissa Markus Graham | Registered representative | Jan 2004 (23y) | ||
| Michael Finley Bell | Registered representative | Jan 2004 (23y) | ||
| Steven Doyle Gatlin | Registered representative | Jan 2004 (23y) | ||
| William Bayly Taff | Registered representative | Jan 2004 (23y) | ||
| Adam Sowell | Registered representative | Jan 2004 (23y) | ||
| Chris Louis Taylor | Registered representative | Jan 2004 (23y) | ||
| Dinah L Pate | Registered representative | Jan 2004 (23y) | ||
| Don L Brooks | Registered representative | Jan 2004 (23y) | ||
| Ginger Jackson Queener | Registered representative | Jan 2004 (23y) | ||
| Gordon Lane Brewer | Registered representative | Jan 2004 (23y) | ||
| Joseph Lorne Quarles | Registered representative | Jan 2004 (23y) | ||
| John Bradfield Ryan | Registered representative | Jan 2004 (23y) | ||
| Jonathan Scott Butcher | Registered representative | Jan 2004 (23y) | ||
| Christopher Michael Mcgill | Registered representative | Jan 2004 (23y) | ||
| Curt W Denney | Registered representative | Jan 2004 (23y) | ||
| Michael George Miller | Registered representative | Jan 2004 (23y) | ||
| Brandon Wood Linton | Registered representative | Jan 2004 (23y) | ||
| Edward Charles Obrien | Registered representative | Jan 2004 (23y) | ||
| James Joseph Reynolds | Registered representative | Jan 2004 (23y) | ||
| Jefferson Blaine Cronan | Registered representative | Jan 2004 (23y) | ||
| Matthew A. Dudiak | Registered representative | Jan 2004 (23y) | ||
| Thomas A Siler Jr. | Registered representative | Jan 2004 (23y) | ||
| David B. Brian Arnold | Registered representative | Jan 2004 (23y) | ||
| Eric Ross Christensen | Registered representative | Feb 2004 (22y) | ||
| Perthilda Joyce Sherven | Registered representative | Feb 2004 (22y) | ||
| Jason J. Wolsefer | Registered representative | Feb 2004 (22y) | ||
| John Neil Gherardi | Registered representative | Feb 2004 (22y) | ||
| David Bryan Schachter | Registered representative | Feb 2004 (22y) | ||
| Kathleen Marie Collier | Registered representative | Feb 2004 (22y) | ||
| Brij Mohan Jairath | Registered representative | Feb 2004 (22y) | ||
| William Sanford Stryker | Registered representative | Feb 2004 (22y) | ||
| Deborah W Murphy | Registered representative | CFP | Mar 2004 (22y) | |
| Judith D Martinez | Registered representative | CFP Chartered Financial Consultant | Mar 2004 (22y) | |
| Carter Snow Bagley | Registered representative | Mar 2004 (22y) | ||
| Helen Minieri Stacy | Registered representative | Mar 2004 (22y) | ||
| Patrick Michael Adams | Registered representative | Mar 2004 (22y) | ||
| Gary Bob Mcintire | Registered representative | Mar 2004 (22y) | ||
| Carolann Hammond | Registered representative | Apr 2004 (22y) | ||
| David Francis Paduch | Registered representative | CFP | Apr 2004 (22y) | |
| John Stephen Garrity | Registered representative | Apr 2004 (22y) | ||
| James Jones | Registered representative | Apr 2004 (22y) | ||
| James Steven Dalimonte | Registered representative | Apr 2004 (22y) | ||
| Leo Andrew Monahan | Registered representative | Apr 2004 (22y) | ||
| Sheldon Leslie Fogel | Registered representative | Apr 2004 (22y) | ||
| Thomas Russell Qvistgaard | Registered representative | Apr 2004 (22y) | ||
| Christopher Wayne Guthrie | Registered representative | Apr 2004 (22y) | ||
| Eric J Butler | Registered representative | Apr 2004 (22y) | ||
| Nicholas Rocco Alexander | Registered representative | Apr 2004 (22y) | ||
| Karen Elizabeth Nystrom | Registered representative | Apr 2004 (22y) | ||
| Scott Hollaender | Registered representative | May 2004 (22y) | ||
| Susanna Pena Lund | Registered representative | May 2004 (22y) | ||
| Stephen Joseph Miles | Registered representative | May 2004 (22y) | ||
| Shawn Conway Macfarlan | Registered representative | Jun 2004 (22y) | ||
| Myra Gargill Kolton | Registered representative | Jun 2004 (22y) | ||
| Cynthia De Laski | Registered representative | Jun 2004 (22y) | ||
| Laura W. Wellon | Registered representative | Jun 2004 (22y) | ||
| Sean Timothy Hagerty | Registered representative | Jun 2004 (22y) | ||
| Robert Jamison Packer | Registered representative | Jun 2004 (22y) | ||
| Steven Page Di Renzo | Registered representative | Jun 2004 (22y) | ||
| Nile Christopher Pullin | Registered representative | CFP | Jun 2004 (22y) | |
| Scott Blake Mintz | Registered representative | Jun 2004 (22y) | ||
| Marcus Christian Fagersten | Registered representative | Jul 2004 (22y) | ||
| Francis Troy Barnhart | Registered representative | Jul 2004 (22y) | ||
| Ronald C Kretkowski Jr. | Registered representative | Jul 2004 (22y) | ||
| Thomas Neal Mahoney | Registered representative | Jul 2004 (22y) | ||
| Gregory James Takas | Registered representative | Jul 2004 (22y) | ||
| Philip Edward Ochs | Registered representative | Jul 2004 (22y) | ||
| Diana Marie Skerl | Registered representative | Aug 2004 (22y) | ||
| Jason I Feldman | Registered representative | Aug 2004 (22y) | ||
| Lisa A Rose | Registered representative | Aug 2004 (22y) | ||
| Donald William Tynion | Registered representative | Aug 2004 (22y) | ||
| Richard Naville Rand | Registered representative | Aug 2004 (22y) | ||
| Margaret Hatfield Carey | Registered representative | Aug 2004 (22y) | ||
| Priya Aggarwal | Registered representative | Aug 2004 (22y) | ||
| Warner Oland Moore | Registered representative | Sep 2004 (22y) | ||
| Nikolas Adell | Registered representative | Sep 2004 (22y) | ||
| Patrick Lorin Guarnieri | Registered representative | Sep 2004 (22y) | ||
| Jeffrey D Rudner | Registered representative | Sep 2004 (22y) | ||
| William Glenn Royer | Registered representative | Sep 2004 (22y) | ||
| Jay Allan Diesing | Registered representative | Oct 2004 (22y) | ||
| Kathleen Ann Hendershott | Registered representative | Oct 2004 (22y) | ||
| Peter Michael Sanfelippo | Registered representative | Oct 2004 (22y) | ||
| James Vincent Lowden | Registered representative | CFP | Oct 2004 (22y) | |
| Brad Morrison Weiner | Registered representative | Oct 2004 (22y) | ||
| Gregory Squire Hurst | Registered representative | Oct 2004 (22y) | ||
| Janet Marie Goglia | Registered representative | Oct 2004 (22y) | ||
| Stephen Anthony Weber | Registered representative | Oct 2004 (22y) | ||
| Tyson Michael Tibshraeny | Registered representative | Oct 2004 (22y) | ||
| Bradley Eric Hyldahl | Registered representative | Oct 2004 (22y) | ||
| Jennifer Thompson | Registered representative | Oct 2004 (22y) | ||
| Leonard A Dedo | Registered representative | Nov 2004 (22y) | ||
| Douglas Matthew Summer | Registered representative | Nov 2004 (22y) | ||
| Jacqueline Wendy Bianco | Registered representative | Nov 2004 (22y) | ||
| Chris Wyatt Billingsley | Registered representative | Nov 2004 (22y) | ||
| Deborah Fadenholz Webb | Registered representative | Nov 2004 (22y) | ||
| John M Miller | Registered representative | Nov 2004 (22y) | ||
| Jeffrey Lowell Rubin | Registered representative | Nov 2004 (22y) | ||
| Misty Jones | Registered representative | Nov 2004 (22y) | ||
| Timothy Andrew Oates | Registered representative | Nov 2004 (22y) | ||
| Eric Russell Wenkus | Registered representative | Nov 2004 (22y) | ||
| John David Irwin | Registered representative | Nov 2004 (22y) | ||
| Nicole Flores | Registered representative | Dec 2004 (22y) | ||
| Stephen Bulazo | Registered representative | Dec 2004 (22y) | ||
| Michael W. William Lau | Registered representative | Dec 2004 (22y) | ||
| Lori Jane Wolfe Lazorik | Registered representative | Dec 2004 (22y) | ||
| Andrew Roy Worthington | Registered representative | Jan 2005 (22y) | ||
| Daniel T Latimer | Registered representative | Jan 2005 (22y) | ||
| Marilyn Freedman | Registered representative | Jan 2005 (22y) | ||
| Charles Terrebonne | Registered representative | Jan 2005 (22y) | ||
| Gary Bryan Scott | Registered representative | CFP | Jan 2005 (22y) | |
| Matthew Robert Powell | Registered representative | Jan 2005 (22y) | ||
| Alexander Ljubimow | Registered representative | Jan 2005 (22y) | ||
| Brian Robert Polerecky | Registered representative | Jan 2005 (22y) | ||
| Daniel J Pessy | Registered representative | Jan 2005 (22y) | ||
| Jeremy William Yanasak | Registered representative | Jan 2005 (22y) | ||
| John David Jacobs | Registered representative | Jan 2005 (22y) | ||
| Marlie Corzine Thomas | Registered representative | Jan 2005 (22y) | ||
| Jaime A. Banghart | Registered representative | Jan 2005 (22y) | ||
| Andrew James Ruboyianes | Registered representative | Feb 2005 (21y) | ||
| Thomas Gerard Salierno | Registered representative | Feb 2005 (21y) | ||
| Anthony Joseph Gaslevich | Registered representative | Feb 2005 (21y) | ||
| James Pius Stanton | Registered representative | Feb 2005 (21y) | ||
| Christine Marie Govan | Registered representative | Feb 2005 (21y) | ||
| Jason Wayne Kimmell | Registered representative | Feb 2005 (21y) | ||
| Patrick L O'brien | Registered representative | Feb 2005 (21y) | ||
| Melissa D Smith | Registered representative | Feb 2005 (21y) | ||
| Erik Jason Holton | Registered representative | Mar 2005 (21y) | ||
| Jeffrey A Lowden | Registered representative | CFP | Mar 2005 (21y) | |
| Adam Edward Schaller | Registered representative | Mar 2005 (21y) | ||
| Erik Raymond Dahlquist | Registered representative | Mar 2005 (21y) | ||
| Katie Marie Ouellette | Registered representative | Mar 2005 (21y) | ||
| Colleen Regina Schuhmann | Registered representative | Apr 2005 (21y) | ||
| Matthew Joseph Cronin | Registered representative | Apr 2005 (21y) | ||
| Garry Neil Binegar | Registered representative | Apr 2005 (21y) | ||
| Steven Allen Smith | Registered representative | Apr 2005 (21y) | ||
| Anthony Lawrence Venetta | Registered representative | Apr 2005 (21y) | ||
| Michele Aldo Shaw | Registered representative | Apr 2005 (21y) | ||
| Lara Crowell | Registered representative | May 2005 (21y) | ||
| Mary Margaret Foerster | Registered representative | May 2005 (21y) | ||
| Sara J Kenyon | Registered representative | May 2005 (21y) | ||
| Thomas Ryan Moore | Registered representative | May 2005 (21y) | ||
| Levi B Robinson | Registered representative | May 2005 (21y) | ||
| Suzanne Marie Repole | Registered representative | May 2005 (21y) | ||
| Daniel Patrick Gaertner | Registered representative | May 2005 (21y) | ||
| Emily Gaul Minnich | Registered representative | May 2005 (21y) | ||
| Deborah Ann Graves | Registered representative | Jun 2005 (21y) | ||
| Harold G Tabb Jr. | Registered representative | Jun 2005 (21y) | ||
| Kevin Patrick Porter | Registered representative | Jun 2005 (21y) | ||
| Loren Stanley Koziol | Registered representative | Jun 2005 (21y) | ||
| Amy R Renee Milionis | Registered representative | CFP | Jun 2005 (21y) | |
| Lisa L. Miller | Registered representative | Jun 2005 (21y) | ||
| Carmen Louis Flamino | Registered representative | Jun 2005 (21y) | ||
| Connie Marie Dennis | Registered representative | Jun 2005 (21y) | ||
| David Paul Dherete | Registered representative | Jun 2005 (21y) | ||
| Jeff Scott Cullman | Registered representative | Jun 2005 (21y) | ||
| Lisa Reid Mayer | Registered representative | Jun 2005 (21y) | ||
| Jeffrey Lynn Cole | Registered representative | CFP | Jun 2005 (21y) | |
| Mark Daniel Brittan | Registered representative | Jun 2005 (21y) | ||
| Ryan Lee Sboray | Registered representative | Jun 2005 (21y) | ||
| Sarah Lin Fitch | Registered representative | Jul 2005 (21y) | ||
| Karen Gordon | Registered representative | Jul 2005 (21y) | ||
| Brian Monroe Silkwood | Registered representative | CFP | Jul 2005 (21y) | |
| Vittorio Marius Pisciotta | Registered representative | Aug 2005 (21y) | ||
| Natthan Gerard Osterberg | Registered representative | Aug 2005 (21y) | ||
| Clark Harrison Bacon | Registered representative | Aug 2005 (21y) | ||
| Paris Christopher Takonis | Registered representative | Aug 2005 (21y) | ||
| Barry Christopher Mcalinden | Registered representative | Aug 2005 (21y) | ||
| Kristie Lea Gavitt | Registered representative | Aug 2005 (21y) | ||
| Jason Laine Hamlin | Registered representative | Aug 2005 (21y) | ||
| J Rodney Duckworth | Registered representative | Aug 2005 (21y) | ||
| April Sullivan | Registered representative | Aug 2005 (21y) | ||
| Peter David Ritten | Registered representative | Aug 2005 (21y) | ||
| Jeffrey Daniel Head | Registered representative | Aug 2005 (21y) | ||
| Tammy Renae Head | Registered representative | Aug 2005 (21y) | ||
| Natalie Barron | Registered representative | CFP | Sep 2005 (21y) | |
| Brett Michael Gasper | Registered representative | CFP | Sep 2005 (21y) | |
| George Charles Menham | Registered representative | Sep 2005 (21y) | ||
| Ford Bradley Howell | Registered representative | Sep 2005 (21y) | ||
| Jeffrey Michael Brunner | Registered representative | Sep 2005 (21y) | ||
| William Christopher Shad | Registered representative | Sep 2005 (21y) | ||
| James Michael Speyerer | Registered representative | Sep 2005 (21y) | ||
| Scott Gary Musgjerd | Registered representative | Sep 2005 (21y) | ||
| Dean C. Civitello | Registered representative | Sep 2005 (21y) | ||
| Geoffrey Robert Moore | Registered representative | Sep 2005 (21y) | ||
| Ashley Robert Martella | Registered representative | Sep 2005 (21y) | ||
| Jesse G. Fable | Registered representative | Sep 2005 (21y) | ||
| Darren Yuji Yoshioka | Registered representative | Oct 2005 (21y) | ||
| Donn Walter Sant | Registered representative | Oct 2005 (21y) | ||
| Sherry Outen | Registered representative | Oct 2005 (21y) | ||
| Peter Bruce Martin | Registered representative | Oct 2005 (21y) | ||
| Robert Christopher Vallecorse | Registered representative | Oct 2005 (21y) | ||
| Elizabeth Sheehan | Registered representative | Nov 2005 (21y) | ||
| Laura Irving | Registered representative | Nov 2005 (21y) | ||
| Douglas Edward Kottke | Registered representative | Nov 2005 (21y) | ||
| Michael Nemeth | Registered representative | Nov 2005 (21y) | ||
| Kirk John Ongman | Registered representative | Nov 2005 (21y) | ||
| Nicholas Tony Tarrab | Registered representative | Nov 2005 (21y) | ||
| Bradley Robert Britton | Registered representative | CFP | Nov 2005 (21y) | |
| Arlene Kerr Mcdonald | Registered representative | Nov 2005 (21y) | ||
| Nicholas Medland Stell | Registered representative | Nov 2005 (21y) | ||
| Carlos Manuel Raimundo | Registered representative | Nov 2005 (21y) | ||
| Gregory Menelaos Toskos | Registered representative | Nov 2005 (21y) | ||
| Joseph D. David Loftus | Registered representative | Dec 2005 (21y) | ||
| Mark James Robinson | Registered representative | Dec 2005 (21y) | ||
| Robert S Crittendon | Registered representative | Dec 2005 (21y) | ||
| Susan Clare Seifert | Registered representative | Dec 2005 (21y) | ||
| Janet Lee Shatto | Registered representative | Dec 2005 (21y) | ||
| Douglas Layne Carroll | Registered representative | Jan 2006 (21y) | ||
| James P. Shafer | Registered representative | Jan 2006 (21y) | ||
| Alexandre Demetrio | Registered representative | Jan 2006 (21y) | ||
| Rudolph Tilotta | Registered representative | Jan 2006 (21y) | ||
| William John Sullivan | Registered representative | Jan 2006 (21y) | ||
| Michael Joseph Mimick | Registered representative | Jan 2006 (21y) | ||
| Michael John Brick | Registered representative | Jan 2006 (21y) | ||
| Marion Maiorino | Registered representative | Jan 2006 (21y) | ||
| John Fuller | Registered representative | Jan 2006 (21y) | ||
| Michele Madsen | Registered representative | Jan 2006 (21y) | ||
| Amy Beth Tyrrell | Registered representative | Jan 2006 (21y) | ||
| Philip Jerome Oshea | Registered representative | Feb 2006 (20y) | ||
| Mark Robert Wolfson | Registered representative | Feb 2006 (20y) | ||
| Arthur Lee Scott | Registered representative | CFP | Feb 2006 (20y) | |
| Bryce Alan Flaming | Registered representative | Feb 2006 (20y) | ||
| David Michael Hudson | Registered representative | Feb 2006 (20y) | ||
| Joseph Frank Varga | Registered representative | Feb 2006 (20y) | ||
| Edward Thomas Lehr | Registered representative | Mar 2006 (20y) | ||
| Karla Spearing | Registered representative | Mar 2006 (20y) | ||
| Robby Ray Rogers | Registered representative | Mar 2006 (20y) | ||
| Deron Scott Coleman | Registered representative | Mar 2006 (20y) | ||
| William Randall Cone | Registered representative | Mar 2006 (20y) | ||
| Gregg Brian Arum | Registered representative | Apr 2006 (20y) | ||
| Patricia A A. Dukes | Registered representative | Apr 2006 (20y) | ||
| Joseph Winslow Cheek | Registered representative | Apr 2006 (20y) | ||
| Michael Singh | Registered representative | Apr 2006 (20y) | ||
| Sandra Lee Manzella | Registered representative | Apr 2006 (20y) | ||
| Benedict Robert Tarantino | Registered representative | Apr 2006 (20y) | ||
| Lance Edward Cholet | Registered representative | CFP | Apr 2006 (20y) | |
| Robert Christopher Swanson | Registered representative | Apr 2006 (20y) | ||
| Natalie Hillman Lambrecht | Registered representative | Apr 2006 (20y) | ||
| Nadia Fawcett | Registered representative | Apr 2006 (20y) | ||
| Charles William Ahto | Registered representative | May 2006 (20y) | ||
| John Samuel Skok | Registered representative | May 2006 (20y) | ||
| Gregory Donald Glyman | Registered representative | May 2006 (20y) | ||
| Joel Robinson Nichols | Registered representative | May 2006 (20y) | ||
| Louis D Paster | Registered representative | May 2006 (20y) | ||
| Jason Brent Krischer | Registered representative | May 2006 (20y) | ||
| Robert J Ray | Registered representative | May 2006 (20y) | ||
| Julie Moscow Fox | Registered representative | May 2006 (20y) | ||
| Jon Thomas Dunavold | Registered representative | May 2006 (20y) | ||
| Stephen Barry Egbert | Registered representative | Jun 2006 (20y) | ||
| Charles F Kreiner Jr. | Registered representative | Jun 2006 (20y) | ||
| Gregory Winston Eknoyan | Registered representative | Jun 2006 (20y) | ||
| Brian Duncan Law | Registered representative | Jun 2006 (20y) | ||
| Eric Brandon Beck | Registered representative | Jun 2006 (20y) | ||
| James Lewis Koltes | Registered representative | Jun 2006 (20y) | ||
| Sherrine J Robinson | Registered representative | Jun 2006 (20y) | ||
| Stephanie Viti Kaupas | Registered representative | Jun 2006 (20y) | ||
| Milford Townsend Quinn | Registered representative | Jun 2006 (20y) | ||
| Tina M. Williams | Registered representative | Jun 2006 (20y) | ||
| David Allan Rosenthal | Registered representative | CFP Chartered Financial Consultant | Jun 2006 (20y) | |
| Jan O'connell | Registered representative | Jun 2006 (20y) | ||
| Dawnell Lynn Patten | Registered representative | Jun 2006 (20y) | ||
| Joseph K Debrizzi | Registered representative | Jun 2006 (20y) | ||
| Leila Fayaz Larijani | Registered representative | Jun 2006 (20y) | ||
| Karen Chapman | Registered representative | Jun 2006 (20y) | ||
| Paul Darrel Mascagni | Registered representative | Jul 2006 (20y) | ||
| Scott Jeffrey Sugarman | Registered representative | Jul 2006 (20y) | ||
| Gilbert Harold Blitz | Registered representative | CFP | Jul 2006 (20y) | |
| Jon Ryan Gabrielson | Registered representative | Jul 2006 (20y) | ||
| Patricia B Smith | Registered representative | Jul 2006 (20y) | ||
| William Christopher Sobers | Registered representative | Jul 2006 (20y) | ||
| Robert August Rossi | Registered representative | Jul 2006 (20y) | ||
| Michael Richard Gatewood | Registered representative | Jul 2006 (20y) | ||
| Robert S. Campbell | Registered representative | Jul 2006 (20y) | ||
| Thomas Alan Stiller | Registered representative | Jul 2006 (20y) | ||
| Michael A Allen Roy | Registered representative | Aug 2006 (20y) | ||
| John Grant Acker | Registered representative | Aug 2006 (20y) | ||
| Arifa Asif Maqbool | Registered representative | Aug 2006 (20y) | ||
| Brian Kevin Cahill | Registered representative | Aug 2006 (20y) | ||
| Jill Lynn Braford | Registered representative | Aug 2006 (20y) | ||
| Adam Edward Walters | Registered representative | Aug 2006 (20y) | ||
| Andrea L Uptegrove | Registered representative | Aug 2006 (20y) | ||
| Brent Allan Anderson | Registered representative | Aug 2006 (20y) | ||
| Christopher D Scroggins | Registered representative | Aug 2006 (20y) | ||
| Daniel Lee Griep | Registered representative | Aug 2006 (20y) | ||
| Dennis Christopher Zocco | Registered representative | Aug 2006 (20y) | ||
| Donald P Dressel | Registered representative | Aug 2006 (20y) | ||
| Greg A Hotchkiss | Registered representative | Aug 2006 (20y) | ||
| Jacob D Creydt | Registered representative | CFP | Aug 2006 (20y) | |
| James Francis Kovarik | Registered representative | Aug 2006 (20y) | ||
| Janna Dee Cassidy | Registered representative | Aug 2006 (20y) | ||
| Jason Wesley Lord | Registered representative | Aug 2006 (20y) | ||
| John A Fischer | Registered representative | Aug 2006 (20y) | ||
| John D Fox | Registered representative | Aug 2006 (20y) | ||
| John Richard Witherspoon | Registered representative | Aug 2006 (20y) | ||
| Joseph Mathisen Ferguson | Registered representative | Aug 2006 (20y) | ||
| Kelley Marie Tatreau | Registered representative | Aug 2006 (20y) | ||
| Kenneth William Flax | Registered representative | Aug 2006 (20y) | ||
| Kimberly Rene Printz | Registered representative | Aug 2006 (20y) | ||
| Kurt J Owen | Registered representative | Aug 2006 (20y) | ||
| Mark Anthony Ruccolo | Registered representative | Aug 2006 (20y) | ||
| Michael D Cole | Registered representative | Aug 2006 (20y) | ||
| Michael Loy Doney | Registered representative | Aug 2006 (20y) | ||
| Michael S Wetrich | Registered representative | Aug 2006 (20y) | ||
| Michele Ann Otto | Registered representative | Aug 2006 (20y) | ||
| Nicola C Barber | Registered representative | Aug 2006 (20y) | ||
| Perry Patrick Menard | Registered representative | Aug 2006 (20y) | ||
| Peter Donald Martin | Registered representative | Aug 2006 (20y) | ||
| Ryan M Haney | Registered representative | Aug 2006 (20y) | ||
| Scott L Ansel | Registered representative | Aug 2006 (20y) | ||
| Shawn Lloyd Meeks | Registered representative | Aug 2006 (20y) | ||
| Sheri Rae Dipaglia | Registered representative | Aug 2006 (20y) | ||
| Stephanie Lauren Keeton Honan | Registered representative | Aug 2006 (20y) | ||
| Susan Dorre Stults | Registered representative | CFP | Aug 2006 (20y) | |
| Thomas Craig Mills | Registered representative | Aug 2006 (20y) | ||
| Thomas Duane Moore | Registered representative | Aug 2006 (20y) | ||
| Thomas Grant Rosendahl | Registered representative | Aug 2006 (20y) | ||
| Timothy Donald Hammes | Registered representative | Aug 2006 (20y) | ||
| Todd Howard Vralsted | Registered representative | Aug 2006 (20y) | ||
| William Hunter Wolbach | Registered representative | Aug 2006 (20y) | ||
| Wynn A Walters | Registered representative | Aug 2006 (20y) | ||
| Matthew Edward Lasko | Registered representative | Aug 2006 (20y) | ||
| Piers Alexis Hurley | Registered representative | Aug 2006 (20y) | ||
| Christopher Ryan Watkins | Registered representative | Sep 2006 (20y) | ||
| John Frederick Yeager | Registered representative | Sep 2006 (20y) | ||
| Dave A Horan | Registered representative | CFP | Sep 2006 (20y) | |
| David Colville | Registered representative | Sep 2006 (20y) | ||
| Gregory James Holbrook | Registered representative | Sep 2006 (20y) | ||
| James Allen Wrenn | Registered representative | Sep 2006 (20y) | ||
| James Anthony Boullion | Registered representative | Sep 2006 (20y) | ||
| John Charles Piraneo | Registered representative | Sep 2006 (20y) | ||
| John Donald Wrenn | Registered representative | Sep 2006 (20y) | ||
| John Joseph Miller | Registered representative | Sep 2006 (20y) | ||
| Kevin J Mcdevitt | Registered representative | CFP | Sep 2006 (20y) | |
| Louis Donald Close | Registered representative | Sep 2006 (20y) | ||
| Michael Jon Fischer | Registered representative | Sep 2006 (20y) | ||
| Peter Edward Gabler | Registered representative | CFP | Sep 2006 (20y) | |
| Sheryl L Nelson | Registered representative | Sep 2006 (20y) | ||
| Stephen Gordon Kula | Registered representative | Sep 2006 (20y) | ||
| Thomas William Vaudreuil | Registered representative | Sep 2006 (20y) | ||
| Wayne Clifford Davis | Registered representative | Sep 2006 (20y) | ||
| Thomas Michael Savinar | Registered representative | Sep 2006 (20y) | ||
| Chad Adams | Registered representative | Sep 2006 (20y) | ||
| Harold David Elish | Registered representative | Sep 2006 (20y) | ||
| Thomas Doyle Lafountain | Registered representative | Sep 2006 (20y) | ||
| Todd Alan Hnatyszyn | Registered representative | Sep 2006 (20y) | ||
| Federico J. Sanchez | Registered representative | Sep 2006 (20y) | ||
| James Charles Lugannani | Registered representative | Sep 2006 (20y) | ||
| Christopher P Mckenna | Registered representative | Sep 2006 (20y) | ||
| Daniel Patrick Joyce | Registered representative | Sep 2006 (20y) | ||
| John Robert Verbeke | Registered representative | Sep 2006 (20y) | ||
| Joseph P Matina | Registered representative | Oct 2006 (20y) | ||
| David Frances Prevo | Registered representative | Oct 2006 (20y) | ||
| Thomas Lee Zambrano | Registered representative | Oct 2006 (20y) | ||
| Christine Lombardi | Registered representative | Oct 2006 (20y) | ||
| Thomas Arthur Murphy | Registered representative | Oct 2006 (20y) | ||
| Teresa Dahl | Registered representative | Oct 2006 (20y) | ||
| Robert Allin Jurta | Registered representative | Oct 2006 (20y) | ||
| Livmillie Jacobe Arias | Registered representative | Oct 2006 (20y) | ||
| Jennifer A. White | Registered representative | Oct 2006 (20y) | ||
| Alice Lynette Hurl | Registered representative | Nov 2006 (20y) | ||
| Brian Keith Blake | Registered representative | Nov 2006 (20y) | ||
| Jay M Maltby | Registered representative | Nov 2006 (20y) | ||
| Matthew B Ludington | Registered representative | Nov 2006 (20y) | ||
| Sheren Nicole Tumbleson | Registered representative | Nov 2006 (20y) | ||
| Karmen Michelle Keup | Registered representative | Nov 2006 (20y) | ||
| Craig Edward Tomasino | Registered representative | Nov 2006 (20y) | ||
| Michael Keith Aukerman | Registered representative | Nov 2006 (20y) | ||
| Michael Osias Diaz | Registered representative | Nov 2006 (20y) | ||
| J Bryan Johnson | Registered representative | Nov 2006 (20y) | ||
| Justin R. Patteson | Registered representative | Nov 2006 (20y) | ||
| Terrell Ray Pohlmeier | Registered representative | Nov 2006 (20y) | ||
| Linda Wise Campbell | Registered representative | CFA | Nov 2006 (20y) | |
| Bridget Stoner | Registered representative | Nov 2006 (20y) | ||
| James Mark Lyon | Registered representative | Nov 2006 (20y) | ||
| Michael Kelly Karl | Registered representative | Dec 2006 (20y) | ||
| Michael Lee Benson | Registered representative | Dec 2006 (20y) | ||
| Charles Donovan | Registered representative | CFP | Dec 2006 (20y) | |
| Craig Thomas Vandegrift | Registered representative | Dec 2006 (20y) | ||
| Walter Albra Ricker | Registered representative | Dec 2006 (20y) | ||
| Steven Paul Cox | Registered representative | Dec 2006 (20y) | ||
| Darin Mcbride | Registered representative | Dec 2006 (20y) | ||
| Chris John Geston | Registered representative | Dec 2006 (20y) | ||
| Kevin Townsend King | Registered representative | Dec 2006 (20y) | ||
| Christina Jeanne Gustin | Registered representative | Dec 2006 (20y) | ||
| Pamela Monique Segal Rhodes | Registered representative | Dec 2006 (20y) | ||
| Christopher John Merrow Chalmers | Registered representative | Jan 2007 (20y) | ||
| Antonio Otero | Registered representative | Jan 2007 (20y) | ||
| Jason Christopher Lowy | Registered representative | Jan 2007 (20y) | ||
| Jonathan Palmer Murray | Registered representative | Jan 2007 (20y) | ||
| Alex Rene Chivarsky | Registered representative | Jan 2007 (20y) | ||
| Robert Alan Covino | Registered representative | Jan 2007 (20y) | ||
| Matthew Leigh Morehead | Registered representative | Jan 2007 (20y) | ||
| Michael Stephen Risher | Registered representative | Jan 2007 (20y) | ||
| Jessica Ann Hayes | Registered representative | Jan 2007 (20y) | ||
| Michael Laport | Registered representative | Jan 2007 (20y) | ||
| William R Benoit | Registered representative | Jan 2007 (20y) | ||
| Edward Anthony Lang | Registered representative | Jan 2007 (20y) | ||
| Victor W Lam | Registered representative | Jan 2007 (20y) | ||
| William F Kleinhoff | Registered representative | Jan 2007 (20y) | ||
| Steven Karl Kocher | Registered representative | CFP | Jan 2007 (20y) | |
| William Joseph Farrell | Registered representative | Jan 2007 (20y) | ||
| Liberta Falzon | Registered representative | Jan 2007 (20y) | ||
| Krista Jennifer Keehn | Registered representative | Jan 2007 (20y) | ||
| Heather Virginia Meade | Registered representative | Feb 2007 (19y) | ||
| Hillary Cullen | Registered representative | Feb 2007 (19y) | ||
| Amy Dienes | Registered representative | Feb 2007 (19y) | ||
| Amy J Minnier | Registered representative | Feb 2007 (19y) | ||
| Amy Marie Turner | Registered representative | Feb 2007 (19y) | ||
| Anthony James Goldyn | Registered representative | Feb 2007 (19y) | ||
| Anthony Lewis Watson | Registered representative | Feb 2007 (19y) | ||
| Brian Patrick Martin | Registered representative | Feb 2007 (19y) | ||
| Bryan Richard Shick | Registered representative | Feb 2007 (19y) | ||
| Burke Allan Neville | Registered representative | Feb 2007 (19y) | ||
| Christopher M. Green | Registered representative | Feb 2007 (19y) | ||
| Colin Edward Parks | Registered representative | Feb 2007 (19y) | ||
| Damion Andrew Crannis | Registered representative | Feb 2007 (19y) | ||
| Daniel Freireich | Registered representative | Feb 2007 (19y) | ||
| Daniel Gordon Quible | Registered representative | Feb 2007 (19y) | ||
| Daniel Joseph Mckenna | Registered representative | Feb 2007 (19y) | ||
| Daniel Paul Christie | Registered representative | Feb 2007 (19y) | ||
| David William Ellis | Registered representative | Feb 2007 (19y) | ||
| Debra Lee Macdonald | Registered representative | Feb 2007 (19y) | ||
| Derek Hegarty | Registered representative | CFP | Feb 2007 (19y) | |
| Diane Salmon Deck | Registered representative | Feb 2007 (19y) | ||
| Douglas Patrick Sanker | Registered representative | Feb 2007 (19y) | ||
| Eileen Mary Sindelarivan | Registered representative | Feb 2007 (19y) | ||
| Ethan Taylor Stanley | Registered representative | Feb 2007 (19y) | ||
| Gary Dowdell | Registered representative | Feb 2007 (19y) | ||
| George W Kaufman | Registered representative | Feb 2007 (19y) | ||
| Gregg A. Hartman | Registered representative | Feb 2007 (19y) | ||
| James Douglas Leugers | Registered representative | Feb 2007 (19y) | ||
| Jason Christopher Klein | Registered representative | Feb 2007 (19y) | ||
| Jean L. Raab | Registered representative | Feb 2007 (19y) | ||
| John Kevin Ryan | Registered representative | Feb 2007 (19y) | ||
| John Raymond Fahrmeier | Registered representative | Feb 2007 (19y) | ||
| John Thomas Metcalfe | Registered representative | Feb 2007 (19y) | ||
| Katrina E Walker | Registered representative | Feb 2007 (19y) | ||
| Keith Homer Lum | Registered representative | Feb 2007 (19y) | ||
| Kenneth Louis Goldhoff | Registered representative | Feb 2007 (19y) | ||
| Kevin Charles Horton | Registered representative | Feb 2007 (19y) | ||
| Kimberly Ann Mcfarland | Registered representative | Feb 2007 (19y) | ||
| Kimberly Lynn Foote | Registered representative | Feb 2007 (19y) | ||
| Lawrence Harrison Rogers | Registered representative | Feb 2007 (19y) | ||
| Leonard David Kichler | Registered representative | Feb 2007 (19y) | ||
| Louis Timothy Giglio | Registered representative | Feb 2007 (19y) | ||
| Mary Riley Buquo | Registered representative | Feb 2007 (19y) | ||
| Maryann Wolfe | Registered representative | Feb 2007 (19y) | ||
| Michael Kozak | Registered representative | Feb 2007 (19y) | ||
| Michael Otoole Leamon | Registered representative | Feb 2007 (19y) | ||
| Modesto Philip Ruggiero | Registered representative | Feb 2007 (19y) | ||
| Patricia Alice Kelley | Registered representative | Feb 2007 (19y) | ||
| Peter Cunningham Trigg | Registered representative | Feb 2007 (19y) | ||
| Quang N Bui | Registered representative | Feb 2007 (19y) | ||
| Richard Charles Payne Ii | Registered representative | Feb 2007 (19y) | ||
| Richard Joseph Mettman | Registered representative | Feb 2007 (19y) | ||
| Richard Steven Milligan | Registered representative | Feb 2007 (19y) | ||
| Robert Adam Cannon | Registered representative | Feb 2007 (19y) | ||
| Sean William Hardy | Registered representative | Feb 2007 (19y) | ||
| Stephanie Mccurdy | Registered representative | Feb 2007 (19y) | ||
| Stephen Curtis Dilbone | Registered representative | Feb 2007 (19y) | ||
| Tammy Kay Ford | Registered representative | Feb 2007 (19y) | ||
| Thomas Adams Hampton | Registered representative | Feb 2007 (19y) | ||
| Timothy Steven Mulford | Registered representative | Feb 2007 (19y) | ||
| Vangel Charles Cotsis | Registered representative | Feb 2007 (19y) | ||
| Vincent James Battaglia | Registered representative | Feb 2007 (19y) | ||
| Warren Richards Cox | Registered representative | Feb 2007 (19y) | ||
| Zachary Duvall Anderson | Registered representative | Feb 2007 (19y) | ||
| Kim Georgette Caito | Registered representative | Feb 2007 (19y) | ||
| Paul B. Wexler | Registered representative | Feb 2007 (19y) | ||
| Prescott Romeyn | Registered representative | Feb 2007 (19y) | ||
| Timothy Paul Brown | Registered representative | Feb 2007 (19y) | ||
| James A Yeager | Registered representative | Feb 2007 (19y) | ||
| Anthony John Bollin | Registered representative | Feb 2007 (19y) | ||
| David Christopher Grosek | Registered representative | Feb 2007 (19y) | ||
| Elaine Susan Gampel | Registered representative | Feb 2007 (19y) | ||
| Kent Lunsford Johansson | Registered representative | Feb 2007 (19y) | ||
| Tracy Lynn Collins | Registered representative | Feb 2007 (19y) | ||
| James Albert Hyland | Registered representative | Feb 2007 (19y) | ||
| Nicholas D. Bollas | Registered representative | Feb 2007 (19y) | ||
| Ronan Rubiales Tipan | Registered representative | Feb 2007 (19y) | ||
| Sandra Human Mcavoy | Registered representative | Feb 2007 (19y) | ||
| Amy M Mcfadden | Registered representative | Feb 2007 (19y) | ||
| Gina Marie Crowley | Registered representative | Feb 2007 (19y) | ||
| Steven D Daugherty | Registered representative | Feb 2007 (19y) | ||
| James Michael Hider | Registered representative | Mar 2007 (19y) | ||
| Michael George James | Registered representative | Mar 2007 (19y) | ||
| Joe D. Bartlett | Registered representative | Mar 2007 (19y) | ||
| Thomas Blaker Kret | Registered representative | Mar 2007 (19y) | ||
| Zach Goldberg | Registered representative | Mar 2007 (19y) | ||
| Jeffrey David Catlin | Registered representative | Mar 2007 (19y) | ||
| Joshua Joseph Basen | Registered representative | Mar 2007 (19y) | ||
| Tracy Leslie Nakashima | Registered representative | Mar 2007 (19y) | ||
| James J. Mcdonald | Registered representative | Mar 2007 (19y) | ||
| Julie T Lewis | Registered representative | Mar 2007 (19y) | ||
| Christina Michelle Lisowski | Registered representative | Mar 2007 (19y) | ||
| Diane M. Sherwin | Registered representative | Mar 2007 (19y) | ||
| Christopher Stephen Pilalas | Registered representative | Apr 2007 (19y) | ||
| William Dennis Ferriel | Registered representative | Apr 2007 (19y) | ||
| Victoria Kit Chu | Registered representative | Apr 2007 (19y) | ||
| Seth Adam Rutman | Registered representative | Apr 2007 (19y) | ||
| John Michael Macdonald | Registered representative | Apr 2007 (19y) | ||
| Robert Lawrence Mork | Registered representative | Apr 2007 (19y) | ||
| Laura Ann Boretsky | Registered representative | Apr 2007 (19y) | ||
| Toria Scotto | Registered representative | Apr 2007 (19y) | ||
| Charles Henry Irace | Registered representative | Apr 2007 (19y) | ||
| Muhammad S Haq | Registered representative | Apr 2007 (19y) | ||
| David Louis Levine | Registered representative | CFP | May 2007 (19y) | |
| Gerald M. Michael Parks | Registered representative | May 2007 (19y) | ||
| Ira S. Stanley Cohen | Registered representative | May 2007 (19y) | ||
| Victoria Clark Conigliaro | Registered representative | May 2007 (19y) | ||
| Karey James Klein | Registered representative | May 2007 (19y) | ||
| Marco N Nicholas Calabro | Registered representative | May 2007 (19y) | ||
| Steve Marc Kehoe | Registered representative | May 2007 (19y) | ||
| William K Kalis Harmuth | Registered representative | May 2007 (19y) | ||
| Alfred Gerard Novoth | Registered representative | May 2007 (19y) | ||
| Steven Trifoglio | Registered representative | May 2007 (19y) | ||
| Paul James Higgins | Registered representative | May 2007 (19y) | ||
| James Leonard Candella | Registered representative | May 2007 (19y) | ||
| John R Reynolds | Registered representative | May 2007 (19y) | ||
| Allen Harrison Pierce | Registered representative | May 2007 (19y) | ||
| Brady J Flynn | Registered representative | May 2007 (19y) | ||
| Scott Thomas Taylor | Registered representative | May 2007 (19y) | ||
| Marybeth Walker | Registered representative | Jun 2007 (19y) | ||
| Bert Ronald Arrowood | Registered representative | Jun 2007 (19y) | ||
| Thomas R Hawkins | Registered representative | Jun 2007 (19y) | ||
| William George Bragdon | Registered representative | Jun 2007 (19y) | ||
| Mark Steven Sudol | Registered representative | Jun 2007 (19y) | ||
| Carl Alfred Donatello | Registered representative | Jun 2007 (19y) | ||
| John Robert Sholtis | Registered representative | Jun 2007 (19y) | ||
| John Shepard Adams | Registered representative | Jun 2007 (19y) | ||
| Scott Charles Deluca | Registered representative | Jun 2007 (19y) | ||
| Joy Lynne Barthlow | Registered representative | Jun 2007 (19y) | ||
| David Nelson Miller | Registered representative | Jun 2007 (19y) | ||
| Kevin James Daugherty | Registered representative | Jun 2007 (19y) | ||
| Philip James Schneider | Registered representative | Jul 2007 (19y) | ||
| Bradford Scott Bernstein | Registered representative | CFP | Jul 2007 (19y) | |
| Daniel Joseph Kilmurray | Registered representative | Jul 2007 (19y) | ||
| Rem Van Aiken Myers | Registered representative | Jul 2007 (19y) | ||
| William Russell Todd | Registered representative | Jul 2007 (19y) | ||
| Michael Charles Buckley | Registered representative | Jul 2007 (19y) | ||
| Charles Daniel Redding | Registered representative | Jul 2007 (19y) | ||
| Frank Anthony Castro | Registered representative | Jul 2007 (19y) | ||
| Donald Francis Healy | Registered representative | Jul 2007 (19y) | ||
| Peter F. Frederick Jackson | Registered representative | Jul 2007 (19y) | ||
| Travis G. Miller | Registered representative | Jul 2007 (19y) | ||
| Harrison Hall Buxton | Registered representative | Jul 2007 (19y) | ||
| Javier Ruiz | Registered representative | Jul 2007 (19y) | ||
| David Christopher Hodges | Registered representative | CFP | Jul 2007 (19y) | |
| Jeffrey Scott Pupo | Registered representative | Jul 2007 (19y) | ||
| Ann Marie Andrews | Registered representative | Aug 2007 (19y) | ||
| Kelli Maas | Registered representative | CFP | Aug 2007 (19y) | |
| Erik Lee Puffenberger | Registered representative | Aug 2007 (19y) | ||
| Jason Mathew Cohen | Registered representative | Aug 2007 (19y) | ||
| Bobbi Jean Sawyers | Registered representative | Aug 2007 (19y) | ||
| Christopher Zigmund Barra | Registered representative | Aug 2007 (19y) | ||
| Luis Miguel Sampedro | Registered representative | Aug 2007 (19y) | ||
| Melanie Desma Mcfedries | Registered representative | Aug 2007 (19y) | ||
| Michael John Dietrich | Registered representative | Aug 2007 (19y) | ||
| Natalie Kott | Registered representative | Aug 2007 (19y) | ||
| Phillip Michael Thompson | Registered representative | Aug 2007 (19y) | ||
| Adam Drechsel Skagen | Registered representative | Aug 2007 (19y) | ||
| Edward Mcbride Harris | Registered representative | Aug 2007 (19y) | ||
| Eric M. Edlund | Registered representative | Aug 2007 (19y) | ||
| Jill Michele Epstein | Registered representative | Aug 2007 (19y) | ||
| Sara Grein Phillips | Registered representative | Aug 2007 (19y) | ||
| Christopher William Faruol | Registered representative | Aug 2007 (19y) | ||
| Kenneth Rhodes Parham | Registered representative | Aug 2007 (19y) | ||
| Charles Joseph Gits | Registered representative | Aug 2007 (19y) | ||
| Wendy Anne Oldendorf | Registered representative | Aug 2007 (19y) | ||
| Ortal Shachar | Registered representative | Aug 2007 (19y) | ||
| Samuel Aldo Moroni | Registered representative | Aug 2007 (19y) | ||
| Bartley James Bates | Registered representative | Aug 2007 (19y) | ||
| John Hamilton Beggs | Registered representative | Aug 2007 (19y) | ||
| Lane Oren Strumlauf | Registered representative | Aug 2007 (19y) | ||
| Farhad Tajali | Registered representative | Aug 2007 (19y) | ||
| Bruce Buchanan Dieterlen | Registered representative | CFP | Sep 2007 (19y) | |
| Dustin Brien Tracy | Registered representative | Sep 2007 (19y) | ||
| Luz M Gomez | Registered representative | Sep 2007 (19y) | ||
| Tyler Joseph Neal | Registered representative | Sep 2007 (19y) | ||
| Richard Visintine | Registered representative | Sep 2007 (19y) | ||
| Thomas Ashley Stacy | Registered representative | Sep 2007 (19y) | ||
| Elizabeth Cummins | Registered representative | Sep 2007 (19y) | ||
| Tyler James Lorigan | Registered representative | Sep 2007 (19y) | ||
| Terry D Dean | Registered representative | Sep 2007 (19y) | ||
| Lee Garrett Friedman | Registered representative | Sep 2007 (19y) | ||
| David Sears | Registered representative | Oct 2007 (19y) | ||
| John Christopher Brunello | Registered representative | Oct 2007 (19y) | ||
| James K Bruner | Registered representative | Oct 2007 (19y) | ||
| Timothy Van Simaeys | Registered representative | Oct 2007 (19y) | ||
| Peter Thomas Buzzini | Registered representative | Oct 2007 (19y) | ||
| Seth H. Baliban | Registered representative | Oct 2007 (19y) | ||
| Edgar Devendel Hull | Registered representative | Oct 2007 (19y) | ||
| Seth Tyson Huber | Registered representative | Oct 2007 (19y) | ||
| Erik Michael Held | Registered representative | Oct 2007 (19y) | ||
| Casey Alicia Rader | Registered representative | CFP | Oct 2007 (19y) | |
| Roderick K Von Lipsey | Registered representative | Oct 2007 (19y) | ||
| James Joseph Hinckley | Registered representative | Oct 2007 (19y) | ||
| Linda Ann Ramirez | Registered representative | Oct 2007 (19y) | ||
| Jack Carl Rosely | Registered representative | Oct 2007 (19y) | ||
| Brandon Altman Reynolds | Registered representative | Oct 2007 (19y) | ||
| Chad Charles Czerwinski | Registered representative | Oct 2007 (19y) | ||
| Robert Errico | Registered representative | Nov 2007 (19y) | ||
| Deepkumar Kirankumar Gandhi | Registered representative | Nov 2007 (19y) | ||
| Nancy Y. Yeary Ratliff | Registered representative | Nov 2007 (19y) | ||
| Cheryl Barker Harwood | Registered representative | Nov 2007 (19y) | ||
| Royce M. Bergman | Registered representative | Nov 2007 (19y) | ||
| Constance P Brown Clarke | Registered representative | Nov 2007 (19y) | ||
| Maurice Gerard Bradshaw | Registered representative | Nov 2007 (19y) | ||
| Richard James Rohr | Registered representative | Nov 2007 (19y) | ||
| Sean Thomas Kilduff | Registered representative | Nov 2007 (19y) | ||
| Manila Sudhir Kala | Registered representative | Nov 2007 (19y) | ||
| Donal Omeed Kasiri | Registered representative | Nov 2007 (19y) | ||
| Christopher Donald Niles | Registered representative | Nov 2007 (19y) | ||
| Shawna J. Gwin | Registered representative | Nov 2007 (19y) | ||
| Debbie Sumiko Fanning | Registered representative | Nov 2007 (19y) | ||
| James Madden Skinner | Registered representative | Nov 2007 (19y) | ||
| Jeffrey Scott Hunter | Registered representative | Nov 2007 (19y) | ||
| Michelle Smith Rodgers | Registered representative | Nov 2007 (19y) | ||
| Justin Spradlin Demko | Registered representative | Nov 2007 (19y) | ||
| Joseph P. Fitzpatrick | Registered representative | Dec 2007 (19y) | ||
| John Emory Wilfong | Registered representative | Dec 2007 (19y) | ||
| Leonard Alan Golub | Registered representative | Dec 2007 (19y) | ||
| Elle Wong | Registered representative | Dec 2007 (19y) | ||
| William Bjerke | Registered representative | Dec 2007 (19y) | ||
| Lori J. Vengruskas | Registered representative | Dec 2007 (19y) | ||
| Mark Swenson | Registered representative | Dec 2007 (19y) | ||
| Valerie J Morris | Registered representative | Dec 2007 (19y) | ||
| Carlos Casas | Registered representative | Jan 2008 (19y) | ||
| Elizabeth Ann Galvin | Registered representative | Jan 2008 (19y) | ||
| Patricia May Picornell | Registered representative | Jan 2008 (19y) | ||
| Andy Dustin Johnson | Registered representative | Jan 2008 (19y) | ||
| Justin David Glucksman | Registered representative | Jan 2008 (19y) | ||
| Peter Van Nice | Registered representative | Jan 2008 (19y) | ||
| Joseph Rongaus | Registered representative | Jan 2008 (19y) | ||
| Andrew David Bocknek | Registered representative | Jan 2008 (19y) | ||
| Sean Schuyler Sampson | Registered representative | Jan 2008 (19y) | ||
| James Anthony Polcaro | Registered representative | Jan 2008 (19y) | ||
| Ling Chang | Registered representative | Jan 2008 (19y) | ||
| Robert Morris Carver | Registered representative | Jan 2008 (19y) | ||
| Craig Steven Zeeb | Registered representative | Jan 2008 (19y) | ||
| Michele Beth Deroin | Registered representative | Jan 2008 (19y) | ||
| Rebecca Bulinski Falk | Registered representative | Jan 2008 (19y) | ||
| Vincent Campasano | Registered representative | Jan 2008 (19y) | ||
| Charles Gregory Hartlieb | Registered representative | Feb 2008 (19y) | ||
| Emily Bell | Registered representative | Feb 2008 (19y) | ||
| Eric Susantio | Registered representative | Feb 2008 (18y) | ||
| Paula M. Rose | Registered representative | Feb 2008 (18y) | ||
| Richard Roque Gamboa | Registered representative | Feb 2008 (18y) | ||
| Mariel Izquierdo | Registered representative | Feb 2008 (18y) | ||
| Michael Richard Williams | Registered representative | Feb 2008 (18y) | ||
| William D. Ferriel | Registered representative | Feb 2008 (18y) | ||
| Lori A. Payne | Registered representative | Feb 2008 (18y) | ||
| Larette Mcpherson | Registered representative | Feb 2008 (18y) | ||
| Susan S Bordash | Registered representative | Feb 2008 (18y) | ||
| Gabrielle M French | Registered representative | Feb 2008 (18y) | ||
| Justin Woods Raho | Registered representative | Feb 2008 (18y) | ||
| Harlan Benjamin Spinner | Registered representative | Feb 2008 (18y) | ||
| Erin J Theisen | Registered representative | Feb 2008 (18y) | ||
| Mark Anthony King | Registered representative | Feb 2008 (18y) | ||
| Jeoffrey H Wasson | Registered representative | Feb 2008 (18y) | ||
| Michael J Fowles | Registered representative | Feb 2008 (18y) | ||
| Robert Michael Bertino | Registered representative | Feb 2008 (18y) | ||
| Kelly Leigh Ganz | Registered representative | CFP | Feb 2008 (18y) | |
| Mark Hubbard Murphy | Registered representative | Feb 2008 (18y) | ||
| Michael John Meniktas | Registered representative | Feb 2008 (18y) | ||
| Rodney Lee Engel | Registered representative | Feb 2008 (18y) | ||
| Daniel Todd Fuchs | Registered representative | Mar 2008 (18y) | ||
| Angela Marie Howard | Registered representative | Mar 2008 (18y) | ||
| Cheryl Jenkins Nelson | Registered representative | Mar 2008 (18y) | ||
| Bradley Thomas Boeckman | Registered representative | Mar 2008 (18y) | ||
| Daniel Brady Cotter | Registered representative | Mar 2008 (18y) | ||
| John Thomas Egan | Registered representative | Mar 2008 (18y) | ||
| Meghan E Latham | Registered representative | Mar 2008 (18y) | ||
| Richard Schutt | Registered representative | Mar 2008 (18y) | ||
| Robert Ray Hutchinson | Registered representative | Mar 2008 (18y) | ||
| Alexander Howell | Registered representative | Mar 2008 (18y) | ||
| Brian Jay Donaldson | Registered representative | Mar 2008 (18y) | ||
| Christopher Gale Pennington | Registered representative | Mar 2008 (18y) | ||
| Frank Frederick Baldwin | Registered representative | Mar 2008 (18y) | ||
| Sara Rieser | Registered representative | Mar 2008 (18y) | ||
| Stephen Edward Cornwell | Registered representative | Mar 2008 (18y) | ||
| Gerald John Norris | Registered representative | Mar 2008 (18y) | ||
| Andrea M. Lewis | Registered representative | Apr 2008 (18y) | ||
| Paul Edelstein | Registered representative | Apr 2008 (18y) | ||
| Richard Patrick Callahan | Registered representative | Apr 2008 (18y) | ||
| Anthony Joseph Mercun | Registered representative | Apr 2008 (18y) | ||
| Sheila Sue Dixon | Registered representative | Apr 2008 (18y) | ||
| Robert Malcomb Green | Registered representative | Apr 2008 (18y) | ||
| Patrick Daniel Thompson | Registered representative | Apr 2008 (18y) | ||
| John Sasser Thombley | Registered representative | Apr 2008 (18y) | ||
| Mark S Katz | Registered representative | Apr 2008 (18y) | ||
| Christopher M De Luca | Registered representative | Apr 2008 (18y) | ||
| Grant James Nishio | Registered representative | CFA | Apr 2008 (18y) | |
| Humberto De Luigi | Registered representative | Apr 2008 (18y) | ||
| Alan S Scott Reisfield | Registered representative | Apr 2008 (18y) | ||
| Daniel Paul Fetterolf | Registered representative | CFP CFA | Apr 2008 (18y) | |
| Michael Harvey Hamilton | Registered representative | Apr 2008 (18y) | ||
| Ann W. Bjerke | Registered representative | Apr 2008 (18y) | ||
| Donald W. William Harden | Registered representative | CFP Chartered Financial Consultant | Apr 2008 (18y) | |
| Gerard Anthony Cella | Registered representative | Apr 2008 (18y) | ||
| Limei Yu | Registered representative | May 2008 (18y) | ||
| Robert Michael Banas | Registered representative | May 2008 (18y) | ||
| Gary Keith Wideman | Registered representative | May 2008 (18y) | ||
| John Joseph Jaber | Registered representative | May 2008 (18y) | ||
| Malcolm Macfarlan Mayer | Registered representative | May 2008 (18y) | ||
| Marek Maitreya Misewicz | Registered representative | May 2008 (18y) | ||
| Sally C Catherine Vail | Registered representative | May 2008 (18y) | ||
| Steven Carl Northey | Registered representative | May 2008 (18y) | ||
| Matthew O Owen Bechtel | Registered representative | May 2008 (18y) | ||
| Robert J Di Giacomo | Registered representative | May 2008 (18y) | ||
| Charles Anthony Lazzara | Registered representative | May 2008 (18y) | ||
| Joel Samuel Coolik | Registered representative | May 2008 (18y) | ||
| Cori Michelle Ash | Registered representative | May 2008 (18y) | ||
| Alan Arrieta | Registered representative | May 2008 (18y) | ||
| David L. Ivanovich Jr. | Registered representative | May 2008 (18y) | ||
| Erik David Syverson | Registered representative | CFP | May 2008 (18y) | |
| Scott Michael Kemmer | Registered representative | May 2008 (18y) | ||
| Matthew A. Boynton | Registered representative | CFP | May 2008 (18y) | |
| Francis John Divito | Registered representative | May 2008 (18y) | ||
| Russell Cory Jr. | Registered representative | May 2008 (18y) | ||
| Molly Coleman | Registered representative | May 2008 (18y) | ||
| Emily Reed | Registered representative | May 2008 (18y) | ||
| Stephanie C Russell | Registered representative | Jun 2008 (18y) | ||
| Aaron S Campbell | Registered representative | Jun 2008 (18y) | ||
| Charles R Lewis | Registered representative | Jun 2008 (18y) | ||
| Leighann P. Stamp | Registered representative | Jun 2008 (18y) | ||
| Michael Paul Whatley | Registered representative | Jun 2008 (18y) | ||
| Amanda Rae R Brigham | Registered representative | Jun 2008 (18y) | ||
| Nadine Babiuch | Registered representative | Jun 2008 (18y) | ||
| Robert David Lipton | Registered representative | Jun 2008 (18y) | ||
| Cassandra Nelson | Registered representative | Jun 2008 (18y) | ||
| Jon Wayne Scott | Registered representative | CFP | Jun 2008 (18y) | |
| Kenneth W. Wayne Janes | Registered representative | Jun 2008 (18y) | ||
| Shawn Earl Simmons | Registered representative | CFP | Jun 2008 (18y) | |
| Michael Richard Doren | Registered representative | Jun 2008 (18y) | ||
| Adrian Levsky | Registered representative | Jun 2008 (18y) | ||
| Douglas James Bruce | Registered representative | Jun 2008 (18y) | ||
| Kimberly June Fielman | Registered representative | Jun 2008 (18y) | ||
| William Charles Wilson | Registered representative | Jun 2008 (18y) | ||
| Heather Renee Mardis | Registered representative | Jun 2008 (18y) | ||
| Ina A Goldschmidt | Registered representative | Jun 2008 (18y) | ||
| Christine Mcginley | Registered representative | Jun 2008 (18y) | ||
| Kaoru Shimmyo Yi | Registered representative | Jun 2008 (18y) | ||
| Matthew K Tompkins | Registered representative | Jun 2008 (18y) | ||
| Charles R Korasick | Registered representative | Jun 2008 (18y) | ||
| Steven L. Caminiti | Registered representative | Jun 2008 (18y) | ||
| David Samuel Pince | Registered representative | Jun 2008 (18y) | ||
| Valerie H Erfort | Registered representative | Jun 2008 (18y) | ||
| Robin Arthur Monleon | Registered representative | Jun 2008 (18y) | ||
| Sandy K Kim Berkram | Registered representative | Jun 2008 (18y) | ||
| Deanna L Taylor | Registered representative | Jul 2008 (18y) | ||
| Eugene David Burson | Registered representative | Jul 2008 (18y) | ||
| Godfrey Hunt Newton | Registered representative | Jul 2008 (18y) | ||
| Lise Ly | Registered representative | Jul 2008 (18y) | ||
| Laura A. Miller | Registered representative | Jul 2008 (18y) | ||
| Megan L Leigh Smith | Registered representative | Jul 2008 (18y) | ||
| Kelly Diane Rutherford | Registered representative | Jul 2008 (18y) | ||
| Jeffrey Andrew Byrnes | Registered representative | Jul 2008 (18y) | ||
| Evans Y Lam | Registered representative | Jul 2008 (18y) | ||
| Lee Elyes Garrow Benmlouka | Registered representative | Jul 2008 (18y) | ||
| Eric Embrey Johnson | Registered representative | CFP | Jul 2008 (18y) | |
| Mark D Williams | Registered representative | Jul 2008 (18y) | ||
| Allen Ray Mcneal | Registered representative | Jul 2008 (18y) | ||
| Brad Gary Seamon | Registered representative | Jul 2008 (18y) | ||
| Tony Bellomo | Registered representative | Jul 2008 (18y) | ||
| Jared Robert Clauss | Registered representative | Jul 2008 (18y) | ||
| Sarah Ann Calandra | Registered representative | Jul 2008 (18y) | ||
| Crystaline Lee Kopriva | Registered representative | Aug 2008 (18y) | ||
| Joseph Patrick Drier | Registered representative | Aug 2008 (18y) | ||
| Joseph Ralph Licate | Registered representative | Aug 2008 (18y) | ||
| Paul Christopher Lowerre | Registered representative | Aug 2008 (18y) | ||
| Pranjal Ashok Mehta | Registered representative | Aug 2008 (18y) | ||
| Richard G. Berardo | Registered representative | Aug 2008 (18y) | ||
| Jason Richard Feder | Registered representative | Aug 2008 (18y) | ||
| Darrin C Gold | Registered representative | Aug 2008 (18y) | ||
| Sean Brett Thompson | Registered representative | Aug 2008 (18y) | ||
| Bradford Phillip Shaffer | Registered representative | Aug 2008 (18y) | ||
| John Andrew Kilian | Registered representative | Aug 2008 (18y) | ||
| Brian Connor Doak | Registered representative | Aug 2008 (18y) | ||
| Ross Joseph Licero | Registered representative | Aug 2008 (18y) | ||
| Hugh Edward Jencks | Registered representative | Aug 2008 (18y) | ||
| Jerrold Bertner | Registered representative | Sep 2008 (18y) | ||
| Joseph C Steffes | Registered representative | Sep 2008 (18y) | ||
| Joseph Blake Celes | Registered representative | Sep 2008 (18y) | ||
| Thomas Michael Schaefer | Registered representative | Sep 2008 (18y) | ||
| Carl Bruce Holmquist | Registered representative | Sep 2008 (18y) | ||
| Christopher James Clifford | Registered representative | Sep 2008 (18y) | ||
| Gregg Armstrong Abernathy | Registered representative | Sep 2008 (18y) | ||
| John Scott Spillane | Registered representative | Sep 2008 (18y) | ||
| Neil Bruce Konigsberg | Registered representative | Sep 2008 (18y) | ||
| Adam Stuart Rosenthal | Registered representative | Sep 2008 (18y) | ||
| Bonnie Elizabeth Richards | Registered representative | Sep 2008 (18y) | ||
| Kirk William Wendorf | Registered representative | Sep 2008 (18y) | ||
| Laurie Bingham Presnell | Registered representative | Sep 2008 (18y) | ||
| Ryan Mcclellan | Registered representative | Sep 2008 (18y) | ||
| Scott Lewis Stackman | Registered representative | Sep 2008 (18y) | ||
| William Stewart Calvert | Registered representative | Sep 2008 (18y) | ||
| Cheryl Hayden Rambeau | Registered representative | Sep 2008 (18y) | ||
| David Wilson Goodenough | Registered representative | Sep 2008 (18y) | ||
| Jeffrey Lance Oster | Registered representative | Sep 2008 (18y) | ||
| William C Kun | Registered representative | Sep 2008 (18y) | ||
| Pamela Elizabeth Thomas | Registered representative | Sep 2008 (18y) | ||
| Derek J John Thompson | Registered representative | Sep 2008 (18y) | ||
| Nancy Rodriguez Chin | Registered representative | Sep 2008 (18y) | ||
| Albert Del Maestro | Registered representative | Sep 2008 (18y) | ||
| Brian Douglas Pollak | Registered representative | Sep 2008 (18y) | ||
| John Henry Hug | Registered representative | Sep 2008 (18y) | ||
| William Courtney Gourd | Registered representative | Sep 2008 (18y) | ||
| Nicholas Conroy Lomaglio | Registered representative | Sep 2008 (18y) | ||
| Brian Scott Sullivan | Registered representative | Sep 2008 (18y) | ||
| Elizabeth Adam | Registered representative | Sep 2008 (18y) | ||
| Cary Alan Moskowitz | Registered representative | Oct 2008 (18y) | ||
| M Kenneth Witover | Registered representative | Oct 2008 (18y) | ||
| Tiffany Michelle Bassett | Registered representative | Oct 2008 (18y) | ||
| Susan Lee Blount | Registered representative | Oct 2008 (18y) | ||
| Cosmo John Fontana | Registered representative | Oct 2008 (18y) | ||
| Heather R Mount | Registered representative | CFP | Oct 2008 (18y) | |
| Bruce Edward Orenstein | Registered representative | Oct 2008 (18y) | ||
| John Anthony Posey | Registered representative | Oct 2008 (18y) | ||
| Jeffrey E. Gravenhorst | Registered representative | Oct 2008 (18y) | ||
| Mark Robert Serruto | Registered representative | Oct 2008 (18y) | ||
| Patrick James Galligan | Registered representative | Oct 2008 (18y) | ||
| Samantha A Anne Parker Hopkins | Registered representative | Oct 2008 (18y) | ||
| Christine Joy Amores | Registered representative | Oct 2008 (18y) | ||
| Jason E De Jesus | Registered representative | Oct 2008 (18y) | ||
| Robert Andrew Dunn | Registered representative | Oct 2008 (18y) | ||
| Ashok S Acharya | Registered representative | Oct 2008 (18y) | ||
| Earl Iii,Earl Thompson Iii | Registered representative | Oct 2008 (18y) | ||
| Karim Amiryani | Registered representative | Oct 2008 (18y) | ||
| Valerie Rosaly | Registered representative | CFP | Oct 2008 (18y) | |
| Brent Folland | Registered representative | Oct 2008 (18y) | ||
| James Francis Dill | Registered representative | Oct 2008 (18y) | ||
| William Charles Stonhaus | Registered representative | Oct 2008 (18y) | ||
| Katherine Kehler Farnham | Registered representative | Oct 2008 (18y) | ||
| Peter J Alexopoulos | Registered representative | Oct 2008 (18y) | ||
| Noah Levine | Registered representative | Oct 2008 (18y) | ||
| Richard James Whalen | Registered representative | Oct 2008 (18y) | ||
| Gerald Carl Goldmann | Registered representative | Oct 2008 (18y) | ||
| Richard Jay Cohen | Registered representative | CFP | Oct 2008 (18y) | |
| Braydon J Hamilton | Registered representative | CFP | Oct 2008 (18y) | |
| Christopher Richard Price | Registered representative | Oct 2008 (18y) | ||
| Emily Frenzel | Registered representative | Oct 2008 (18y) | ||
| Eric Mark Singer | Registered representative | Oct 2008 (18y) | ||
| Sonia Denise Alexis | Registered representative | Oct 2008 (18y) | ||
| Chadwick Boles | Registered representative | Nov 2008 (18y) | ||
| Dana Brent John Terry | Registered representative | Nov 2008 (18y) | ||
| Klaudia Olimpia Olkowski | Registered representative | Nov 2008 (18y) | ||
| Timothy Parson Marshall | Registered representative | Nov 2008 (18y) | ||
| Garry Thomas Shea | Registered representative | Nov 2008 (18y) | ||
| Gary Evan Tantleff | Registered representative | Nov 2008 (18y) | ||
| Marc Alan Jackowitz | Registered representative | Nov 2008 (18y) | ||
| Sharon Denise White | Registered representative | Nov 2008 (18y) | ||
| Stefanie Maria Page | Registered representative | Nov 2008 (18y) | ||
| Benjamin John Walker | Registered representative | Nov 2008 (18y) | ||
| Christopher Joseph Hickey | Registered representative | Nov 2008 (18y) | ||
| Dominic Mario Calvani | Registered representative | Nov 2008 (18y) | ||
| Huong Tran | Registered representative | Nov 2008 (18y) | ||
| Alexander Wolff Kohn | Registered representative | Nov 2008 (18y) | ||
| Amber Michelle Miller | Registered representative | Nov 2008 (18y) | ||
| Ann Marie Atchison | Registered representative | Nov 2008 (18y) | ||
| Brian C. Cates | Registered representative | Nov 2008 (18y) | ||
| Corinne M Crabs | Registered representative | Nov 2008 (18y) | ||
| Daniel W Ladner | Registered representative | Nov 2008 (18y) | ||
| Frederick Russell Hahn | Registered representative | Nov 2008 (18y) | ||
| Gerald Montegani Jr. | Registered representative | Nov 2008 (18y) | ||
| James J Joseph Hartigan | Registered representative | Nov 2008 (18y) | ||
| James Tarantino | Registered representative | Nov 2008 (18y) | ||
| Jamison A. Licausi | Registered representative | Nov 2008 (18y) | ||
| Kenneth Macdonald Callan | Registered representative | Nov 2008 (18y) | ||
| Robert Mark Williams | Registered representative | Nov 2008 (18y) | ||
| Scott Gregory Wilson | Registered representative | Nov 2008 (18y) | ||
| Terence Michael Zaas | Registered representative | Nov 2008 (18y) | ||
| William Paul Borden | Registered representative | Nov 2008 (18y) | ||
| Kenji Yoshikawa | Registered representative | Nov 2008 (18y) | ||
| Ryan Hayes Kneipper | Registered representative | Nov 2008 (18y) | ||
| Amalia Ranck | Registered representative | Nov 2008 (18y) | ||
| Caroline Sue Aguilar | Registered representative | Nov 2008 (18y) | ||
| Gabriel Adam Jay | Registered representative | CFP | Nov 2008 (18y) | |
| Justin Edwin Brolyer | Registered representative | Nov 2008 (18y) | ||
| Kelly Kenneth Jay | Registered representative | Nov 2008 (18y) | ||
| Nicholas Robert Catania | Registered representative | Nov 2008 (18y) | ||
| Ron F Peacock | Registered representative | Nov 2008 (18y) | ||
| James Patrick Bevill | Registered representative | Nov 2008 (18y) | ||
| Amanda Erin Levi | Registered representative | Nov 2008 (18y) | ||
| Christopher Thomas Farrell | Registered representative | Nov 2008 (18y) | ||
| Donald Scott Mckay | Registered representative | Nov 2008 (18y) | ||
| Gerard Martin Freeh | Registered representative | Nov 2008 (18y) | ||
| Kristen M Faris | Registered representative | Nov 2008 (18y) | ||
| Mauricio Jose Alvarez | Registered representative | Nov 2008 (18y) | ||
| Michael Steven Libraty | Registered representative | Nov 2008 (18y) | ||
| Michael Victor Robben | Registered representative | Nov 2008 (18y) | ||
| Ramona Lisa Shank | Registered representative | Nov 2008 (18y) | ||
| Raymond Charles Klahne | Registered representative | Nov 2008 (18y) | ||
| Theresa M. Printy | Registered representative | Nov 2008 (18y) | ||
| Kent Kirby | Registered representative | Nov 2008 (18y) | ||
| Robert Moore Schneider | Registered representative | CFP | Nov 2008 (18y) | |
| Sherry L Swenson | Registered representative | Nov 2008 (18y) | ||
| Timothy William Tunney | Registered representative | Nov 2008 (18y) | ||
| Robert Paul Goldstein | Registered representative | Nov 2008 (18y) | ||
| Scott A Slavik | Registered representative | Nov 2008 (18y) | ||
| Barton Wade Talkington | Registered representative | Nov 2008 (18y) | ||
| Rachel Pinner Lobdell | Registered representative | Nov 2008 (18y) | ||
| Robert Steven Jermine | Registered representative | Nov 2008 (18y) | ||
| John Judson Faircloth | Registered representative | CFP | Nov 2008 (18y) | |
| Patty A. Walker | Registered representative | Nov 2008 (18y) | ||
| Sidhdharth Dhanesh Sheth | Registered representative | CFP | Nov 2008 (18y) | |
| Thomas G Hulse | Registered representative | Nov 2008 (18y) | ||
| Christine Bolger | Registered representative | Nov 2008 (18y) | ||
| Christine Marie Urban | Registered representative | Nov 2008 (18y) | ||
| Ileana Dominguez | Registered representative | Nov 2008 (18y) | ||
| Joseph A. Anthony Senna | Registered representative | Nov 2008 (18y) | ||
| Manish Mehta | Registered representative | Nov 2008 (18y) | ||
| Michael Rodbell | Registered representative | Nov 2008 (18y) | ||
| Manuel Robert Senna Jr. | Registered representative | Nov 2008 (18y) | ||
| Mark David Fendrick | Registered representative | Nov 2008 (18y) | ||
| Paul Mason Allen | Registered representative | Nov 2008 (18y) | ||
| Timothy John Skelton | Registered representative | Nov 2008 (18y) | ||
| Barry Lewis Pinsky | Registered representative | Nov 2008 (18y) | ||
| Colin Brady Murphy | Registered representative | Nov 2008 (18y) | ||
| Lyon Lenny Roth | Registered representative | Nov 2008 (18y) | ||
| Andrew Colin Zager | Registered representative | Nov 2008 (18y) | ||
| Daniel Cameron Seely | Registered representative | Nov 2008 (18y) | ||
| Donald William Cameron | Registered representative | Nov 2008 (18y) | ||
| John Michael Santoro | Registered representative | Nov 2008 (18y) | ||
| Joshua C. Pottinger | Registered representative | Nov 2008 (18y) | ||
| Juanita Bass Brandon | Registered representative | Nov 2008 (18y) | ||
| Lori Jane Sommer | Registered representative | Nov 2008 (18y) | ||
| Nathan Wright Smith | Registered representative | Nov 2008 (18y) | ||
| Nicholas Benjamin Scordato | Registered representative | Nov 2008 (18y) | ||
| Peter John Buckley | Registered representative | Nov 2008 (18y) | ||
| Andrew Trung Le | Registered representative | Dec 2008 (18y) | ||
| Anthony Charles Comer | Registered representative | CFP | Dec 2008 (18y) | |
| Antony D Desbarrieres Pougnet | Registered representative | Dec 2008 (18y) | ||
| Bryce Christopher Herman | Registered representative | Dec 2008 (18y) | ||
| Jeffrey William Hackett | Registered representative | Dec 2008 (18y) | ||
| Michael A Nelson | Registered representative | Dec 2008 (18y) | ||
| Robert Stuart Brody | Registered representative | Dec 2008 (18y) | ||
| Deborah Dunn Langer | Registered representative | Dec 2008 (18y) | ||
| Eric N. Nettles Dunn | Registered representative | Dec 2008 (18y) | ||
| Juan Luis Sandoval | Registered representative | Dec 2008 (18y) | ||
| Alfred L. Caliendo | Registered representative | Dec 2008 (18y) | ||
| Brian Jeffrey Robinson | Registered representative | Dec 2008 (18y) | ||
| Geneva Margerie Goedhart | Registered representative | Dec 2008 (18y) | ||
| Jason James Chirogianis | Registered representative | Dec 2008 (18y) | ||
| Rob Antony Sabel | Registered representative | Dec 2008 (18y) | ||
| Peter Zubizarreta | Registered representative | Dec 2008 (18y) | ||
| Tracey Lynn Keith | Registered representative | Dec 2008 (18y) | ||
| Amy Krings | Registered representative | Dec 2008 (18y) | ||
| Bryan Forbes Mccollam | Registered representative | Dec 2008 (18y) | ||
| Daniel John Mcmahon | Registered representative | Dec 2008 (18y) | ||
| Evan Bradley Swain | Registered representative | Dec 2008 (18y) | ||
| Gary Steven Rosenberg | Registered representative | CFP | Dec 2008 (18y) | |
| Geoffrey Scott Mchenry | Registered representative | Dec 2008 (18y) | ||
| Gregory Jude Mulligan | Registered representative | Dec 2008 (18y) | ||
| Jason Matthew Dworak | Registered representative | Dec 2008 (18y) | ||
| Jessica Lynne Kartzinel | Registered representative | Dec 2008 (18y) | ||
| Jonathan Verne Beukelman | Registered representative | Dec 2008 (18y) | ||
| Karen Margaret Spencer | Registered representative | Dec 2008 (18y) | ||
| Manuel Jesus Monasterio | Registered representative | Dec 2008 (18y) | ||
| Mark Stephen Shepherd | Registered representative | Dec 2008 (18y) | ||
| Matthew Frank Philichi | Registered representative | CFP | Dec 2008 (18y) | |
| Matthew J Schaefer | Registered representative | Dec 2008 (18y) | ||
| Matthew Winborne Odom | Registered representative | Dec 2008 (18y) | ||
| Steve Liddell | Registered representative | Dec 2008 (18y) | ||
| Kathleen L Burton | Registered representative | Dec 2008 (18y) | ||
| Alexander Clark | Registered representative | Dec 2008 (18y) | ||
| Dennis Scott Falkowski | Registered representative | Dec 2008 (18y) | ||
| Joyce A Ann Meyer | Registered representative | Dec 2008 (18y) | ||
| Kellie P Brady | Registered representative | Dec 2008 (18y) | ||
| Steven Mortelliti | Registered representative | Dec 2008 (18y) | ||
| William Charles Masciulli | Registered representative | Dec 2008 (18y) | ||
| Adam G Fischer | Registered representative | Dec 2008 (18y) | ||
| Darran Blake | Registered representative | Dec 2008 (18y) | ||
| Megan Ballogdajan | Registered representative | Dec 2008 (18y) | ||
| Steven Vincent Nuccio | Registered representative | Dec 2008 (18y) | ||
| Jamin S. Hanson | Registered representative | Dec 2008 (18y) | ||
| Jeffrey K. Johnson | Registered representative | Dec 2008 (18y) | ||
| Mark B Geist | Registered representative | Dec 2008 (18y) | ||
| Peter Augustus Tunney | Registered representative | Dec 2008 (18y) | ||
| Shawn Ashton Cantrell | Registered representative | Dec 2008 (18y) | ||
| Stewart G Anderson | Registered representative | Dec 2008 (18y) | ||
| Barbara Ramey Grimes | Registered representative | Dec 2008 (18y) | ||
| Dawn Lynn Budde | Registered representative | Dec 2008 (18y) | ||
| Falls Shannon Robinson | Registered representative | Dec 2008 (18y) | ||
| Grant Paul Brown | Registered representative | Dec 2008 (18y) | ||
| John Farah | Registered representative | CFP | Dec 2008 (18y) | |
| Kevin E Wesner | Registered representative | Dec 2008 (18y) | ||
| Michael Kenneth Phillips | Registered representative | Dec 2008 (18y) | ||
| Timothy Hyde Austin | Registered representative | Dec 2008 (18y) | ||
| Amy B. Garbrecht | Registered representative | CFP | Dec 2008 (18y) | |
| James Wilton Muckleroy | Registered representative | Dec 2008 (18y) | ||
| Jennifer J. Jan Sampson | Registered representative | Dec 2008 (18y) | ||
| John Joseph Wasilewski | Registered representative | Dec 2008 (18y) | ||
| John Mcneely Dubose | Registered representative | Dec 2008 (18y) | ||
| Jordan Christopher Hayes | Registered representative | Dec 2008 (18y) | ||
| Karen Gleicher Heisler | Registered representative | Dec 2008 (18y) | ||
| Mary Leeanne Adkins | Registered representative | Dec 2008 (18y) | ||
| Randall T Kaya | Registered representative | Dec 2008 (18y) | ||
| Richard Arthur Malloy | Registered representative | Dec 2008 (18y) | ||
| Zachary Stan Sech | Registered representative | Dec 2008 (18y) | ||
| Alexander Houghton Phillips | Registered representative | Dec 2008 (18y) | ||
| Charles Henry Dankworth | Registered representative | Dec 2008 (18y) | ||
| Dion Kenney | Registered representative | Dec 2008 (18y) | ||
| Lisa Louise Knollenberg | Registered representative | Dec 2008 (18y) | ||
| Carla Teneal Tyner | Registered representative | Dec 2008 (18y) | ||
| Charles Myers Hollis | Registered representative | Dec 2008 (18y) | ||
| Christopher J Crowe | Registered representative | CFP | Dec 2008 (18y) | |
| Geoffrey Michael Mann | Registered representative | Dec 2008 (18y) | ||
| Ryan S. S Hanson | Registered representative | Dec 2008 (18y) | ||
| Anthony Logan Mccrimlisk | Registered representative | Dec 2008 (18y) | ||
| Craig N Pontlitz | Registered representative | Dec 2008 (18y) | ||
| Emily Lau | Registered representative | Dec 2008 (18y) | ||
| Kenneth Scott Gunsberger | Registered representative | Dec 2008 (18y) | ||
| Thomas Donald Anderson | Registered representative | Dec 2008 (18y) | ||
| Jeffrey Paul Adams | Registered representative | Dec 2008 (18y) | ||
| Mark Steven Bianchin | Registered representative | Dec 2008 (18y) | ||
| Barry Mitchell Blaustein | Registered representative | Dec 2008 (18y) | ||
| Brian Christopher Young | Registered representative | Dec 2008 (18y) | ||
| Harry Agnant Larosiliere | Registered representative | CFP | Dec 2008 (18y) | |
| Jay P Mechling | Registered representative | Dec 2008 (18y) | ||
| Jeffrey Neil Klotz | Registered representative | Dec 2008 (18y) | ||
| John Michael Polanshek | Registered representative | Dec 2008 (18y) | ||
| Mark David Howell | Registered representative | Dec 2008 (18y) | ||
| Oliver Evan Owens | Registered representative | Dec 2008 (18y) | ||
| Sherry Rowland | Registered representative | Dec 2008 (18y) | ||
| Susan Talley Christman | Registered representative | Dec 2008 (18y) | ||
| Tara Elizabeth Mccann | Registered representative | Dec 2008 (18y) | ||
| Tony Keith Harvey | Registered representative | Dec 2008 (18y) | ||
| James Francis Peasley | Registered representative | Dec 2008 (18y) | ||
| Thomas Harold Berry | Registered representative | Dec 2008 (18y) | ||
| Jay W Williams | Registered representative | Dec 2008 (18y) | ||
| Mary Joanne Bevill | Registered representative | Dec 2008 (18y) | ||
| Sara Ann Darmoni | Registered representative | Dec 2008 (18y) | ||
| Shelley Treadway Waters | Registered representative | Dec 2008 (18y) | ||
| David R. Begala | Registered representative | Dec 2008 (18y) | ||
| Carla Faye Donina | Registered representative | Jan 2009 (18y) | ||
| Christopher Norman Fisher | Registered representative | Jan 2009 (18y) | ||
| John J. Moran | Registered representative | Jan 2009 (18y) | ||
| Norman Paul Fisher | Registered representative | Jan 2009 (18y) | ||
| Robert Lawrence Donina | Registered representative | Jan 2009 (18y) | ||
| Robert T Drida | Registered representative | Jan 2009 (18y) | ||
| Aaron Gilmer Fuller | Registered representative | Jan 2009 (18y) | ||
| Christopher James Conroy | Registered representative | Jan 2009 (18y) | ||
| Scott R Chamberlain | Registered representative | CFP | Jan 2009 (18y) | |
| Eric T Kreuter | Registered representative | Jan 2009 (18y) | ||
| Erin M. Carboni | Registered representative | Jan 2009 (18y) | ||
| Jesse Matrix Amarillas | Registered representative | Jan 2009 (18y) | ||
| Lyndsey W. Harmon | Registered representative | CFP | Jan 2009 (18y) | |
| Malinda Guest Maile | Registered representative | Jan 2009 (18y) | ||
| Ted Andrew Scharch | Registered representative | Jan 2009 (18y) | ||
| Xuemei Wei | Registered representative | Jan 2009 (18y) | ||
| Donna M Feldman | Registered representative | Jan 2009 (18y) | ||
| Jason Sophocles Symond | Registered representative | Jan 2009 (18y) | ||
| Joseph Coalter Williams | Registered representative | Jan 2009 (18y) | ||
| Richard Dale Horn | Registered representative | Jan 2009 (18y) | ||
| Barbara Ann Shepherd | Registered representative | Jan 2009 (18y) | ||
| Christopher Michael Perry | Registered representative | Jan 2009 (18y) | ||
| David J. John Aigner | Registered representative | Jan 2009 (18y) | ||
| Patrick Joseph Dowd | Registered representative | Jan 2009 (18y) | ||
| Toby Dale Pullig | Registered representative | Jan 2009 (18y) | ||
| Andrew T. Dickinson | Registered representative | Jan 2009 (18y) | ||
| Armand Del Medico | Registered representative | Jan 2009 (18y) | ||
| David Maldonado | Registered representative | CFP | Jan 2009 (18y) | |
| David Mc Quade | Registered representative | Jan 2009 (18y) | ||
| Laura Dillon | Registered representative | Jan 2009 (18y) | ||
| Michael Anthony Giacone | Registered representative | Jan 2009 (18y) | ||
| Rachel D. Irons | Registered representative | CFP | Jan 2009 (18y) | |
| Robert Wesley Foersterling | Registered representative | Jan 2009 (18y) | ||
| Stanton John Jacobs | Registered representative | Jan 2009 (18y) | ||
| Angela Gray | Registered representative | Jan 2009 (18y) | ||
| Peter Xavier Prophit | Registered representative | Jan 2009 (18y) | ||
| Timothy James Dumont | Registered representative | CFA | Jan 2009 (18y) | |
| Brian Schiller | Registered representative | Jan 2009 (18y) | ||
| Brooke Caudell | Registered representative | Jan 2009 (18y) | ||
| John W Young | Registered representative | Jan 2009 (18y) | ||
| Michael Mcrae Dellinger | Registered representative | Jan 2009 (18y) | ||
| Michael Thomas Haskell | Registered representative | Jan 2009 (18y) | ||
| William David Jackman | Registered representative | Jan 2009 (18y) | ||
| Christopher Barger Nix | Registered representative | Jan 2009 (18y) | ||
| Ira Dale Kravitz | Registered representative | Jan 2009 (18y) | ||
| James Scott Blair | Registered representative | Jan 2009 (18y) | ||
| Jerrey Alan Thurston | Registered representative | CFP | Jan 2009 (18y) | |
| Karen Anita Breed | Registered representative | CFP | Jan 2009 (18y) | |
| Keith J Apton | Registered representative | Jan 2009 (18y) | ||
| Kevin M. Shepherd | Registered representative | Jan 2009 (18y) | ||
| Luke Lewis Wiley | Registered representative | Jan 2009 (18y) | ||
| Richard Alan Abrams | Registered representative | Jan 2009 (18y) | ||
| Susan Sadler Woelper | Registered representative | Jan 2009 (18y) | ||
| Zachary Hamilton Wiley | Registered representative | Jan 2009 (18y) | ||
| Bradley I Ray | Registered representative | CFP | Jan 2009 (18y) | |
| Charles E Mccool | Registered representative | Jan 2009 (18y) | ||
| Donald Paul Stone | Registered representative | Jan 2009 (18y) | ||
| Jack David Stonhaus | Registered representative | Jan 2009 (18y) | ||
| John Owen Riggle | Registered representative | Jan 2009 (18y) | ||
| John T Connelly | Registered representative | Jan 2009 (18y) | ||
| John William Russell | Registered representative | Jan 2009 (18y) | ||
| Joseph A. Marsh | Registered representative | Jan 2009 (18y) | ||
| Kristin Elizabeth Bloom | Registered representative | Jan 2009 (18y) | ||
| Laura Jane Moellering | Registered representative | Jan 2009 (18y) | ||
| Marque V Cohen | Registered representative | Jan 2009 (18y) | ||
| Michael Edward Hardy | Registered representative | Jan 2009 (18y) | ||
| Michael J Ajlouny | Registered representative | Jan 2009 (18y) | ||
| Michael J. Stewart | Registered representative | CFP | Jan 2009 (18y) | |
| Steven Westerman | Registered representative | Jan 2009 (18y) | ||
| Thomas Irwin Roulston | Registered representative | Jan 2009 (18y) | ||
| Timothy Martin Mcdonald | Registered representative | Jan 2009 (18y) | ||
| Timothy Torretta | Registered representative | CFP | Jan 2009 (18y) | |
| Douglas Charles Gast | Registered representative | Jan 2009 (18y) | ||
| George Michael Feldman | Registered representative | Jan 2009 (18y) | ||
| John Ramsdell Lucas | Registered representative | Jan 2009 (18y) | ||
| Robert Douglas Gast | Registered representative | Jan 2009 (18y) | ||
| Russell J Wilson | Registered representative | Jan 2009 (18y) | ||
| Judith Leigh Vandermeid | Registered representative | Jan 2009 (18y) | ||
| Eric Andrew Peterson | Registered representative | Jan 2009 (18y) | ||
| Gregory Alexander Pieroni | Registered representative | Jan 2009 (18y) | ||
| Jason Bolen Devening | Registered representative | Jan 2009 (18y) | ||
| John Howard Adelman | Registered representative | Jan 2009 (18y) | ||
| John R. R Martinez | Registered representative | Jan 2009 (18y) | ||
| Kerry Fagelman | Registered representative | Jan 2009 (18y) | ||
| Myles Frederick Wittenstein | Registered representative | Jan 2009 (18y) | ||
| Nicholas Alfred Maurillo | Registered representative | Jan 2009 (18y) | ||
| Paul Michael Lewis | Registered representative | Jan 2009 (18y) | ||
| Stephen Henry Hazel | Registered representative | Jan 2009 (18y) | ||
| Edgardo Rafael Cintron | Registered representative | Jan 2009 (18y) | ||
| Ella M. Apalisok | Registered representative | Jan 2009 (18y) | ||
| Hans Peter Auer | Registered representative | Jan 2009 (18y) | ||
| James C. Perez | Registered representative | CFP | Jan 2009 (18y) | |
| Jon R Mcmillan | Registered representative | Jan 2009 (18y) | ||
| Kevin Puryear Young | Registered representative | Jan 2009 (18y) | ||
| Mindy Kay Nightingale | Registered representative | Jan 2009 (18y) | ||
| Patrick H Millian | Registered representative | Jan 2009 (18y) | ||
| Paul M Douglas | Registered representative | CFP | Jan 2009 (18y) | |
| Scott Anthony Ventoza | Registered representative | Jan 2009 (18y) | ||
| Stacey D Michels | Registered representative | Jan 2009 (18y) | ||
| Christopher Charles Bradley | Registered representative | CFP | Jan 2009 (18y) | |
| Diane Lara | Registered representative | Jan 2009 (18y) | ||
| James Dean Blalock | Registered representative | Jan 2009 (18y) | ||
| John H. Reddington | Registered representative | Jan 2009 (18y) | ||
| Mark Andrew Coote | Registered representative | Jan 2009 (18y) | ||
| Mark H. Howard Bradley | Registered representative | Jan 2009 (18y) | ||
| Michael Charles O Shaughnessey | Registered representative | Jan 2009 (18y) | ||
| Scott F Newton | Registered representative | Jan 2009 (18y) | ||
| Thomas Harvey Blalock | Registered representative | Jan 2009 (18y) | ||
| Brenda V. Hatmaker | Registered representative | Jan 2009 (18y) | ||
| Cindy Renee Clowers | Registered representative | Jan 2009 (18y) | ||
| Michael A. Zinn | Registered representative | Jan 2009 (18y) | ||
| Michael Lynn Matthews | Registered representative | Jan 2009 (18y) | ||
| Bert Pierpont Palmer | Registered representative | Jan 2009 (18y) | ||
| Cameron L Cheek | Registered representative | Jan 2009 (18y) | ||
| Eric Daniel Uhlberg | Registered representative | Jan 2009 (18y) | ||
| Joseph John Romanchik | Registered representative | Jan 2009 (18y) | ||
| Patrick Francis Fitzgerald | Registered representative | CFP | Jan 2009 (18y) | |
| Rick James Link | Registered representative | Jan 2009 (18y) | ||
| Rolf Maile | Registered representative | Jan 2009 (18y) | ||
| Scot Trantham | Registered representative | Jan 2009 (18y) | ||
| Terry Lee Beattie | Registered representative | Jan 2009 (18y) | ||
| Benjamin Williamson Sydnor | Registered representative | Jan 2009 (18y) | ||
| Carleton Scott Crimmins | Registered representative | Jan 2009 (18y) | ||
| Christine Ann Santos | Registered representative | Jan 2009 (18y) | ||
| Craig Vernon Vanderschoor | Registered representative | Jan 2009 (18y) | ||
| Daniel Francis Miles | Registered representative | Jan 2009 (18y) | ||
| Donald Raymond Monroe | Registered representative | Jan 2009 (18y) | ||
| Glenn Louis Sage | Registered representative | Jan 2009 (18y) | ||
| Gregory Dayton Miller | Registered representative | Jan 2009 (18y) | ||
| Gregory H Marcus | Registered representative | Jan 2009 (18y) | ||
| James Andrew Calabrese | Registered representative | Jan 2009 (18y) | ||
| Jennifer H. Reid | Registered representative | CFP | Jan 2009 (18y) | |
| John David Thomas | Registered representative | Jan 2009 (18y) | ||
| Kimberly Roberts | Registered representative | Jan 2009 (18y) | ||
| Laurisa Ann Richter | Registered representative | Jan 2009 (18y) | ||
| Lee Shin Chen | Registered representative | Jan 2009 (18y) | ||
| Scott Lawrence Grossman | Registered representative | Jan 2009 (18y) | ||
| Edward Upchurch Miller | Registered representative | Feb 2009 (17y) | ||
| Henry Paul Sobotka | Registered representative | Feb 2009 (17y) | ||
| John Bernard Zodrow | Registered representative | Feb 2009 (17y) | ||
| Carin L. Thomas | Registered representative | Feb 2009 (17y) | ||
| Christine Lee | Registered representative | Feb 2009 (17y) | ||
| Darrell Scott Rosenthal | Registered representative | Feb 2009 (17y) | ||
| James Steven Sheridan | Registered representative | Feb 2009 (17y) | ||
| Harry C Christopher | Registered representative | Feb 2009 (17y) | ||
| Jacob Roy Niggemann | Registered representative | Feb 2009 (17y) | ||
| James Edward Ducey | Registered representative | Feb 2009 (17y) | ||
| Nicholas G. Bode | Registered representative | Feb 2009 (17y) | ||
| Paul Eugene Lee | Registered representative | Feb 2009 (17y) | ||
| Ryan Thomas Lindgren | Registered representative | Feb 2009 (17y) | ||
| Subeer Dev Manhas | Registered representative | Feb 2009 (17y) | ||
| Blythe S. Manson | Registered representative | Feb 2009 (17y) | ||
| Clarence Michael Pickles | Registered representative | Feb 2009 (17y) | ||
| David Putnam Bruner | Registered representative | Feb 2009 (17y) | ||
| Jerome Grossman | Registered representative | Feb 2009 (17y) | ||
| Jose Miguel Rivera | Registered representative | Feb 2009 (17y) | ||
| Kevin Michael Sheerin | Registered representative | Feb 2009 (17y) | ||
| Michael Louis Appelbaum | Registered representative | Feb 2009 (17y) | ||
| Timothy Reath | Registered representative | Feb 2009 (17y) | ||
| Anthony Depalma | Registered representative | CFP | Feb 2009 (17y) | |
| Judi Washington | Registered representative | Feb 2009 (17y) | ||
| Michael T. Tusan | Registered representative | Feb 2009 (17y) | ||
| Oliver Morgan Hall | Registered representative | Feb 2009 (17y) | ||
| Stuart James Marsden | Registered representative | Feb 2009 (17y) | ||
| Elliot Ryan Kiersky | Registered representative | Feb 2009 (17y) | ||
| Philip Alan Danishefsky | Registered representative | Feb 2009 (17y) | ||
| Frank F Quinn | Registered representative | Feb 2009 (17y) | ||
| Jeffrey Keith Rondini | Registered representative | Feb 2009 (17y) | ||
| John Francis Ryan | Registered representative | Feb 2009 (17y) | ||
| John Michael Halperin | Registered representative | Feb 2009 (17y) | ||
| Paul Andrew Toby | Registered representative | Feb 2009 (17y) | ||
| Richard Allen Corman | Registered representative | Feb 2009 (17y) | ||
| Timothy L. Rauwald | Registered representative | Feb 2009 (17y) | ||
| Todd Hume Nichols | Registered representative | Feb 2009 (17y) | ||
| William Frederick Thoms | Registered representative | Feb 2009 (17y) | ||
| Andrew M Craig | Registered representative | Feb 2009 (17y) | ||
| Hardie Barr | Registered representative | Feb 2009 (17y) | ||
| Jennifer L. Hoselton | Registered representative | Feb 2009 (17y) | ||
| Terence Robert Mcmahon | Registered representative | Feb 2009 (17y) | ||
| Aric Jonathan Zamel | Registered representative | CFP | Feb 2009 (17y) | |
| Suzann Rita Zadanosky | Registered representative | CFP | Feb 2009 (17y) | |
| Stephen Demarais | Registered representative | Feb 2009 (17y) | ||
| Deidre Alayne Anderson | Registered representative | Feb 2009 (17y) | ||
| Jennifer E Vanderschoor | Registered representative | Feb 2009 (17y) | ||
| John C Geist | Registered representative | Feb 2009 (17y) | ||
| Lynn Marie M Magner | Registered representative | CFP | Feb 2009 (17y) | |
| Nancy Matta | Registered representative | CFP | Feb 2009 (17y) | |
| Richard Hayes Pipes | Registered representative | Feb 2009 (17y) | ||
| William Surdovel | Registered representative | Feb 2009 (17y) | ||
| Alexander Dean Williams | Registered representative | Feb 2009 (17y) | ||
| David Lee Reppas | Registered representative | Feb 2009 (17y) | ||
| Gregory Joseph Habig | Registered representative | Feb 2009 (17y) | ||
| James K. Merkley | Registered representative | Feb 2009 (17y) | ||
| James Steven Gibson | Registered representative | Feb 2009 (17y) | ||
| Jeffrey Scott Pierce | Registered representative | Feb 2009 (17y) | ||
| Joseph Robert Wilson | Registered representative | Feb 2009 (17y) | ||
| Kevin Lynn Bruening | Registered representative | Feb 2009 (17y) | ||
| Mark George Holcomb | Registered representative | Feb 2009 (17y) | ||
| Michael Patrick Riordan | Registered representative | Feb 2009 (17y) | ||
| Peter Lloyd Rukeyser | Registered representative | Feb 2009 (17y) | ||
| Piet Aldrich | Registered representative | Feb 2009 (17y) | ||
| Robert S. Samuel Wright | Registered representative | Feb 2009 (17y) | ||
| Thomas A. Mcmullen | Registered representative | Feb 2009 (17y) | ||
| Troy Athearn Tunell | Registered representative | Feb 2009 (17y) | ||
| Venetta August Macaluso | Registered representative | Feb 2009 (17y) | ||
| Ryan Mathew Mccann | Registered representative | Feb 2009 (17y) | ||
| Uriwon Hazel | Registered representative | Feb 2009 (17y) | ||
| Condolee Gilliam | Registered representative | Feb 2009 (17y) | ||
| John Charles Castronuovo | Registered representative | Feb 2009 (17y) | ||
| Mathew James Rustad | Registered representative | Feb 2009 (17y) | ||
| David Bruce Kusiel | Registered representative | Feb 2009 (17y) | ||
| Dawn Istvan Mcculloh | Registered representative | Feb 2009 (17y) | ||
| James Harmon Bays | Registered representative | Feb 2009 (17y) | ||
| Jeffrey Aaron Lapp | Registered representative | Feb 2009 (17y) | ||
| Larry Dean Sock | Registered representative | Feb 2009 (17y) | ||
| Matthew Lowell Megorden | Registered representative | Feb 2009 (17y) | ||
| Ryan Lloyd Raber | Registered representative | Feb 2009 (17y) | ||
| Dennis C. Klein | Registered representative | Mar 2009 (17y) | ||
| John Thomas Campbell | Registered representative | Mar 2009 (17y) | ||
| Mark Andrew Redden | Registered representative | Mar 2009 (17y) | ||
| Raymond Samuel Byers | Registered representative | Mar 2009 (17y) | ||
| William David Jones | Registered representative | Mar 2009 (17y) | ||
| Angela Tello Calvin | Registered representative | Mar 2009 (17y) | ||
| Lee Kent Thompson | Registered representative | Mar 2009 (17y) | ||
| Margaret Mary Denver | Registered representative | Mar 2009 (17y) | ||
| Meredith Carlton | Registered representative | Mar 2009 (17y) | ||
| Richard Eldon Hamrick | Registered representative | Mar 2009 (17y) | ||
| William Peyton Jr. | Registered representative | Mar 2009 (17y) | ||
| Russell J Weber | Registered representative | Mar 2009 (17y) | ||
| Craig Allen Hottell | Registered representative | Mar 2009 (17y) | ||
| James F. Lamotta | Registered representative | Mar 2009 (17y) | ||
| Rena Joy Cole | Registered representative | Mar 2009 (17y) | ||
| Adam Jan Slowik | Registered representative | Mar 2009 (17y) | ||
| Camille Bohan Valentine | Registered representative | Mar 2009 (17y) | ||
| Gary Lee Zahakos | Registered representative | CFP | Mar 2009 (17y) | |
| Michael Mcwhorter | Registered representative | Mar 2009 (17y) | ||
| Gary Wayne Carby | Registered representative | Mar 2009 (17y) | ||
| Robert J Callanan | Registered representative | Mar 2009 (17y) | ||
| Charles Howard Levine | Registered representative | Mar 2009 (17y) | ||
| Elizabeth Jones Willenbrock | Registered representative | Mar 2009 (17y) | ||
| Eric Feil Lubitz | Registered representative | Mar 2009 (17y) | ||
| Gary Dean Roth | Registered representative | Mar 2009 (17y) | ||
| Hc Tad Willenbrock | Registered representative | Mar 2009 (17y) | ||
| Bruce Wynne Sharpe | Registered representative | Mar 2009 (17y) | ||
| Kathryn Josephine Sciba | Registered representative | CFP | Mar 2009 (17y) | |
| William Gerald Smith | Registered representative | Mar 2009 (17y) | ||
| Andrew Morgan Galewski | Registered representative | Mar 2009 (17y) | ||
| Christopher Stephan Radici | Registered representative | Mar 2009 (17y) | ||
| Donald Lee Trabert | Registered representative | Mar 2009 (17y) | ||
| Joseph Ricci Asiano | Registered representative | Mar 2009 (17y) | ||
| Mark Case Ingle | Registered representative | Mar 2009 (17y) | ||
| William Edward Hrynyshyn | Registered representative | CFP | Mar 2009 (17y) | |
| Jessica Lee Anderson | Registered representative | CFP | Mar 2009 (17y) | |
| John Crawford Hamilton | Registered representative | Mar 2009 (17y) | ||
| Margaret A Jones | Registered representative | Mar 2009 (17y) | ||
| Mitchell Jeffries Rosengarten | Registered representative | Mar 2009 (17y) | ||
| Peter Peabody Kelley | Registered representative | Mar 2009 (17y) | ||
| Wendy Bolton Splan | Registered representative | Mar 2009 (17y) | ||
| Frank Powers | Registered representative | Mar 2009 (17y) | ||
| Edward Ross Hartz | Registered representative | Mar 2009 (17y) | ||
| Charles Walker Anderson | Registered representative | Mar 2009 (17y) | ||
| David Joseph Miller | Registered representative | CFP | Mar 2009 (17y) | |
| Elaine Flanigan | Registered representative | Mar 2009 (17y) | ||
| Paul Harold Anderson | Registered representative | Mar 2009 (17y) | ||
| Ronald J. Chesney | Registered representative | Mar 2009 (17y) | ||
| James B Dorney | Registered representative | Mar 2009 (17y) | ||
| Wayne Edward Card | Registered representative | Mar 2009 (17y) | ||
| Erin Dunn | Registered representative | Mar 2009 (17y) | ||
| Alfred Francis Kelly | Registered representative | Mar 2009 (17y) | ||
| Barbara Ann Fain | Registered representative | Apr 2009 (17y) | ||
| Gerald Butler Dubey | Registered representative | Apr 2009 (17y) | ||
| Richard Paul Giordano | Registered representative | Apr 2009 (17y) | ||
| Ruse Brown | Registered representative | Apr 2009 (17y) | ||
| Cecilia Bettencourt | Registered representative | Apr 2009 (17y) | ||
| Andrea Mary Shea | Registered representative | Apr 2009 (17y) | ||
| David I. Ivanovitch Obolensky | Registered representative | Apr 2009 (17y) | ||
| Drew Scott Freides | Registered representative | Apr 2009 (17y) | ||
| Frederick M Long | Registered representative | Apr 2009 (17y) | ||
| Jennifer S Barberis | Registered representative | Apr 2009 (17y) | ||
| John Douglas Scribner | Registered representative | Apr 2009 (17y) | ||
| Laura Ann Doran | Registered representative | Apr 2009 (17y) | ||
| Kelly E Scheetz | Registered representative | Apr 2009 (17y) | ||
| Ruby Herrera | Registered representative | CFP | Apr 2009 (17y) | |
| Dawn K Lovrovich | Registered representative | Apr 2009 (17y) | ||
| Deborah L Bauer | Registered representative | Apr 2009 (17y) | ||
| Gary Alan Barss | Registered representative | Apr 2009 (17y) | ||
| Janis M Shipman | Registered representative | Apr 2009 (17y) | ||
| Jason E Tvedt | Registered representative | Apr 2009 (17y) | ||
| Jimmy Bob Mcneil | Registered representative | Apr 2009 (17y) | ||
| Melissa J Cross | Registered representative | CFP | Apr 2009 (17y) | |
| Michael John Sherman | Registered representative | Apr 2009 (17y) | ||
| Scott Christopher Mcdonald | Registered representative | Apr 2009 (17y) | ||
| Sherrill Garrison Elrod | Registered representative | Apr 2009 (17y) | ||
| Stephen F. Fred Fairfax | Registered representative | Apr 2009 (17y) | ||
| Stephen Michael Bauer | Registered representative | Apr 2009 (17y) | ||
| Steven Anthony Chille | Registered representative | Apr 2009 (17y) | ||
| Karen Dryer | Registered representative | Apr 2009 (17y) | ||
| Brian Thomas Ballard | Registered representative | Apr 2009 (17y) | ||
| Daniel Michael Mclaughlin | Registered representative | Apr 2009 (17y) | ||
| Michael Gene Meyer | Registered representative | Apr 2009 (17y) | ||
| William Loren Schoff | Registered representative | Apr 2009 (17y) | ||
| Keith Douglas Seibert | Registered representative | Apr 2009 (17y) | ||
| Alan Marshall Smith | Registered representative | Apr 2009 (17y) | ||
| Alexis Farzan Saed | Registered representative | Apr 2009 (17y) | ||
| Amy E. Stahl | Registered representative | Apr 2009 (17y) | ||
| Christopher Alan Smith | Registered representative | Apr 2009 (17y) | ||
| Jonathan Simpson Traub | Registered representative | Apr 2009 (17y) | ||
| Kenneth Anthony Angelo | Registered representative | Apr 2009 (17y) | ||
| Kim M Ducharme | Registered representative | Apr 2009 (17y) | ||
| Kirsten L Ismail | Registered representative | CFP | Apr 2009 (17y) | |
| Patricia Hall Sayyah | Registered representative | Apr 2009 (17y) | ||
| Shawn Yukio Valukas | Registered representative | Apr 2009 (17y) | ||
| Thomas Lee Stoner | Registered representative | Apr 2009 (17y) | ||
| Beverly Jo Funderburk | Registered representative | Apr 2009 (17y) | ||
| Bonnie Nicodemus Suther | Registered representative | Apr 2009 (17y) | ||
| David Newbold Smith | Registered representative | Apr 2009 (17y) | ||
| Erik Curtis Wood | Registered representative | Apr 2009 (17y) | ||
| John R. Fisher | Registered representative | Apr 2009 (17y) | ||
| Michael Barry Greenly | Registered representative | Apr 2009 (17y) | ||
| Michael Thomas Collins | Registered representative | Apr 2009 (17y) | ||
| Ozzie R Bauer | Registered representative | Apr 2009 (17y) | ||
| Pamela Ann Brileya | Registered representative | Apr 2009 (17y) | ||
| Christopher J Newton | Registered representative | Apr 2009 (17y) | ||
| Jeffrey Robert Herman | Registered representative | Apr 2009 (17y) | ||
| Kenneth Josefsberg | Registered representative | Apr 2009 (17y) | ||
| David Keith Ellovich | Registered representative | Apr 2009 (17y) | ||
| Dean H. Gaugler | Registered representative | Apr 2009 (17y) | ||
| Frances Douthat | Registered representative | Apr 2009 (17y) | ||
| Greg Fitzgerald Mendoza | Registered representative | Apr 2009 (17y) | ||
| James Ronald Robinson | Registered representative | Apr 2009 (17y) | ||
| Kristina L Owsley | Registered representative | Apr 2009 (17y) | ||
| Michael D Spiedel | Registered representative | Apr 2009 (17y) | ||
| Neil Tomlinson Douthat | Registered representative | Apr 2009 (17y) | ||
| Patricia M Morytko | Registered representative | Apr 2009 (17y) | ||
| William L Louis Vasconcellos | Registered representative | Apr 2009 (17y) | ||
| William Thomas Read | Registered representative | Apr 2009 (17y) | ||
| Paul Dennis Nelson | Registered representative | Apr 2009 (17y) | ||
| Clayton Christopher Scholand | Registered representative | Apr 2009 (17y) | ||
| Dana Michelle Mathis Keener | Registered representative | Apr 2009 (17y) | ||
| George Frederick Verdone | Registered representative | Apr 2009 (17y) | ||
| George Mason Rankin | Registered representative | Apr 2009 (17y) | ||
| Michael C. Gould | Registered representative | Apr 2009 (17y) | ||
| Susan K Cross | Registered representative | Apr 2009 (17y) | ||
| John Joseph Kubica | Registered representative | Apr 2009 (17y) | ||
| Matthew Richard Howard | Registered representative | Apr 2009 (17y) | ||
| Richard John Zorena | Registered representative | Apr 2009 (17y) | ||
| Spencer Herbert Seaman | Registered representative | Apr 2009 (17y) | ||
| Justin Daniel Equitz | Registered representative | CFP | May 2009 (17y) | |
| Lisa Jean Licini | Registered representative | May 2009 (17y) | ||
| Bernard Mark Paul | Registered representative | May 2009 (17y) | ||
| Brant Christopher Ferguson | Registered representative | May 2009 (17y) | ||
| Justin T Eastburn | Registered representative | May 2009 (17y) | ||
| Patrick Steven Carrigan | Registered representative | May 2009 (17y) | ||
| Christopher George Morgan | Registered representative | May 2009 (17y) | ||
| Dannette Marie Trivisonno | Registered representative | May 2009 (17y) | ||
| David Alan Boudreau | Registered representative | May 2009 (17y) | ||
| Gary B. Ghigliotti | Registered representative | May 2009 (17y) | ||
| Gary D. Smith | Registered representative | May 2009 (17y) | ||
| Gregory Buell Camden | Registered representative | May 2009 (17y) | ||
| Howard Wilson Glasgow | Registered representative | May 2009 (17y) | ||
| James Patrick O'connell | Registered representative | May 2009 (17y) | ||
| Jensen B. Baker Moock | Registered representative | May 2009 (17y) | ||
| Otis Miles Pollard | Registered representative | May 2009 (17y) | ||
| Tawana Campbell | Registered representative | May 2009 (17y) | ||
| Andrew Howard Kahner | Registered representative | May 2009 (17y) | ||
| Peter Kakoyannis | Registered representative | May 2009 (17y) | ||
| Radika D Mangar | Registered representative | May 2009 (17y) | ||
| Shane R. Richard Lunsford | Registered representative | May 2009 (17y) | ||
| Radha M. Narayan | Registered representative | May 2009 (17y) | ||
| Robert Michael Swiller | Registered representative | May 2009 (17y) | ||
| Christine M. Weingart | Registered representative | May 2009 (17y) | ||
| Melissa Snyder Rush | Registered representative | May 2009 (17y) | ||
| Holidae Hart Hayes | Registered representative | May 2009 (17y) | ||
| Maggie Stephens Gambrel | Registered representative | May 2009 (17y) | ||
| Timothy A. Allen Shelton | Registered representative | May 2009 (17y) | ||
| William Austin Dodd | Registered representative | May 2009 (17y) | ||
| Christopher Michael Scott | Registered representative | May 2009 (17y) | ||
| Cara Hill | Registered representative | May 2009 (17y) | ||
| Robert Joseph Bickham | Registered representative | May 2009 (17y) | ||
| William Joseph Bottrell | Registered representative | May 2009 (17y) | ||
| Becky P Gladney | Registered representative | May 2009 (17y) | ||
| Cathy Lynn Williams | Registered representative | May 2009 (17y) | ||
| Katherine May Kakas | Registered representative | May 2009 (17y) | ||
| Lawrence Ferber Buckley | Registered representative | May 2009 (17y) | ||
| Raymond Vuicich | Registered representative | May 2009 (17y) | ||
| Scott Carlton Olsen | Registered representative | May 2009 (17y) | ||
| Steven James Nelson | Registered representative | May 2009 (17y) | ||
| Russell Louis Roth | Registered representative | May 2009 (17y) | ||
| Stuart Collingwood Mcleod | Registered representative | May 2009 (17y) | ||
| Paul Steven Wishingrad | Registered representative | Jun 2009 (17y) | ||
| Carl E Nagel | Registered representative | Jun 2009 (17y) | ||
| Darren J Justin Lederfine | Registered representative | Jun 2009 (17y) | ||
| Joshua Frankel | Registered representative | CFP | Jun 2009 (17y) | |
| Steven Tacher | Registered representative | Jun 2009 (17y) | ||
| Timothy William Ryan | Registered representative | Jun 2009 (17y) | ||
| Andrea Digioia Rothberg | Registered representative | Jun 2009 (17y) | ||
| Christopher Charles Amo | Registered representative | Jun 2009 (17y) | ||
| Rae Ann Stuard | Registered representative | Jun 2009 (17y) | ||
| Scott David Macdonald | Registered representative | Jun 2009 (17y) | ||
| Michael Dean Joseph Alioto | Registered representative | Jun 2009 (17y) | ||
| Sherry L Tomes | Registered representative | Jun 2009 (17y) | ||
| Todd Glenn Feldman | Registered representative | Jun 2009 (17y) | ||
| Barbara Leach Fraser | Registered representative | CFP | Jun 2009 (17y) | |
| Joseph Matthew Zentner | Registered representative | Jun 2009 (17y) | ||
| Kathleen Mary Titus | Registered representative | Jun 2009 (17y) | ||
| Stephen James Wilson | Registered representative | Jun 2009 (17y) | ||
| Geoffrey Christopher Centner | Registered representative | Jun 2009 (17y) | ||
| Paul J Monacelli | Registered representative | Jun 2009 (17y) | ||
| Christopher Thomas Butsko | Registered representative | Jun 2009 (17y) | ||
| Kevin Wade Bryant | Registered representative | Jun 2009 (17y) | ||
| Lizabeth Moses | Registered representative | Jun 2009 (17y) | ||
| Richard Marc Scharff | Registered representative | Jun 2009 (17y) | ||
| Samuel Steed Carson | Registered representative | Jun 2009 (17y) | ||
| Matthew Sam Rich | Registered representative | Jun 2009 (17y) | ||
| Sarah Salomon | Registered representative | Jun 2009 (17y) | ||
| David Charles Marshall | Registered representative | CFP | Jun 2009 (17y) | |
| Craig Christopher Dunton | Registered representative | CFP | Jun 2009 (17y) | |
| Kevin Anthony Young | Registered representative | Jun 2009 (17y) | ||
| Yazdi Jamie Mistry | Registered representative | Jun 2009 (17y) | ||
| William Reilly | Registered representative | Jun 2009 (17y) | ||
| Brandon Alan Woodhead | Registered representative | Jun 2009 (17y) | ||
| Evan Ralph Yeaw | Registered representative | Jul 2009 (17y) | ||
| William B Lovett Iii | Registered representative | Jul 2009 (17y) | ||
| John Gregory Hedrick | Registered representative | Jul 2009 (17y) | ||
| Sherwyn Jimmy Mistry | Registered representative | Jul 2009 (17y) | ||
| Michael Mccluskey Iii | Registered representative | Jul 2009 (17y) | ||
| Patrick J. Henning | Registered representative | Jul 2009 (17y) | ||
| Elizabeth Ann Engelmann | Registered representative | Jul 2009 (17y) | ||
| James Anthony Small | Registered representative | Jul 2009 (17y) | ||
| John P. O'leary | Registered representative | Jul 2009 (17y) | ||
| Jonathan Andrew Eklin | Registered representative | Jul 2009 (17y) | ||
| Mario Anthony Lepore | Registered representative | Jul 2009 (17y) | ||
| Mark Allen Zeller | Registered representative | Jul 2009 (17y) | ||
| David Anthony Giffen | Registered representative | Jul 2009 (17y) | ||
| Alissa Marie Quinn | Registered representative | Jul 2009 (17y) | ||
| Ivis Hernandez | Registered representative | Jul 2009 (17y) | ||
| Joseph Thomas Molloy | Registered representative | Aug 2009 (17y) | ||
| Scot Neal Pardo | Registered representative | Aug 2009 (17y) | ||
| Daniel Egbert | Registered representative | Aug 2009 (17y) | ||
| Stewart Swan | Registered representative | Aug 2009 (17y) | ||
| John Sargent Whedon | Registered representative | Aug 2009 (17y) | ||
| Kathy Sue Corrigan | Registered representative | Aug 2009 (17y) | ||
| Peter J. Jeremy Hall | Registered representative | Aug 2009 (17y) | ||
| Stephen Jeremy Hall | Registered representative | Aug 2009 (17y) | ||
| William Dennis Conti | Registered representative | Aug 2009 (17y) | ||
| Gretchen Sue Buehner | Registered representative | Aug 2009 (17y) | ||
| Brian Walter Formento | Registered representative | Aug 2009 (17y) | ||
| Justin Burnet Waring | Registered representative | Aug 2009 (17y) | ||
| Mark Christopher Livoti | Registered representative | Aug 2009 (17y) | ||
| Thomas Garfield Green | Registered representative | Aug 2009 (17y) | ||
| Nicholas Joseph Pepe | Registered representative | Aug 2009 (17y) | ||
| Katrina Elizabeth Erker | Registered representative | Aug 2009 (17y) | ||
| Donald Frank Sickles | Registered representative | CFP | Aug 2009 (17y) | |
| Michael Costa | Registered representative | Aug 2009 (17y) | ||
| Susan M. Brown | Registered representative | Aug 2009 (17y) | ||
| Vladimira Scott | Registered representative | Sep 2009 (17y) | ||
| Thomas J. John Bisceglia | Registered representative | Sep 2009 (17y) | ||
| Michael Anthony Lusardi | Registered representative | Sep 2009 (17y) | ||
| William Anthony Carmody | Registered representative | Sep 2009 (17y) | ||
| Adam Joseph Ruedig | Registered representative | Sep 2009 (17y) | ||
| Kelly Patricia Chavira | Registered representative | Sep 2009 (17y) | ||
| Carol P. Staniar | Registered representative | Sep 2009 (17y) | ||
| Edward Joseph Caufield | Registered representative | Sep 2009 (17y) | ||
| Jettie Portwood Letson | Registered representative | Sep 2009 (17y) | ||
| Jose L Rovalino | Registered representative | Sep 2009 (17y) | ||
| Linda K. Harris | Registered representative | Oct 2009 (17y) | ||
| Elizabeth M Metal | Registered representative | Oct 2009 (17y) | ||
| Robert Laurent Benoit | Registered representative | Oct 2009 (17y) | ||
| Jorge L Lopez Balboa | Registered representative | Oct 2009 (17y) | ||
| Kevin Amerio | Registered representative | CFP | Oct 2009 (17y) | |
| John Christopher Woznicki | Registered representative | Oct 2009 (17y) | ||
| Joanne Carter | Registered representative | Oct 2009 (17y) | ||
| Blake L Foster | Registered representative | Oct 2009 (17y) | ||
| Gwen G Weigelt | Registered representative | Nov 2009 (17y) | ||
| Roger F. Francis Vierra | Registered representative | Nov 2009 (17y) | ||
| Michael Francis Poppo | Registered representative | Nov 2009 (17y) | ||
| Blake Mark Paul | Registered representative | Nov 2009 (17y) | ||
| Michael John Theilmann | Registered representative | Nov 2009 (17y) | ||
| James Michael Belknap | Registered representative | Dec 2009 (17y) | ||
| Jeremy Guy Charles Keller | Registered representative | Dec 2009 (17y) | ||
| Patricia Darlene Yell | Registered representative | Dec 2009 (17y) | ||
| Haley Daughtry | Registered representative | Dec 2009 (17y) | ||
| Michelyn R Koseki | Registered representative | Dec 2009 (17y) | ||
| Sharon Bell Robles | Registered representative | Dec 2009 (17y) | ||
| Benjamin Wells | Registered representative | Dec 2009 (17y) | ||
| Adeel Eijaz | Registered representative | Jan 2010 (17y) | ||
| Adrian Gonzalo Quinteros | Registered representative | Jan 2010 (17y) | ||
| Alan Neil Rechtschaffen | Registered representative | Jan 2010 (17y) | ||
| Albanery Roman | Registered representative | Jan 2010 (17y) | ||
| Alberto Matias Cohen | Registered representative | Jan 2010 (17y) | ||
| Alexandre F Ulvert | Registered representative | Jan 2010 (17y) | ||
| Alfredo Caputo | Registered representative | Jan 2010 (17y) | ||
| Alvaro Mora Kopper | Registered representative | Jan 2010 (17y) | ||
| Ana Diaz | Registered representative | Jan 2010 (17y) | ||
| Artur Ventura Ferreira | Registered representative | Jan 2010 (17y) | ||
| Adrian Crespo | Registered representative | Jan 2010 (17y) | ||
| Bor Alexander Van Der Weerden | Registered representative | Jan 2010 (17y) | ||
| Bruno Martins Miranda | Registered representative | Jan 2010 (17y) | ||
| Bruno Pucci Mariano | Registered representative | Jan 2010 (17y) | ||
| Carla Cristina Roque | Registered representative | Jan 2010 (17y) | ||
| Carla M Chen | Registered representative | Jan 2010 (17y) | ||
| Carlos Alberto Lozano | Registered representative | Jan 2010 (17y) | ||
| Carlos Bernardo Robert Guadalajara | Registered representative | Jan 2010 (17y) | ||
| Carlos Fernando Alonso | Registered representative | Jan 2010 (17y) | ||
| Carolina Victoria Cosculluela | Registered representative | Jan 2010 (17y) | ||
| Cecilia Fagundes | Registered representative | Jan 2010 (17y) | ||
| Charles Lamela | Registered representative | Jan 2010 (17y) | ||
| Christine Guimaraes | Registered representative | Jan 2010 (17y) | ||
| Connie Hong Cheng | Registered representative | Jan 2010 (17y) | ||
| Claudia S S Munoz | Registered representative | Jan 2010 (17y) | ||
| Danilo B. Lacayo | Registered representative | Jan 2010 (17y) | ||
| Darin Michael Beeghley | Registered representative | Jan 2010 (17y) | ||
| David H Fiestal | Registered representative | Jan 2010 (17y) | ||
| David Martin Dodd | Registered representative | Jan 2010 (17y) | ||
| Debi C Chen | Registered representative | Jan 2010 (17y) | ||
| Diane Lin Hart | Registered representative | Jan 2010 (17y) | ||
| Diego Cipolina | Registered representative | Jan 2010 (17y) | ||
| Dok Sang Chua | Registered representative | Jan 2010 (17y) | ||
| Douglas Earl Kincart | Registered representative | Jan 2010 (17y) | ||
| Eduardo Ordorica | Registered representative | Jan 2010 (17y) | ||
| Edward Alan Mirsky | Registered representative | Jan 2010 (17y) | ||
| Elena Laura Bianchi | Registered representative | Jan 2010 (17y) | ||
| Elizabeth Bernardette Zuniga | Registered representative | Jan 2010 (17y) | ||
| Eric Antonio Garcia Tunon | Registered representative | Jan 2010 (17y) | ||
| Eugenia Amador | Registered representative | Jan 2010 (17y) | ||
| Eugenio Alberto Permuy | Registered representative | Jan 2010 (17y) | ||
| Ezequiel Sporleder | Registered representative | Jan 2010 (17y) | ||
| Federico Jose Arrosa | Registered representative | Jan 2010 (17y) | ||
| Fernando C Van Peborgh | Registered representative | Jan 2010 (17y) | ||
| Francisco Lagos Marmol | Registered representative | Jan 2010 (17y) | ||
| Francisco Larenas | Registered representative | Jan 2010 (17y) | ||
| Gonzalo Castano | Registered representative | Jan 2010 (17y) | ||
| Gustavo Atilio Pigurina | Registered representative | Jan 2010 (17y) | ||
| Gustavo Carlos Civetta | Registered representative | Jan 2010 (17y) | ||
| Hector Javier Torres | Registered representative | Jan 2010 (17y) | ||
| Hector Meneses | Registered representative | Jan 2010 (17y) | ||
| Henry Hernan Malpartida | Registered representative | Jan 2010 (17y) | ||
| Igal Tobias Yacher | Registered representative | Jan 2010 (17y) | ||
| Irma Bedoya | Registered representative | Jan 2010 (17y) | ||
| James Edward Carey | Registered representative | Jan 2010 (17y) | ||
| James Joseph Shea | Registered representative | Jan 2010 (17y) | ||
| Jennifer Setaro | Registered representative | Jan 2010 (17y) | ||
| Jesus Eduardo Kruger | Registered representative | Jan 2010 (17y) | ||
| Jorge Luis Gomez | Registered representative | Jan 2010 (17y) | ||
| Jose D Acebedo | Registered representative | Jan 2010 (17y) | ||
| Jose Reyes Araujo | Registered representative | Jan 2010 (17y) | ||
| Joshua Gaines Heimann | Registered representative | Jan 2010 (17y) | ||
| Juan Carlos Giron Vazquez | Registered representative | Jan 2010 (17y) | ||
| Juliana Victoria | Registered representative | Jan 2010 (17y) | ||
| Kelvin Arturo Pena | Registered representative | Jan 2010 (17y) | ||
| Lena Nuel Adams Winkel | Registered representative | Jan 2010 (17y) | ||
| Leonardo Zraick | Registered representative | Jan 2010 (17y) | ||
| Lisett Didonatoyoung | Registered representative | Jan 2010 (17y) | ||
| Lorenz Lobsiger | Registered representative | Jan 2010 (17y) | ||
| Luis Alberto Robles | Registered representative | Jan 2010 (17y) | ||
| Luis Graham | Registered representative | Jan 2010 (17y) | ||
| Luis Jose Gonzalez | Registered representative | Jan 2010 (17y) | ||
| Luis R Frascolla | Registered representative | Jan 2010 (17y) | ||
| Maite Veronica Blanco | Registered representative | Jan 2010 (17y) | ||
| Manuel Jose Castilla | Registered representative | Jan 2010 (17y) | ||
| Manuel Oldemar Pinto | Registered representative | Jan 2010 (17y) | ||
| Marcelo Aldo Biasutto | Registered representative | Jan 2010 (17y) | ||
| Marcelo Pittaluga Chiarino | Registered representative | Jan 2010 (17y) | ||
| Maria Christina Sousa | Registered representative | Jan 2010 (17y) | ||
| Maribel Gonzalez Castillo | Registered representative | Jan 2010 (17y) | ||
| Mario Antonio Rosas | Registered representative | Jan 2010 (17y) | ||
| Marion Brigitte Bleck | Registered representative | Jan 2010 (17y) | ||
| Martha Alonso Hara | Registered representative | Jan 2010 (17y) | ||
| Martin Blumenthal | Registered representative | Jan 2010 (17y) | ||
| Mauricio Aranguren | Registered representative | Jan 2010 (17y) | ||
| Michael Rabinovich | Registered representative | Jan 2010 (17y) | ||
| Myesha Tess Fils Aime | Registered representative | Jan 2010 (17y) | ||
| Myriam Carolina Bocanegra | Registered representative | Jan 2010 (17y) | ||
| Nicholas Alexander Court | Registered representative | Jan 2010 (17y) | ||
| Nicolas Rodolfo Bergengruen | Registered representative | Jan 2010 (17y) | ||
| Nydia Mirella Vazquez | Registered representative | Jan 2010 (17y) | ||
| Omar Bryant Liu | Registered representative | Jan 2010 (17y) | ||
| Pauline Pui Yuen Chu | Registered representative | Jan 2010 (17y) | ||
| Paulo Sergio Manisck | Registered representative | Jan 2010 (17y) | ||
| Pedro Saiz | Registered representative | Jan 2010 (17y) | ||
| Peter Baechler | Registered representative | Jan 2010 (17y) | ||
| Philippe David Baumann | Registered representative | Jan 2010 (17y) | ||
| Regina C. Tavares | Registered representative | Jan 2010 (17y) | ||
| Reynaldo Castro Jr. | Registered representative | Jan 2010 (17y) | ||
| Ricardo Alberto Gonzalez | Registered representative | Jan 2010 (17y) | ||
| Roger Ojopi | Registered representative | Jan 2010 (17y) | ||
| Ruben Guerrero | Registered representative | Jan 2010 (17y) | ||
| Rui Manuel Tavares | Registered representative | Jan 2010 (17y) | ||
| Steven Xiaoguang Sun | Registered representative | Jan 2010 (17y) | ||
| Sylvia C Sendoda | Registered representative | Jan 2010 (17y) | ||
| Teddy Ottens Seibert | Registered representative | Jan 2010 (17y) | ||
| Teresita Franco | Registered representative | Jan 2010 (17y) | ||
| Thomas Andre Ruiz | Registered representative | Jan 2010 (17y) | ||
| Thomas Earl Atkinson | Registered representative | Jan 2010 (17y) | ||
| Thomas Goessele | Registered representative | Jan 2010 (17y) | ||
| Vanessa Frasisti | Registered representative | Jan 2010 (17y) | ||
| Veronica Eleonora Cassamassino | Registered representative | Jan 2010 (17y) | ||
| Xavier Ortiz Mena | Registered representative | Jan 2010 (17y) | ||
| Rita Marie Pirrelloepperson | Registered representative | Jan 2010 (17y) | ||
| Nicole Kalinosky | Registered representative | Jan 2010 (17y) | ||
| Daniel Jacob De Varona | Registered representative | CFP | Jan 2010 (17y) | |
| Peter Joseph Alminas | Registered representative | CFP | Jan 2010 (17y) | |
| James Evans Bateman Slaven | Registered representative | Jan 2010 (17y) | ||
| Jill A Bobigan | Registered representative | Jan 2010 (17y) | ||
| Matthew R Nikodym | Registered representative | Jan 2010 (17y) | ||
| Ryan Shibles Bagley | Registered representative | Jan 2010 (17y) | ||
| Daniel Bemel | Registered representative | Feb 2010 (16y) | ||
| Jonathan Howard Grabel | Registered representative | Feb 2010 (16y) | ||
| Keith James Koerber | Registered representative | CFA | Feb 2010 (16y) | |
| Mark Alan Rosenberg | Registered representative | Feb 2010 (16y) | ||
| Thomas Ashby Badger | Registered representative | Feb 2010 (16y) | ||
| John Lamar Coleman | Registered representative | Feb 2010 (16y) | ||
| Kevin James Nowakowski | Registered representative | CFP | Mar 2010 (16y) | |
| James F. Foard Jr. | Registered representative | Mar 2010 (16y) | ||
| Brian Patrick Hull | Registered representative | Mar 2010 (16y) | ||
| John William Reagan | Registered representative | Mar 2010 (16y) | ||
| Kimberly C Sampson | Registered representative | Mar 2010 (16y) | ||
| Jose Alberto Cacicedo | Registered representative | Mar 2010 (16y) | ||
| Peter Ivan Beswerchij | Registered representative | Mar 2010 (16y) | ||
| Rodrigo Ramos | Registered representative | Mar 2010 (16y) | ||
| William Lester Einstein | Registered representative | Mar 2010 (16y) | ||
| Robin Patricia Allen | Registered representative | Mar 2010 (16y) | ||
| Jane Susan Ringel | Registered representative | Apr 2010 (16y) | ||
| John Martin Rizzo | Registered representative | Apr 2010 (16y) | ||
| Brian William Drake | Registered representative | Apr 2010 (16y) | ||
| Mary Jo Casselberry | Registered representative | Apr 2010 (16y) | ||
| James F Palumbo | Registered representative | Apr 2010 (16y) | ||
| Denise Peltier Rasicot | Registered representative | Apr 2010 (16y) | ||
| William Russell Booker | Registered representative | Apr 2010 (16y) | ||
| Michael E Ross Jr. | Registered representative | Apr 2010 (16y) | ||
| Elizabeth Ann Fitzwater | Registered representative | Apr 2010 (16y) | ||
| Jeffrey Roberts Dunigan | Registered representative | Apr 2010 (16y) | ||
| Mickey B Portnoy | Registered representative | May 2010 (16y) | ||
| Ryan Gregory Tessmer | Registered representative | May 2010 (16y) | ||
| John Paul Sicklesteel | Registered representative | CFP | May 2010 (16y) | |
| Brian Wade Watts | Registered representative | May 2010 (16y) | ||
| Christopher Wesley Zink | Registered representative | May 2010 (16y) | ||
| Traci Beth Simpson | Registered representative | May 2010 (16y) | ||
| Bryan Charles | Registered representative | May 2010 (16y) | ||
| Daniel B. Smith | Registered representative | May 2010 (16y) | ||
| Rudolf Peter Greiner | Registered representative | May 2010 (16y) | ||
| Simon Mark Thomas | Registered representative | May 2010 (16y) | ||
| Milade Kaik | Registered representative | May 2010 (16y) | ||
| Philip Charles Howlett | Registered representative | May 2010 (16y) | ||
| Steven Robert Tenaglia | Registered representative | May 2010 (16y) | ||
| Timothy Jimmy Mistry | Registered representative | May 2010 (16y) | ||
| Ricardo Barrera Villar | Registered representative | May 2010 (16y) | ||
| Deidra Geraghty | Registered representative | May 2010 (16y) | ||
| Meredith Trautschold | Registered representative | May 2010 (16y) | ||
| Christopher John Neri | Registered representative | May 2010 (16y) | ||
| Kevin Anthony Pacciano | Registered representative | May 2010 (16y) | ||
| Thaddeus Sadler Dulin | Registered representative | May 2010 (16y) | ||
| Ann Katherine Trainor | Registered representative | May 2010 (16y) | ||
| Mitchell Paul Slater | Registered representative | May 2010 (16y) | ||
| John Christopher Marsh | Registered representative | Jun 2010 (16y) | ||
| Megan Christine Grant | Registered representative | Jun 2010 (16y) | ||
| David I Jackson | Registered representative | Jun 2010 (16y) | ||
| Kevin L Greene | Registered representative | Jun 2010 (16y) | ||
| Scott Matthew Butera | Registered representative | Jun 2010 (16y) | ||
| Cheryl Anne Gee | Registered representative | CFP | Jun 2010 (16y) | |
| Clinton Gee | Registered representative | Jun 2010 (16y) | ||
| Colleen Lynne Erickson | Registered representative | Jun 2010 (16y) | ||
| Stefano Mascetti | Registered representative | Jun 2010 (16y) | ||
| Brandon Cavender Stone | Registered representative | Jun 2010 (16y) | ||
| Jeanette Anna Ingeborg Jacobson | Registered representative | Jun 2010 (16y) | ||
| Lucille Ann Denos | Registered representative | Jun 2010 (16y) | ||
| Michael Robert Devivio | Registered representative | Jun 2010 (16y) | ||
| Sinead Marie Faughnan | Registered representative | CFP | Jun 2010 (16y) | |
| Candace A. Cline | Registered representative | CFP | Jun 2010 (16y) | |
| Camille Therese Young | Registered representative | Jun 2010 (16y) | ||
| Stephen P Mcdonald | Registered representative | Jun 2010 (16y) | ||
| Christopher M. Palmieri | Registered representative | Jun 2010 (16y) | ||
| Gina Wiegert | Registered representative | Jun 2010 (16y) | ||
| Jennifer L. Kraus | Registered representative | Jun 2010 (16y) | ||
| John Joseph O'connor | Registered representative | Jun 2010 (16y) | ||
| Cynthia A. Puckett | Registered representative | Jul 2010 (16y) | ||
| Kent Shea Butler | Registered representative | Jul 2010 (16y) | ||
| Curtis B Spiteri | Registered representative | Jul 2010 (16y) | ||
| James Terence Carleton | Registered representative | Jul 2010 (16y) | ||
| Anne Marie Hughey | Registered representative | Jul 2010 (16y) | ||
| Marc J Lundgren | Registered representative | Jul 2010 (16y) | ||
| Nicholas Patrick Schirripa | Registered representative | CFA | Jul 2010 (16y) | |
| Brian P Patrick Lynch | Registered representative | Jul 2010 (16y) | ||
| Colin G.A. Simon | Registered representative | Jul 2010 (16y) | ||
| Ryan Eric Hollaender | Registered representative | Jul 2010 (16y) | ||
| Delia J Espinosa | Registered representative | Jul 2010 (16y) | ||
| Renee Michelle Fourcade | Registered representative | Jul 2010 (16y) | ||
| Sarah Miller Sullivan | Registered representative | Jul 2010 (16y) | ||
| Mark Donald Korona | Registered representative | Jul 2010 (16y) | ||
| Robert Eugene Goss | Registered representative | Jul 2010 (16y) | ||
| Loran R Ansberry | Registered representative | Jul 2010 (16y) | ||
| Stephen M Dohler | Registered representative | Jul 2010 (16y) | ||
| Timothy Young | Registered representative | Jul 2010 (16y) | ||
| Antoinette Doles Wong | Registered representative | Aug 2010 (16y) | ||
| Katelin A. Shield | Registered representative | Aug 2010 (16y) | ||
| Lindsay Kathleen Mais | Registered representative | Aug 2010 (16y) | ||
| Barbara Lynn Wolfe | Registered representative | Aug 2010 (16y) | ||
| Jennifer L Wildman | Registered representative | Aug 2010 (16y) | ||
| Leonardo Borges Oliveira | Registered representative | Aug 2010 (16y) | ||
| Dingyur Chen | Registered representative | Aug 2010 (16y) | ||
| Brian Paul Longley | Registered representative | Aug 2010 (16y) | ||
| Andrea H Anderson | Registered representative | Aug 2010 (16y) | ||
| Frank Joseph Lockwood | Registered representative | Aug 2010 (16y) | ||
| Frederick Knapp Jr. | Registered representative | Aug 2010 (16y) | ||
| Andrea Carleton Landini | Registered representative | Aug 2010 (16y) | ||
| Paul Gilman | Registered representative | Aug 2010 (16y) | ||
| Lyle Casriel | Registered representative | Aug 2010 (16y) | ||
| Patric Mesot | Registered representative | Aug 2010 (16y) | ||
| Stephen Douglas Juter | Registered representative | Aug 2010 (16y) | ||
| Steven Wagner | Registered representative | Aug 2010 (16y) | ||
| Martin Paul Mclaughlin | Registered representative | Aug 2010 (16y) | ||
| David Wayne Weinbender | Registered representative | Aug 2010 (16y) | ||
| Douglas Madison Massey | Registered representative | Aug 2010 (16y) | ||
| Margaret Mary Ring Wiersma | Registered representative | Aug 2010 (16y) | ||
| Amir Pasha | Registered representative | Aug 2010 (16y) | ||
| Anna Gabrielle Ceraso | Registered representative | Sep 2010 (16y) | ||
| Thomas Jenkins | Registered representative | Sep 2010 (16y) | ||
| Craig Alan Brass | Registered representative | Sep 2010 (16y) | ||
| Dana Rae Macaluso | Registered representative | CFP | Sep 2010 (16y) | |
| Derek Rylan Mathews | Registered representative | CFP | Sep 2010 (16y) | |
| Jeffrey Ralph Singer | Registered representative | Sep 2010 (16y) | ||
| Urban Joseph Hubert | Registered representative | CFP | Sep 2010 (16y) | |
| Christopher Feldman | Registered representative | Sep 2010 (16y) | ||
| David B Gasper | Registered representative | Sep 2010 (16y) | ||
| Jill Hedtler | Registered representative | Sep 2010 (16y) | ||
| John Thomas Garvey | Registered representative | Sep 2010 (16y) | ||
| Michele L Dimovski | Registered representative | Sep 2010 (16y) | ||
| Randi Levy | Registered representative | Sep 2010 (16y) | ||
| Robert Brian Gordon Brown | Registered representative | CFA | Sep 2010 (16y) | |
| Graham M. Cox | Registered representative | Sep 2010 (16y) | ||
| John Madden | Registered representative | Sep 2010 (16y) | ||
| Nicholas Raymond Rowan | Registered representative | Sep 2010 (16y) | ||
| Pablo Rivas | Registered representative | Sep 2010 (16y) | ||
| Michael D Salazar | Registered representative | Sep 2010 (16y) | ||
| Marci W Collis | Registered representative | Sep 2010 (16y) | ||
| Brian Douglas Schroeder | Registered representative | Sep 2010 (16y) | ||
| John D. Kelly | Registered representative | Sep 2010 (16y) | ||
| James W. Fogarty | Registered representative | Sep 2010 (16y) | ||
| Carter Damon Crum | Registered representative | Oct 2010 (16y) | ||
| Charles David Lawson | Registered representative | Oct 2010 (16y) | ||
| Douglas Wayne Tenny | Registered representative | Oct 2010 (16y) | ||
| Kirk Lee Curtis | Registered representative | Oct 2010 (16y) | ||
| Robert Steven Weaver | Registered representative | Oct 2010 (16y) | ||
| Daniel Patrick Gleason | Registered representative | Oct 2010 (16y) | ||
| Jeffrey Alan Swett | Registered representative | CFP | Oct 2010 (16y) | |
| Jeffrey Richard Cox | Registered representative | Oct 2010 (16y) | ||
| William Thomas Avery | Registered representative | Oct 2010 (16y) | ||
| Amy L Kerr | Registered representative | Oct 2010 (16y) | ||
| Dan Robert Lindstrom | Registered representative | Oct 2010 (16y) | ||
| Peter Ken Kong | Registered representative | Oct 2010 (16y) | ||
| Cecilia A. A Hinkle Wisniewski | Registered representative | Oct 2010 (16y) | ||
| Joseph Matthew Hubert | Registered representative | Oct 2010 (16y) | ||
| Michael Vincent Toth | Registered representative | Oct 2010 (16y) | ||
| Nicholas Pavle | Registered representative | Oct 2010 (16y) | ||
| Thomas Jeffrey Ware | Registered representative | Oct 2010 (16y) | ||
| Wendy L Vigh | Registered representative | Oct 2010 (16y) | ||
| Brent Barnhart | Registered representative | Oct 2010 (16y) | ||
| Todd Martin Bowman | Registered representative | Oct 2010 (16y) | ||
| Jacqueline Harriet Willens | Registered representative | Oct 2010 (16y) | ||
| Jeffrey Joseph Labruzzy | Registered representative | Oct 2010 (16y) | ||
| John Patrick Petika | Registered representative | Oct 2010 (16y) | ||
| K. Scott Jones | Registered representative | Oct 2010 (16y) | ||
| Karen Thompson | Registered representative | Oct 2010 (16y) | ||
| Robert Charles Ketner | Registered representative | Oct 2010 (16y) | ||
| Mark Lloyd Fulton | Registered representative | Oct 2010 (16y) | ||
| Keyrn Gordon | Registered representative | Oct 2010 (16y) | ||
| Sung Il Hong | Registered representative | Oct 2010 (16y) | ||
| David Earl Creasey | Registered representative | Oct 2010 (16y) | ||
| Gerald W Smith | Registered representative | Oct 2010 (16y) | ||
| Loretta Lang Finck | Registered representative | Oct 2010 (16y) | ||
| Whitney Randolph | Registered representative | Oct 2010 (16y) | ||
| Barry Phillip West | Registered representative | Oct 2010 (16y) | ||
| Kristina Louise Lehman | Registered representative | Oct 2010 (16y) | ||
| Cynthia O. Edwards | Registered representative | Oct 2010 (16y) | ||
| Dominic Michael Nieto | Registered representative | CFP | Oct 2010 (16y) | |
| Jennifer Corry Blandford | Registered representative | Oct 2010 (16y) | ||
| Jasmine Halim Ahmed | Registered representative | Oct 2010 (16y) | ||
| Patricia Belknap Whitney | Registered representative | Oct 2010 (16y) | ||
| Bradley John Simenz | Registered representative | Nov 2010 (16y) | ||
| Dane Christopher Abbott | Registered representative | Nov 2010 (16y) | ||
| Susan L. Tunell | Registered representative | Nov 2010 (16y) | ||
| Anne Marie Spitzer | Registered representative | Nov 2010 (16y) | ||
| Alon Steven Plitt | Registered representative | Nov 2010 (16y) | ||
| Brett Joseph Bergmoser | Registered representative | CFP | Nov 2010 (16y) | |
| David Robert Mietty | Registered representative | Nov 2010 (16y) | ||
| Michael D Oleszkowicz | Registered representative | CFP | Nov 2010 (16y) | |
| Tiffany Rose Snow | Registered representative | Nov 2010 (16y) | ||
| Philip Austin Jordan | Registered representative | Nov 2010 (16y) | ||
| Robert James Salamy | Registered representative | Nov 2010 (16y) | ||
| Patrick Joseph Darcy | Registered representative | Nov 2010 (16y) | ||
| Mark Vernon Jenson | Registered representative | Nov 2010 (16y) | ||
| Steven William Mcmahon | Registered representative | Nov 2010 (16y) | ||
| Jonathan Joseph Bottema | Registered representative | Nov 2010 (16y) | ||
| Sherry Joan Olson Lusardi | Registered representative | Nov 2010 (16y) | ||
| Brian Patrick Gooding | Registered representative | Nov 2010 (16y) | ||
| James Bartley Gibson | Registered representative | CFP | Nov 2010 (16y) | |
| John Sebastian Derosa | Registered representative | Nov 2010 (16y) | ||
| Kyle C Harris | Registered representative | Nov 2010 (16y) | ||
| Michael D. Dolan Henderson | Registered representative | Nov 2010 (16y) | ||
| Nicholas Joseph Barbieri | Registered representative | Nov 2010 (16y) | ||
| William Patrick Murphy | Registered representative | Nov 2010 (16y) | ||
| David Richard Stack | Registered representative | Nov 2010 (16y) | ||
| Amy L Majeske | Registered representative | Nov 2010 (16y) | ||
| Jason Craig Braun | Registered representative | Nov 2010 (16y) | ||
| Michael G. Gregory Bell | Registered representative | CFP Chartered Financial Consultant | Nov 2010 (16y) | |
| Viet Trong Quoc Phan | Registered representative | CFP | Nov 2010 (16y) | |
| David William Deitch | Registered representative | Nov 2010 (16y) | ||
| Tiffany Rozek | Registered representative | Nov 2010 (16y) | ||
| Irina M Vazquez | Registered representative | Nov 2010 (16y) | ||
| Larry D. Thomas | Registered representative | Dec 2010 (16y) | ||
| Michael Ryan Barnes | Registered representative | Dec 2010 (16y) | ||
| Sterling Scott Crowe | Registered representative | Dec 2010 (16y) | ||
| Erica Beth Asada | Registered representative | Dec 2010 (16y) | ||
| David Gregory Bylciw | Registered representative | Dec 2010 (16y) | ||
| Laurie Ann Perry | Registered representative | Dec 2010 (16y) | ||
| Thomas Emil Rosellini | Registered representative | Dec 2010 (16y) | ||
| Steve Mcelroy Herrmann | Registered representative | Dec 2010 (16y) | ||
| Timothy Patrick Kelly | Registered representative | Dec 2010 (16y) | ||
| Christopher Wayne Tolman | Registered representative | Dec 2010 (16y) | ||
| Thomas Joseph Fitzsimons | Registered representative | Dec 2010 (16y) | ||
| Sean Goodlet | Registered representative | Dec 2010 (16y) | ||
| Garrett W. Weston Bates | Registered representative | Dec 2010 (16y) | ||
| John Fitzgerald Crampton | Registered representative | Dec 2010 (16y) | ||
| Benjamin John Furman | Registered representative | Dec 2010 (16y) | ||
| William Charles Neuens | Registered representative | Dec 2010 (16y) | ||
| Jill A Nester | Registered representative | Jan 2011 (16y) | ||
| Megan Berendowski | Registered representative | Jan 2011 (16y) | ||
| Tiffany Collette Walls | Registered representative | Jan 2011 (16y) | ||
| Joseph Galbraith | Registered representative | Jan 2011 (16y) | ||
| Matthew Aaron Kroin | Registered representative | Jan 2011 (16y) | ||
| Michael Paul Winn | Registered representative | Jan 2011 (16y) | ||
| Kathryn L. Halonen | Registered representative | CFP | Jan 2011 (16y) | |
| John W. W Grannis | Registered representative | Jan 2011 (16y) | ||
| Michael T Reinbold | Registered representative | Jan 2011 (16y) | ||
| Fay C Meng | Registered representative | Jan 2011 (16y) | ||
| Hannah B Doherty | Registered representative | Jan 2011 (16y) | ||
| Stacy Marie Chaffee | Registered representative | Jan 2011 (16y) | ||
| Haley Hill | Registered representative | Jan 2011 (16y) | ||
| Peter C Farrington | Registered representative | Jan 2011 (16y) | ||
| Robert Francis Bosco | Registered representative | CFP | Jan 2011 (16y) | |
| James G Fair | Registered representative | Jan 2011 (16y) | ||
| Bradley Howard Bartel | Registered representative | Feb 2011 (15y) | ||
| Brian James Lineberger | Registered representative | Feb 2011 (15y) | ||
| Arthur Henry Fader | Registered representative | Feb 2011 (15y) | ||
| Heather Marie Steggall | Registered representative | Feb 2011 (15y) | ||
| Raul Felipe Celada Arguelles | Registered representative | Feb 2011 (15y) | ||
| Theresa A Schaefer | Registered representative | Feb 2011 (15y) | ||
| Jon Robert Petersen | Registered representative | Feb 2011 (15y) | ||
| Kevin M. O'leary | Registered representative | Feb 2011 (15y) | ||
| James Dee Carlson | Registered representative | Feb 2011 (15y) | ||
| Paul Joseph Vandenheede | Registered representative | Feb 2011 (15y) | ||
| Louise F. Gunderson | Registered representative | Feb 2011 (15y) | ||
| Nancy Lin Chen | Registered representative | Feb 2011 (15y) | ||
| Christopher Harvey Rice | Registered representative | Feb 2011 (15y) | ||
| Daryush Sean Jahanbigloo | Registered representative | Mar 2011 (15y) | ||
| Guillermina Alonso | Registered representative | Mar 2011 (15y) | ||
| Kyle Matthew Blumenstock | Registered representative | CFP | Mar 2011 (15y) | |
| Joel Steven Dickey | Registered representative | Mar 2011 (15y) | ||
| Mary Veronko | Registered representative | Mar 2011 (15y) | ||
| Bradd Lawrence Cuppels | Registered representative | Mar 2011 (15y) | ||
| Gianna Darlene Drake Kerrison | Registered representative | Mar 2011 (15y) | ||
| Joseph Michael Vogler | Registered representative | Mar 2011 (15y) | ||
| Christen Plotkin | Registered representative | Mar 2011 (15y) | ||
| Diane Nomura Endo | Registered representative | Mar 2011 (15y) | ||
| Paul Adrian Kromhout | Registered representative | CFP | Mar 2011 (15y) | |
| Robert L Vaughan | Registered representative | Mar 2011 (15y) | ||
| John Lawrence Sullivan | Registered representative | Mar 2011 (15y) | ||
| Kathleen L. Louise Clark | Registered representative | Mar 2011 (15y) | ||
| Le Thuy Cao Nguyen | Registered representative | CFP | Mar 2011 (15y) | |
| David Sheinheit | Registered representative | Apr 2011 (15y) | ||
| Jon Patrick Ramey | Registered representative | Apr 2011 (15y) | ||
| Jacqueline Mary Flanagan | Registered representative | Apr 2011 (15y) | ||
| Matthew Young Parish | Registered representative | Apr 2011 (15y) | ||
| Robert Winthrop Mercer | Registered representative | Apr 2011 (15y) | ||
| Diane Scarpa Levin | Registered representative | Apr 2011 (15y) | ||
| Harris Ian Ringelheim | Registered representative | CFP | Apr 2011 (15y) | |
| Megan Zhang | Registered representative | Apr 2011 (15y) | ||
| Francis X Xavier O'connor | Registered representative | Apr 2011 (15y) | ||
| Henry Iii,Henry Wagner Iii | Registered representative | Apr 2011 (15y) | ||
| Bradford Carter Benter | Registered representative | Apr 2011 (15y) | ||
| Kenneth Abady | Registered representative | Apr 2011 (15y) | ||
| Steven M Dematteo | Registered representative | Apr 2011 (15y) | ||
| Aaron Arthur Kohn | Registered representative | Apr 2011 (15y) | ||
| Ali Panahpour | Registered representative | Apr 2011 (15y) | ||
| Matthew Alan La Marche | Registered representative | Apr 2011 (15y) | ||
| Nathan E Harrell | Registered representative | Apr 2011 (15y) | ||
| Todd Alan Schroeder | Registered representative | Apr 2011 (15y) | ||
| Zachary M. Silverman | Registered representative | Apr 2011 (15y) | ||
| Tanner Griffin Peelen | Registered representative | Apr 2011 (15y) | ||
| Christopher George | Registered representative | Apr 2011 (15y) | ||
| Dawn Rose Whitacre | Registered representative | Apr 2011 (15y) | ||
| Kathryn E Mogg | Registered representative | Apr 2011 (15y) | ||
| Mitchell Glenn Tuell | Registered representative | Apr 2011 (15y) | ||
| William Aderholdt | Registered representative | Apr 2011 (15y) | ||
| Daniel J Smith | Registered representative | May 2011 (15y) | ||
| Pablo Antonio De La Rosa | Registered representative | May 2011 (15y) | ||
| Elizabeth C. Johnson | Registered representative | May 2011 (15y) | ||
| Andrew Michael Kauth | Registered representative | May 2011 (15y) | ||
| Jamie A Baum | Registered representative | May 2011 (15y) | ||
| William Beatty | Registered representative | May 2011 (15y) | ||
| Daniel Gerardo Salazar | Registered representative | May 2011 (15y) | ||
| Henry Charles Senger | Registered representative | May 2011 (15y) | ||
| Kate L Cassala | Registered representative | May 2011 (15y) | ||
| Alex Kimball Case | Registered representative | May 2011 (15y) | ||
| Richard L Case Jr. | Registered representative | May 2011 (15y) | ||
| Christopher Dipietro | Registered representative | May 2011 (15y) | ||
| David Ray Scharff | Registered representative | May 2011 (15y) | ||
| Gail E. Gordon | Registered representative | May 2011 (15y) | ||
| Nelson Vieira Barreira Filho | Registered representative | May 2011 (15y) | ||
| Debra Denbin Spiesman | Registered representative | May 2011 (15y) | ||
| Kevin Norman Hansen | Registered representative | May 2011 (15y) | ||
| Colin David Kowalski | Registered representative | May 2011 (15y) | ||
| Bonnie Gale Copeland | Registered representative | May 2011 (15y) | ||
| Laurence David Bricmont | Registered representative | May 2011 (15y) | ||
| Richard Cary Freedman | Registered representative | May 2011 (15y) | ||
| Shane Ellis Unsworth | Registered representative | May 2011 (15y) | ||
| Aishka O O Jimenez Lugo | Registered representative | Jun 2011 (15y) | ||
| Kayvon Ali Sarmadi | Registered representative | Jun 2011 (15y) | ||
| Anthony William Kos | Registered representative | Jun 2011 (15y) | ||
| Mark A Forman | Registered representative | Jun 2011 (15y) | ||
| Warren Gerald Child | Registered representative | Jun 2011 (15y) | ||
| William Ralph Murman | Registered representative | Jun 2011 (15y) | ||
| Fay Fruin Jameson | Registered representative | Jun 2011 (15y) | ||
| John William Pavlinec | Registered representative | Jun 2011 (15y) | ||
| Lili Marlene Trudeau | Registered representative | Jun 2011 (15y) | ||
| Mariana Cardenas | Registered representative | Jun 2011 (15y) | ||
| Monda Degan Hanna | Registered representative | Jun 2011 (15y) | ||
| Elzabeth Gray Lemon | Registered representative | Jun 2011 (15y) | ||
| Timothy Wayne Edborg | Registered representative | Jun 2011 (15y) | ||
| Garrick P Montenegro | Registered representative | Jun 2011 (15y) | ||
| Lisa Mary Martin | Registered representative | CFP | Jun 2011 (15y) | |
| Lester Allen Brunker | Registered representative | CFP | Jun 2011 (15y) | |
| Matthew M Meyer | Registered representative | Jun 2011 (15y) | ||
| David James Doughty | Registered representative | Jul 2011 (15y) | ||
| Marlaina Ann Jurco | Registered representative | Jul 2011 (15y) | ||
| Christine W Taylor | Registered representative | Jul 2011 (15y) | ||
| Alan Paul Wojtowicz | Registered representative | Jul 2011 (15y) | ||
| Kevin Kelly | Registered representative | Jul 2011 (15y) | ||
| Michael J Dastice | Registered representative | Jul 2011 (15y) | ||
| Rita E Boudreau | Registered representative | Jul 2011 (15y) | ||
| John P Paul Rocco | Registered representative | Jul 2011 (15y) | ||
| Jordan Edmundson | Registered representative | Jul 2011 (15y) | ||
| William D. Daniel Mills | Registered representative | Jul 2011 (15y) | ||
| Melanie Eubanks | Registered representative | Jul 2011 (15y) | ||
| Sherry E Verburgt | Registered representative | Jul 2011 (15y) | ||
| Andrew Clifford Williamson | Registered representative | Jul 2011 (15y) | ||
| Keith H Tran | Registered representative | Jul 2011 (15y) | ||
| Todd C Kauffmann | Registered representative | Jul 2011 (15y) | ||
| Mark Axelowitz | Registered representative | Jul 2011 (15y) | ||
| Jaspreet Singh Puri | Registered representative | Jul 2011 (15y) | ||
| Margaret Mary Lech Loubet | Registered representative | Jul 2011 (15y) | ||
| Matthew John Frederick | Registered representative | Jul 2011 (15y) | ||
| Peter J Joseph Ierardi | Registered representative | Jul 2011 (15y) | ||
| Alan S Tores | Registered representative | CFP | Jul 2011 (15y) | |
| Robert Joseph Lenihan | Registered representative | Jul 2011 (15y) | ||
| Michael Joseph Melnyk | Registered representative | Aug 2011 (15y) | ||
| Mitchell Alan Bellak | Registered representative | Aug 2011 (15y) | ||
| Lloyd Victor Seested | Registered representative | Aug 2011 (15y) | ||
| C Brooks Woodruff | Registered representative | Aug 2011 (15y) | ||
| Karen Iris Corey | Registered representative | Aug 2011 (15y) | ||
| Randolph Alan Byrd | Registered representative | Aug 2011 (15y) | ||
| Edward John Pustelak | Registered representative | Aug 2011 (15y) | ||
| Megan W. Kondos | Registered representative | Aug 2011 (15y) | ||
| Aaron Rottenstein | Registered representative | Aug 2011 (15y) | ||
| Susan Lippman Halpern | Registered representative | Aug 2011 (15y) | ||
| James Brian Cain | Registered representative | Aug 2011 (15y) | ||
| Charles White Litton | Registered representative | Aug 2011 (15y) | ||
| David Bernard Wolke | Registered representative | Aug 2011 (15y) | ||
| Richard Allan Nelson | Registered representative | Aug 2011 (15y) | ||
| John E Dolce | Registered representative | Aug 2011 (15y) | ||
| Matthew Phillip Huerta | Registered representative | Aug 2011 (15y) | ||
| Deborah G Dilloway | Registered representative | Aug 2011 (15y) | ||
| Heather Leigh Brittain | Registered representative | Aug 2011 (15y) | ||
| Makram N Talia | Registered representative | Aug 2011 (15y) | ||
| Stephanie Kelly | Registered representative | Aug 2011 (15y) | ||
| Laura Mariana Jacobs | Registered representative | CFP | Aug 2011 (15y) | |
| Nicholas Francia | Registered representative | Sep 2011 (15y) | ||
| Peter D Brown | Registered representative | Sep 2011 (15y) | ||
| Scott Leggett Carter | Registered representative | Sep 2011 (15y) | ||
| Bonnie Michelle Gibbs | Registered representative | Sep 2011 (15y) | ||
| Tristan Thomas Cooper | Registered representative | Sep 2011 (15y) | ||
| Jonathan M Mayo Mitchell | Registered representative | Sep 2011 (15y) | ||
| Nicholas George Abdy | Registered representative | Sep 2011 (15y) | ||
| David Beringer Mcmurtrie | Registered representative | Sep 2011 (15y) | ||
| Kurt Bronson Hoffman | Registered representative | Sep 2011 (15y) | ||
| Shelly Lynn Lynn Larracey | Registered representative | Sep 2011 (15y) | ||
| Rebecca Maduska Fitschen | Registered representative | Sep 2011 (15y) | ||
| Alexis W Blanks | Registered representative | Sep 2011 (15y) | ||
| Diane Grace Kyle | Registered representative | Sep 2011 (15y) | ||
| Charles Warren Coughlin | Registered representative | Sep 2011 (15y) | ||
| Robbyn Geoffrey Gayer | Registered representative | Sep 2011 (15y) | ||
| Nicole Felix | Registered representative | Sep 2011 (15y) | ||
| Antonio L Oliveira | Registered representative | Sep 2011 (15y) | ||
| Milena C Olvera Vanvoorhies | Registered representative | Sep 2011 (15y) | ||
| John Christopher Strotman | Registered representative | Sep 2011 (15y) | ||
| Dennis Yim | Registered representative | Oct 2011 (15y) | ||
| Paul K Kenneth Ramus | Registered representative | Oct 2011 (15y) | ||
| Stephen Daniel Riebe | Registered representative | Chartered Financial Consultant | Oct 2011 (15y) | |
| Lisette Hernandez | Registered representative | Oct 2011 (15y) | ||
| Adam Fischer | Registered representative | Oct 2011 (15y) | ||
| James George Talbot | Registered representative | Oct 2011 (15y) | ||
| Audrey Lynn Lamb | Registered representative | Oct 2011 (15y) | ||
| Michael Scott Frantz | Registered representative | Oct 2011 (15y) | ||
| Andrew Laurance Megee | Registered representative | Oct 2011 (15y) | ||
| Jeaninne Michele Singleton | Registered representative | Oct 2011 (15y) | ||
| Jeffrey Merrill Spencer | Registered representative | Oct 2011 (15y) | ||
| Lynda Anne Rettig | Registered representative | Oct 2011 (15y) | ||
| Teresa Lynn Treanor | Registered representative | Oct 2011 (15y) | ||
| John Edward Lansing | Registered representative | Oct 2011 (15y) | ||
| John Joseph Obrien | Registered representative | Oct 2011 (15y) | ||
| Susan Jane Thomas Hutcheon | Registered representative | Oct 2011 (15y) | ||
| Christopher Roland Morency | Registered representative | Nov 2011 (15y) | ||
| Robert D. Chleborad | Registered representative | CFA | Nov 2011 (15y) | |
| Larry Todd Hill | Registered representative | Nov 2011 (15y) | ||
| Ajay J. Desai | Registered representative | Nov 2011 (15y) | ||
| Lori Ann Zaksewski | Registered representative | Nov 2011 (15y) | ||
| Randy D Bruns | Registered representative | Nov 2011 (15y) | ||
| Ruben Dario Torres | Registered representative | Nov 2011 (15y) | ||
| Robert Edward Deforest | Registered representative | Nov 2011 (15y) | ||
| Bret Lankford Paterson | Registered representative | Nov 2011 (15y) | ||
| Scott Richard Ayres | Registered representative | Nov 2011 (15y) | ||
| Mark Aldo Desalvo | Registered representative | Nov 2011 (15y) | ||
| Everett Weinberger | Registered representative | Nov 2011 (15y) | ||
| Sharon Leigh Alleman | Registered representative | CFP | Nov 2011 (15y) | |
| Charles H Dullea | Registered representative | Nov 2011 (15y) | ||
| Jaime Aracely Lowry | Registered representative | Nov 2011 (15y) | ||
| Chad David Cohen | Registered representative | Nov 2011 (15y) | ||
| James Broyd | Registered representative | Nov 2011 (15y) | ||
| Bradley Joseph Ross | Registered representative | Nov 2011 (15y) | ||
| Hunter Numa Charbonnet | Registered representative | Nov 2011 (15y) | ||
| Ulrich Frowein | Registered representative | Nov 2011 (15y) | ||
| Claudine Pinho | Registered representative | Dec 2011 (15y) | ||
| Shawn Alan Shafer | Registered representative | Dec 2011 (15y) | ||
| Robin Lynn Sabat | Registered representative | Dec 2011 (15y) | ||
| Andrew Jared Perlstein | Registered representative | Dec 2011 (15y) | ||
| Christopher Austin Kroberger | Registered representative | Dec 2011 (15y) | ||
| Ingrid Janice Short | Registered representative | Dec 2011 (15y) | ||
| John Joseph Schmitt | Registered representative | Dec 2011 (15y) | ||
| Marc Edmond Haggar | Registered representative | Dec 2011 (15y) | ||
| Maureen Mendoza | Registered representative | Dec 2011 (15y) | ||
| Andrea Zuluaga | Registered representative | Dec 2011 (15y) | ||
| David Barry Harris | Registered representative | Dec 2011 (15y) | ||
| Max Thomson Sabert | Registered representative | Dec 2011 (15y) | ||
| Eric Ayarzagoitia Trevino | Registered representative | Dec 2011 (15y) | ||
| Ross Garret Marple | Registered representative | Dec 2011 (15y) | ||
| Susan L L Mc Bride | Registered representative | Dec 2011 (15y) | ||
| Joel Sebastian Post | Registered representative | Dec 2011 (15y) | ||
| Maureen E Evans | Registered representative | Dec 2011 (15y) | ||
| Michael Scott Sparago | Registered representative | Dec 2011 (15y) | ||
| Scott Gregory Jower | Registered representative | Dec 2011 (15y) | ||
| Bethany L Curtiss Phyle | Registered representative | Dec 2011 (15y) | ||
| Edward Anthony Zdanowicz | Registered representative | Dec 2011 (15y) | ||
| John J. Meldrum | Registered representative | Dec 2011 (15y) | ||
| Lisa A Holland | Registered representative | Dec 2011 (15y) | ||
| Patrick Michael Lizza | Registered representative | Dec 2011 (15y) | ||
| Alejandro Damian Plevak | Registered representative | Dec 2011 (15y) | ||
| Carolyn Marie Nelson | Registered representative | Jan 2012 (15y) | ||
| Jerry Pascucci | Registered representative | Jan 2012 (15y) | ||
| Kimberly Kathleen Penzone | Registered representative | Jan 2012 (15y) | ||
| Patricia Elaine Miller | Registered representative | Jan 2012 (15y) | ||
| Christopher Anthony Gill | Registered representative | Jan 2012 (15y) | ||
| Douglas Steven Graham | Registered representative | Jan 2012 (15y) | ||
| Melissa Fraine Spohn | Registered representative | Jan 2012 (15y) | ||
| Aura Smaranda Marinescu | Registered representative | Jan 2012 (15y) | ||
| Isaac D Douek | Registered representative | Jan 2012 (15y) | ||
| Kelli Marie Puhl | Registered representative | Jan 2012 (15y) | ||
| Scott Allan Hilpert | Registered representative | Jan 2012 (15y) | ||
| Robert John Lehnhardt | Registered representative | CFP | Jan 2012 (15y) | |
| Stephen Collins Owen | Registered representative | Jan 2012 (15y) | ||
| Annmarie Becci | Registered representative | Jan 2012 (15y) | ||
| Christopher H Howell Ohmstede | Registered representative | Jan 2012 (15y) | ||
| Asad Victor Bahbah | Registered representative | Jan 2012 (15y) | ||
| Maria M. Farhat Tanzola | Registered representative | Jan 2012 (15y) | ||
| Matthew Robert Regan | Registered representative | Jan 2012 (15y) | ||
| Megan Ann Macgowan | Registered representative | CFP | Jan 2012 (15y) | |
| Belinda Briscoe Laws | Registered representative | Jan 2012 (15y) | ||
| Laurie Elizabeth Buckland | Registered representative | Jan 2012 (15y) | ||
| Scott Michael Curole | Registered representative | CFP | Jan 2012 (15y) | |
| Jacque Paul Kuchta | Registered representative | Jan 2012 (15y) | ||
| Lindsey Norris Polhemus | Registered representative | Jan 2012 (15y) | ||
| Anthony Michael Rundella | Registered representative | Jan 2012 (15y) | ||
| Joseph P Lombardo | Registered representative | Jan 2012 (15y) | ||
| Janice Johnson Sanderson | Registered representative | Jan 2012 (15y) | ||
| Jon Ashley Stephenson | Registered representative | Jan 2012 (15y) | ||
| Kenneth Glen St. Pierre | Registered representative | Jan 2012 (15y) | ||
| Spencer J Pearson | Registered representative | Jan 2012 (15y) | ||
| Laura Lei Godfrey | Registered representative | Jan 2012 (15y) | ||
| R. Stephen Trudeau | Registered representative | Feb 2012 (15y) | ||
| Mellessa L Gardener Davila | Registered representative | Feb 2012 (14y) | ||
| Katie Mazzocco | Registered representative | Feb 2012 (14y) | ||
| Scott Allen Wilson | Registered representative | Feb 2012 (14y) | ||
| Alexander Hurst | Registered representative | Feb 2012 (14y) | ||
| Arthur Randall Iii | Registered representative | Feb 2012 (14y) | ||
| Gregory Myron Stevens | Registered representative | Feb 2012 (14y) | ||
| Tyler T Matthews | Registered representative | Feb 2012 (14y) | ||
| Michael J Joseph Lappin | Registered representative | Feb 2012 (14y) | ||
| Ashraf Elghandour | Registered representative | Feb 2012 (14y) | ||
| Deborah Miller Swenson | Registered representative | Feb 2012 (14y) | ||
| Frank Brawley | Registered representative | Feb 2012 (14y) | ||
| Harry Williams Buzzerd | Registered representative | Feb 2012 (14y) | ||
| Fred Vincent Mangano | Registered representative | Feb 2012 (14y) | ||
| Leo Khorolinsky | Registered representative | Feb 2012 (14y) | ||
| Paul B Stepankovskiy | Registered representative | Feb 2012 (14y) | ||
| Ronald Wayne Zeitz | Registered representative | Feb 2012 (14y) | ||
| Christopher William Freeman | Registered representative | Feb 2012 (14y) | ||
| Earl T Bischoff | Registered representative | Feb 2012 (14y) | ||
| David Howard Chodosch | Registered representative | Mar 2012 (14y) | ||
| James Bradford Cross | Registered representative | Mar 2012 (14y) | ||
| Gerard Bandini | Registered representative | Mar 2012 (14y) | ||
| Michael H Howard Cooper | Registered representative | Mar 2012 (14y) | ||
| Mark Christopher Thompson | Registered representative | Mar 2012 (14y) | ||
| Brian Robert Liden | Registered representative | Mar 2012 (14y) | ||
| Deborah Whiting | Registered representative | Mar 2012 (14y) | ||
| Mary Jacqueline Schuler | Registered representative | Mar 2012 (14y) | ||
| Guadalupe Abril | Registered representative | Mar 2012 (14y) | ||
| Joel William Mallery | Registered representative | Mar 2012 (14y) | ||
| Christine Marie Dugas | Registered representative | Mar 2012 (14y) | ||
| Patricia Delgado | Registered representative | Mar 2012 (14y) | ||
| Rocco Joseph Pietropaolo | Registered representative | Mar 2012 (14y) | ||
| Brandon Gregory Pearson | Registered representative | Mar 2012 (14y) | ||
| Aaron Christian Ellingsen | Registered representative | Mar 2012 (14y) | ||
| Carol Anne Ernst | Registered representative | Mar 2012 (14y) | ||
| Robert Henry Anning | Registered representative | Mar 2012 (14y) | ||
| Diwani Biglang Awa | Registered representative | Mar 2012 (14y) | ||
| Rose Mary Cosio Vazquez | Registered representative | Mar 2012 (14y) | ||
| Timothy T Thatcher | Registered representative | Mar 2012 (14y) | ||
| Giovanni M Ruggiero | Registered representative | Mar 2012 (14y) | ||
| James Edgar Iseman | Registered representative | Mar 2012 (14y) | ||
| John David Deming | Registered representative | Mar 2012 (14y) | ||
| William J. Goldberg | Registered representative | CFP | Mar 2012 (14y) | |
| Thomas John Cavanaugh | Registered representative | Mar 2012 (14y) | ||
| Neelam Seth | Registered representative | Mar 2012 (14y) | ||
| Sterling Matthew Zerbe | Registered representative | Mar 2012 (14y) | ||
| Timothy Allan Walsh | Registered representative | Mar 2012 (14y) | ||
| Anthony White Schweizer | Registered representative | Mar 2012 (14y) | ||
| Darin W Amundson | Registered representative | Mar 2012 (14y) | ||
| Frank Paul Panayotou | Registered representative | Mar 2012 (14y) | ||
| Jeffrey Sarver Ritch | Registered representative | Mar 2012 (14y) | ||
| John F Sofranko | Registered representative | Mar 2012 (14y) | ||
| Keith F Mueller | Registered representative | Mar 2012 (14y) | ||
| Patrick Christopher Taylor | Registered representative | Mar 2012 (14y) | ||
| Peter W. Rosenthal | Registered representative | Mar 2012 (14y) | ||
| Jacques Mejer | Registered representative | Mar 2012 (14y) | ||
| Gary James Hansen | Registered representative | Mar 2012 (14y) | ||
| James J Suey | Registered representative | Mar 2012 (14y) | ||
| Andrew Gerard Nygren | Registered representative | Mar 2012 (14y) | ||
| Christine Lee Abbott | Registered representative | CFP | Mar 2012 (14y) | |
| Henry Adam Ludwicki | Registered representative | Mar 2012 (14y) | ||
| Jason E Latos | Registered representative | Mar 2012 (14y) | ||
| Melinda Joyce Abood | Registered representative | Mar 2012 (14y) | ||
| Ryan Brett Lederman | Registered representative | Mar 2012 (14y) | ||
| Tracy A Dellomo | Registered representative | Mar 2012 (14y) | ||
| William John Gilcher | Registered representative | Mar 2012 (14y) | ||
| Peter Quinn Flood | Registered representative | Mar 2012 (14y) | ||
| Mitchell James Ross | Registered representative | Apr 2012 (14y) | ||
| Salvatore F Sofia | Registered representative | Apr 2012 (14y) | ||
| Ivy Edmunds | Registered representative | Apr 2012 (14y) | ||
| Jason B Connor | Registered representative | Apr 2012 (14y) | ||
| Angel Valle Rangel | Registered representative | Apr 2012 (14y) | ||
| Daniel Stern | Registered representative | Apr 2012 (14y) | ||
| Jacqueline Alvarez Kobinski | Registered representative | Apr 2012 (14y) | ||
| Heather Lynnea Ringuet | Registered representative | Apr 2012 (14y) | ||
| Judy A. Fredrickson | Registered representative | Apr 2012 (14y) | ||
| Robert Sterling Metcalf | Registered representative | Apr 2012 (14y) | ||
| Robert Francis Angeline | Registered representative | Apr 2012 (14y) | ||
| Alexander Christian Boswell | Registered representative | Apr 2012 (14y) | ||
| Scott Michael Dali | Registered representative | Apr 2012 (14y) | ||
| Vahik Rostamloo | Registered representative | Apr 2012 (14y) | ||
| Jennifer L. Benjamin | Registered representative | Apr 2012 (14y) | ||
| Rachelle Ann Nozero | Registered representative | Apr 2012 (14y) | ||
| Benjamin Dukes | Registered representative | Apr 2012 (14y) | ||
| Lori Coyne Mcdaniel | Registered representative | Apr 2012 (14y) | ||
| Maria Noelle Hawkins | Registered representative | Apr 2012 (14y) | ||
| Timothy Verno Turpin | Registered representative | Apr 2012 (14y) | ||
| Jason J Kubica | Registered representative | Apr 2012 (14y) | ||
| Benjamin Joseph Segal | Registered representative | May 2012 (14y) | ||
| Susan E. Marchese | Registered representative | May 2012 (14y) | ||
| William Gordon Huseth | Registered representative | May 2012 (14y) | ||
| Richard Paul Williams | Registered representative | May 2012 (14y) | ||
| Jenny A Pamogas Canaya | Registered representative | May 2012 (14y) | ||
| Rachelle M Beer | Registered representative | May 2012 (14y) | ||
| Christopher M. Criswell | Registered representative | May 2012 (14y) | ||
| Daniel J Meehan | Registered representative | May 2012 (14y) | ||
| Michael C. Charles Fidler | Registered representative | May 2012 (14y) | ||
| Richard L. Louis Hogan | Registered representative | May 2012 (14y) | ||
| Brett Michael Elam | Registered representative | May 2012 (14y) | ||
| Paul David Sapiro | Registered representative | May 2012 (14y) | ||
| Lee Ann Quenault | Registered representative | May 2012 (14y) | ||
| Denise I Kowalewski | Registered representative | May 2012 (14y) | ||
| Kevin M Knisley | Registered representative | May 2012 (14y) | ||
| Mark Pomo | Registered representative | May 2012 (14y) | ||
| Maura C Poiesz | Registered representative | May 2012 (14y) | ||
| Gregory Victor Olson | Registered representative | Jun 2012 (14y) | ||
| Joseph C. Baer | Registered representative | Jun 2012 (14y) | ||
| Laura Fetterman | Registered representative | Jun 2012 (14y) | ||
| Laurelle Marie Daniels | Registered representative | Jun 2012 (14y) | ||
| Brendan Farley Carroll | Registered representative | Jun 2012 (14y) | ||
| Mark Stephen Stuckless | Registered representative | Jun 2012 (14y) | ||
| Jeremy Modesto Lew | Registered representative | Jun 2012 (14y) | ||
| Ying Zhang | Registered representative | Jun 2012 (14y) | ||
| Darren Xavier Desmond | Registered representative | Jun 2012 (14y) | ||
| Karen Schuman Zeis | Registered representative | Jun 2012 (14y) | ||
| John George Madson | Registered representative | Jun 2012 (14y) | ||
| Sharon Murdock | Registered representative | Jun 2012 (14y) | ||
| Melinda Bernice Frink Crimmins | Registered representative | Jun 2012 (14y) | ||
| Vicki Lynn Thomas | Registered representative | Jun 2012 (14y) | ||
| Mark Jeffrey Specker | Registered representative | Jun 2012 (14y) | ||
| Jessie Leigh Deck | Registered representative | Jul 2012 (14y) | ||
| Dario Aguilar | Registered representative | CFP | Jul 2012 (14y) | |
| David Michael Watts | Registered representative | Jul 2012 (14y) | ||
| Nicholas Timothy Salisbury | Registered representative | Jul 2012 (14y) | ||
| Racquel B. Brown | Registered representative | Jul 2012 (14y) | ||
| Andrew M Strong | Registered representative | Jul 2012 (14y) | ||
| Ashley E. E Lynch | Registered representative | Jul 2012 (14y) | ||
| Jonathan H Strong | Registered representative | Jul 2012 (14y) | ||
| James E. Abernethy | Registered representative | Jul 2012 (14y) | ||
| Greg Alan Thogersen | Registered representative | Jul 2012 (14y) | ||
| Gregory J Jastrzemski | Registered representative | Jul 2012 (14y) | ||
| Sean Paul Daley | Registered representative | Jul 2012 (14y) | ||
| Portia Latoya Clark | Registered representative | Jul 2012 (14y) | ||
| William Blaine Kurtz | Registered representative | Jul 2012 (14y) | ||
| Angela Beverly Phillips | Registered representative | Jul 2012 (14y) | ||
| Jon Vigi | Registered representative | Jul 2012 (14y) | ||
| Everly Champion | Registered representative | Jul 2012 (14y) | ||
| Linda Suzanne Paul | Registered representative | Jul 2012 (14y) | ||
| M Collier Irvin | Registered representative | Jul 2012 (14y) | ||
| Scott Elliott Singor | Registered representative | CFA | Jul 2012 (14y) | |
| Terrie Lynn Strawska | Registered representative | Jul 2012 (14y) | ||
| Whitney Lockwood | Registered representative | Jul 2012 (14y) | ||
| Melissa Kay Ringwall | Registered representative | Jul 2012 (14y) | ||
| Christopher Forsberg | Registered representative | Jul 2012 (14y) | ||
| Glen William Ringwall | Registered representative | Jul 2012 (14y) | ||
| Michael John Smalyga | Registered representative | Aug 2012 (14y) | ||
| Kellie R. Raye Sheryak | Registered representative | Aug 2012 (14y) | ||
| David Walter Demarest | Registered representative | Aug 2012 (14y) | ||
| Michael Verle Barnd | Registered representative | Aug 2012 (14y) | ||
| Jia Jia Zhu | Registered representative | Aug 2012 (14y) | ||
| James Harold Mahoney | Registered representative | Aug 2012 (14y) | ||
| Mason G Sager | Registered representative | Aug 2012 (14y) | ||
| Joseph Donald Covey | Registered representative | Aug 2012 (14y) | ||
| Craig Stephen Dowalo | Registered representative | Aug 2012 (14y) | ||
| Susan Daly | Registered representative | Aug 2012 (14y) | ||
| David Marc Friedman | Registered representative | Aug 2012 (14y) | ||
| Joel Alexander Ehrhardt | Registered representative | Aug 2012 (14y) | ||
| Kristen C Sprenger | Registered representative | Aug 2012 (14y) | ||
| Peter Matthew Strope | Registered representative | CFP | Aug 2012 (14y) | |
| William Brady Hooper | Registered representative | Aug 2012 (14y) | ||
| Jennifer E Susco | Registered representative | Aug 2012 (14y) | ||
| Michael John Pence | Registered representative | Aug 2012 (14y) | ||
| Nicole K V Lyons | Registered representative | Aug 2012 (14y) | ||
| James D. Travis | Registered representative | CFP | Aug 2012 (14y) | |
| Igor Harlap | Registered representative | Aug 2012 (14y) | ||
| Jane Elizabeth Morgan | Registered representative | Aug 2012 (14y) | ||
| Jane Hynes Robinson | Registered representative | Aug 2012 (14y) | ||
| Neil Alan Newman | Registered representative | Aug 2012 (14y) | ||
| Richard D. David Rogers | Registered representative | Aug 2012 (14y) | ||
| William Francis Mclaughlin Jr. | Registered representative | Aug 2012 (14y) | ||
| Andrew James Hanson | Registered representative | Aug 2012 (14y) | ||
| Daniel Francis Griffin | Registered representative | Aug 2012 (14y) | ||
| Raymond Louis Nepa | Registered representative | Aug 2012 (14y) | ||
| Stephen R. Bradley | Registered representative | Aug 2012 (14y) | ||
| Jennifer Marjorie Mcpartlin | Registered representative | Sep 2012 (14y) | ||
| Adam C. Galaburda | Registered representative | Sep 2012 (14y) | ||
| Brian A. Catanella | Registered representative | Sep 2012 (14y) | ||
| Marchelle Yvette Alexander | Registered representative | Sep 2012 (14y) | ||
| Margaret Ann Finney | Registered representative | Sep 2012 (14y) | ||
| Staci Q Black | Registered representative | Sep 2012 (14y) | ||
| Stephanie N. Cohan | Registered representative | Sep 2012 (14y) | ||
| Kenneth George Catanella | Registered representative | Sep 2012 (14y) | ||
| Allison Wisniewski | Registered representative | Sep 2012 (14y) | ||
| John Weilnau | Registered representative | Sep 2012 (14y) | ||
| Randall Todd Petersen | Registered representative | Sep 2012 (14y) | ||
| Tara Brooks | Registered representative | Sep 2012 (14y) | ||
| Ellen E. Elizabeth Rankin | Registered representative | Sep 2012 (14y) | ||
| Taylor Michael Thompson | Registered representative | Sep 2012 (14y) | ||
| Patricia Ann Johnson | Registered representative | Sep 2012 (14y) | ||
| Pj Pearlstone | Registered representative | Sep 2012 (14y) | ||
| Christopher Michael Greene | Registered representative | Sep 2012 (14y) | ||
| Heather Renee Voss | Registered representative | Sep 2012 (14y) | ||
| Patricia Holmes | Registered representative | Sep 2012 (14y) | ||
| Suzanne M. Marjorie Sloan | Registered representative | Sep 2012 (14y) | ||
| Tina Charlan De Gante | Registered representative | Sep 2012 (14y) | ||
| Christopher J Damante | Registered representative | CFP Chartered Financial Consultant | Sep 2012 (14y) | |
| Kevin Neil Haynes | Registered representative | Sep 2012 (14y) | ||
| Brian Michael Murphy | Registered representative | Sep 2012 (14y) | ||
| Elise W Wilson | Registered representative | CFP | Sep 2012 (14y) | |
| Rajas Desai | Registered representative | Sep 2012 (14y) | ||
| Tami Ellen Schlossberg | Registered representative | Sep 2012 (14y) | ||
| Todd Henry Conklin | Registered representative | Sep 2012 (14y) | ||
| Benjamin Aaron Nussbaum | Registered representative | Oct 2012 (14y) | ||
| Bhadresh Shah | Registered representative | Oct 2012 (14y) | ||
| Karin R. Mikula | Registered representative | Oct 2012 (14y) | ||
| Matthew Robert Klein | Registered representative | Oct 2012 (14y) | ||
| Matthew J Pusateri | Registered representative | Oct 2012 (14y) | ||
| Michael G. Sondag | Registered representative | Oct 2012 (14y) | ||
| Walter David Razzaboni | Registered representative | CFP | Oct 2012 (14y) | |
| William Anthony Hicks | Registered representative | Oct 2012 (14y) | ||
| Ana Beltran | Registered representative | Oct 2012 (14y) | ||
| James Alfred Macdonald | Registered representative | Oct 2012 (14y) | ||
| Donald Erik Nickerson | Registered representative | Oct 2012 (14y) | ||
| John Harold Eyerman | Registered representative | Oct 2012 (14y) | ||
| Michael Scott Oravetz | Registered representative | Oct 2012 (14y) | ||
| David James Fasi | Registered representative | Oct 2012 (14y) | ||
| Denis J Murphy | Registered representative | Oct 2012 (14y) | ||
| Adam John Fulton | Registered representative | Oct 2012 (14y) | ||
| Julie Hoersten | Registered representative | Oct 2012 (14y) | ||
| Tammy Lynn Kelly | Registered representative | Oct 2012 (14y) | ||
| Thomas Carl Temple | Registered representative | Oct 2012 (14y) | ||
| Anthony Wayne Martin | Registered representative | Oct 2012 (14y) | ||
| Michael P. Ritacco | Registered representative | Oct 2012 (14y) | ||
| Ryan M. Balon | Registered representative | Oct 2012 (14y) | ||
| Amy A Garrigan | Registered representative | Oct 2012 (14y) | ||
| Stephanie E. Kopp | Registered representative | Oct 2012 (14y) | ||
| Timothy Edward Donovan | Registered representative | Oct 2012 (14y) | ||
| Carey Leigh Shuffman | Registered representative | Oct 2012 (14y) | ||
| Leslie Chang | Registered representative | CFP | Oct 2012 (14y) | |
| Helen Suzanne Hoffman | Registered representative | Oct 2012 (14y) | ||
| Joshua Michael Young | Registered representative | CFP | Nov 2012 (14y) | |
| Douglas Scott Ponczek | Registered representative | Nov 2012 (14y) | ||
| Diane Marie Galvin | Registered representative | CFP | Nov 2012 (14y) | |
| Donald J. Joseph Mahoney | Registered representative | Nov 2012 (14y) | ||
| Mario Ponczek | Registered representative | Nov 2012 (14y) | ||
| Eugene O'neill | Registered representative | Nov 2012 (14y) | ||
| Jonathan Steven Casimini | Registered representative | Nov 2012 (14y) | ||
| Michael D Miller | Registered representative | Nov 2012 (14y) | ||
| Colby Allen Buss | Registered representative | CFP | Nov 2012 (14y) | |
| Brandon Scott Sullivan | Registered representative | Nov 2012 (14y) | ||
| Jose Manuel Noarbe Moliner | Registered representative | Nov 2012 (14y) | ||
| Khalil Curi Hanna | Registered representative | Nov 2012 (14y) | ||
| Elske Caroline Marie Parker | Registered representative | Nov 2012 (14y) | ||
| Nathan James Matthews | Registered representative | CFP | Nov 2012 (14y) | |
| Monica Alicia Echeverri | Registered representative | Nov 2012 (14y) | ||
| Tye James Rickert | Registered representative | Nov 2012 (14y) | ||
| John Hopkins Anning | Registered representative | Nov 2012 (14y) | ||
| Kimberly J Rosenfeld | Registered representative | Nov 2012 (14y) | ||
| Robert Doan Anning | Registered representative | Nov 2012 (14y) | ||
| Vickie L Schaaf | Registered representative | Nov 2012 (14y) | ||
| Daniel Johnson Dean | Registered representative | Nov 2012 (14y) | ||
| Margaret Ann Dauphin | Registered representative | Nov 2012 (14y) | ||
| John Scally | Registered representative | Nov 2012 (14y) | ||
| Kari Michelle Riggs | Registered representative | Nov 2012 (14y) | ||
| Michael George Martinez | Registered representative | Nov 2012 (14y) | ||
| Brian David Sable | Registered representative | Nov 2012 (14y) | ||
| Michael Shannon Stryker | Registered representative | Nov 2012 (14y) | ||
| Alisa Singhasri | Registered representative | Nov 2012 (14y) | ||
| Eric Mitchell Fingleson | Registered representative | Nov 2012 (14y) | ||
| Sean Patrick Edrington | Registered representative | Nov 2012 (14y) | ||
| Charles Elijah Gillis | Registered representative | CFP | Dec 2012 (14y) | |
| Helen Adams Vollmer | Registered representative | Dec 2012 (14y) | ||
| Keith Robert Stein | Registered representative | Dec 2012 (14y) | ||
| Mark Patrick Rebillot | Registered representative | Dec 2012 (14y) | ||
| Roderick John Wagner | Registered representative | Dec 2012 (14y) | ||
| Thomas M O'mara | Registered representative | Dec 2012 (14y) | ||
| Keri Gage | Registered representative | Dec 2012 (14y) | ||
| Leticia Claudia Goenaga | Registered representative | Dec 2012 (14y) | ||
| Thomas Edward Podmajersky | Registered representative | Dec 2012 (14y) | ||
| Kelli A Ann Price | Registered representative | Dec 2012 (14y) | ||
| Laurel Heather Luciani | Registered representative | Dec 2012 (14y) | ||
| Anthony Gary Montemagni | Registered representative | Dec 2012 (14y) | ||
| Douglas John Domian | Registered representative | Dec 2012 (14y) | ||
| Russell Muser | Registered representative | Dec 2012 (14y) | ||
| Edward Michael Foley | Registered representative | Dec 2012 (14y) | ||
| Kimberly A Oliver | Registered representative | Dec 2012 (14y) | ||
| Ewelina Krubnik | Registered representative | CFP | Dec 2012 (14y) | |
| Martin Lee Deslauriers | Registered representative | Dec 2012 (14y) | ||
| Neal Robert Smith | Registered representative | Dec 2012 (14y) | ||
| Eric Wider | Registered representative | Dec 2012 (14y) | ||
| James Albert Miller | Registered representative | Jan 2013 (14y) | ||
| Kristen Griffin | Registered representative | Jan 2013 (14y) | ||
| Erika Elizabeth Herfert | Registered representative | CFP | Jan 2013 (14y) | |
| Christopher John Connolly | Registered representative | Jan 2013 (14y) | ||
| Shannon Nichole Ingraham | Registered representative | Jan 2013 (14y) | ||
| Rachel Ellen Schwarz | Registered representative | Jan 2013 (14y) | ||
| Robert C Damante | Registered representative | Jan 2013 (14y) | ||
| Susan Lynn Fanburg | Registered representative | Jan 2013 (14y) | ||
| Ralph Picascio | Registered representative | CFP | Jan 2013 (14y) | |
| Alberto Jesus Cordero | Registered representative | Jan 2013 (14y) | ||
| Laurie Ann Pallas | Registered representative | Jan 2013 (14y) | ||
| Luke Ervin | Registered representative | Jan 2013 (14y) | ||
| Todd Jonathan Starkey | Registered representative | Jan 2013 (14y) | ||
| Craig Michael Zaron | Registered representative | Jan 2013 (14y) | ||
| Chris Nicholas Paterakos | Registered representative | Jan 2013 (14y) | ||
| Donald Bruce Rosenthal | Registered representative | Jan 2013 (14y) | ||
| Patricia Anne Blair | Registered representative | Jan 2013 (14y) | ||
| Nancy Anne Szymula | Registered representative | Jan 2013 (14y) | ||
| Morton A Allen Hart | Registered representative | Jan 2013 (14y) | ||
| Alexander P. Velto | Registered representative | Feb 2013 (14y) | ||
| James A Hilton, Sr. | Registered representative | Feb 2013 (14y) | ||
| Kara Lee Museler | Registered representative | Feb 2013 (14y) | ||
| Robert A. Rumishek | Registered representative | Feb 2013 (14y) | ||
| Alan Spierer | Registered representative | Feb 2013 (13y) | ||
| David H Carlson | Registered representative | Feb 2013 (13y) | ||
| John J. Cowley | Registered representative | Feb 2013 (13y) | ||
| Oreste A. Volkert | Registered representative | Feb 2013 (13y) | ||
| Tara Eve Santora | Registered representative | Feb 2013 (13y) | ||
| Erik Brian Degroot | Registered representative | Feb 2013 (13y) | ||
| David J Atkinson | Registered representative | Feb 2013 (13y) | ||
| Jason Scott Adams | Registered representative | Feb 2013 (13y) | ||
| Timothy John Hando | Registered representative | Feb 2013 (13y) | ||
| Christopher Zangari | Registered representative | Feb 2013 (13y) | ||
| Eric Alan Bickler | Registered representative | Feb 2013 (13y) | ||
| Frank Joseph Sabia | Registered representative | Feb 2013 (13y) | ||
| Cesare Monti | Registered representative | Feb 2013 (13y) | ||
| Robert Alan Sterling | Registered representative | Feb 2013 (13y) | ||
| John Patrick Edgar | Registered representative | Feb 2013 (13y) | ||
| Martin Edward Norcini | Registered representative | Feb 2013 (13y) | ||
| Michael Shane Tatreau | Registered representative | Feb 2013 (13y) | ||
| Nicholas Murphy Panaro | Registered representative | Feb 2013 (13y) | ||
| Laura Ann Diamond | Registered representative | Feb 2013 (13y) | ||
| Kristina Newman Bakis | Registered representative | Feb 2013 (13y) | ||
| Melissa Ilene Fierman | Registered representative | Feb 2013 (13y) | ||
| Vincent Joseph Comella | Registered representative | Feb 2013 (13y) | ||
| Allan Dean Yarkin | Registered representative | Feb 2013 (13y) | ||
| Cecilia Maria Neuhaus | Registered representative | Feb 2013 (13y) | ||
| Henry Boyce Iii | Registered representative | Feb 2013 (13y) | ||
| Janine Faith Klein | Registered representative | Feb 2013 (13y) | ||
| Nicholas Scott Sadowsky | Registered representative | Feb 2013 (13y) | ||
| Samuel Joseph Groom | Registered representative | Feb 2013 (13y) | ||
| Andrew Ka Wing Lee | Registered representative | Mar 2013 (13y) | ||
| Richard D. Dominic Vinci | Registered representative | Mar 2013 (13y) | ||
| William Stefan Jovanovich | Registered representative | Mar 2013 (13y) | ||
| Christopher R Coram | Registered representative | Mar 2013 (13y) | ||
| David Jerome Wright | Registered representative | Mar 2013 (13y) | ||
| Shawn E Lemko | Registered representative | Mar 2013 (13y) | ||
| Carissa Holder | Registered representative | Mar 2013 (13y) | ||
| Howard Louria Blum | Registered representative | Mar 2013 (13y) | ||
| Derrick A Munroe | Registered representative | Mar 2013 (13y) | ||
| Justin Trubin | Registered representative | Mar 2013 (13y) | ||
| Robert Carlos Cruz | Registered representative | Mar 2013 (13y) | ||
| John Raymond Mowry | Registered representative | Mar 2013 (13y) | ||
| Nell Parsons Hughes | Registered representative | Mar 2013 (13y) | ||
| Lynette H Jefferson | Registered representative | Mar 2013 (13y) | ||
| Richard Daetwiler | Registered representative | Mar 2013 (13y) | ||
| Warren Cheung | Registered representative | Mar 2013 (13y) | ||
| Michael Andrew Robichaud | Registered representative | CFP | Mar 2013 (13y) | |
| Henry Philip Luster | Registered representative | Mar 2013 (13y) | ||
| Andrew B Strauss | Registered representative | Mar 2013 (13y) | ||
| Priscilla Sabates | Registered representative | Mar 2013 (13y) | ||
| Linda Sue Dowers | Registered representative | Mar 2013 (13y) | ||
| Ariana Campos Acosta | Registered representative | Mar 2013 (13y) | ||
| Chris Pendrak | Registered representative | Mar 2013 (13y) | ||
| David Seth Coleman | Registered representative | Mar 2013 (13y) | ||
| Sean Michael Riley | Registered representative | Mar 2013 (13y) | ||
| W S Parker | Registered representative | Mar 2013 (13y) | ||
| William S Parker Jr. | Registered representative | Mar 2013 (13y) | ||
| Ariana Parker | Registered representative | Mar 2013 (13y) | ||
| Rebecca Denise Davis | Registered representative | Mar 2013 (13y) | ||
| Scott Matthew Rhea | Registered representative | CFP | Mar 2013 (13y) | |
| Steven Lewellyn Schultz | Registered representative | Apr 2013 (13y) | ||
| Stockton Morgan Schultz | Registered representative | Apr 2013 (13y) | ||
| Riley Ann Ann Davis | Registered representative | Apr 2013 (13y) | ||
| Sarah Hoskins Boone | Registered representative | Apr 2013 (13y) | ||
| Alan Michael Perlberg | Registered representative | Apr 2013 (13y) | ||
| Alex Ross Perlberg | Registered representative | Apr 2013 (13y) | ||
| Christopher J Metter | Registered representative | Apr 2013 (13y) | ||
| Lukasz Syrek | Registered representative | Apr 2013 (13y) | ||
| Scott A Hatler | Registered representative | CFP | Apr 2013 (13y) | |
| Elizabeth Ann French | Registered representative | Apr 2013 (13y) | ||
| William Rush Mosby | Registered representative | Apr 2013 (13y) | ||
| James Bruce Smith | Registered representative | Apr 2013 (13y) | ||
| Kristen Elizabeth Marino | Registered representative | Apr 2013 (13y) | ||
| Adam Gregory Rivera | Registered representative | Apr 2013 (13y) | ||
| Michael Henry Haggerty | Registered representative | Apr 2013 (13y) | ||
| Fredrick Jonathan Lehman | Registered representative | Apr 2013 (13y) | ||
| Richard Allan Gibbs | Registered representative | Apr 2013 (13y) | ||
| Karla Orduna | Registered representative | Apr 2013 (13y) | ||
| Nick James Polydoros | Registered representative | Apr 2013 (13y) | ||
| James Gregory Mayeux | Registered representative | Apr 2013 (13y) | ||
| Joy E Pascoe | Registered representative | Apr 2013 (13y) | ||
| Bianka Heath Alexandre | Registered representative | Apr 2013 (13y) | ||
| Anthony Raymond Jessen | Registered representative | May 2013 (13y) | ||
| Henry B. Berkley | Registered representative | May 2013 (13y) | ||
| Nicholas Thomas Maurillo | Registered representative | May 2013 (13y) | ||
| Stephen James Blaber | Registered representative | May 2013 (13y) | ||
| Reed Michael Fawley | Registered representative | May 2013 (13y) | ||
| Jim Simon Kottoor | Registered representative | May 2013 (13y) | ||
| Andrew Scott Halpern | Registered representative | May 2013 (13y) | ||
| Robert Edward Lane | Registered representative | May 2013 (13y) | ||
| Thomas Edward Pelino | Registered representative | CFA | May 2013 (13y) | |
| Jerry Layne Smith | Registered representative | May 2013 (13y) | ||
| Melanie Linzel | Registered representative | May 2013 (13y) | ||
| Jameson John Viljaste | Registered representative | May 2013 (13y) | ||
| Ethan Fuller Callaway | Registered representative | May 2013 (13y) | ||
| Luiz Fontes | Registered representative | May 2013 (13y) | ||
| William Kirst | Registered representative | May 2013 (13y) | ||
| Derek Charles Degrass | Registered representative | May 2013 (13y) | ||
| Stephen James Fish | Registered representative | May 2013 (13y) | ||
| Daniel Mathew Hornblower | Registered representative | May 2013 (13y) | ||
| Paul Marc Deroche | Registered representative | CFP | May 2013 (13y) | |
| Andrea Jayne Cruz | Registered representative | Jun 2013 (13y) | ||
| Diana Marie Freeburg | Registered representative | CFP | Jun 2013 (13y) | |
| Ray Larry Burns | Registered representative | Jun 2013 (13y) | ||
| Jesse A Ferro | Registered representative | Jun 2013 (13y) | ||
| Patterson Henry Robertson | Registered representative | Jun 2013 (13y) | ||
| Tamila Ann Jenkins | Registered representative | Jun 2013 (13y) | ||
| Tina M Davis | Registered representative | Jun 2013 (13y) | ||
| Barry Allen Schwartz | Registered representative | Jun 2013 (13y) | ||
| Ryan Alexander Hall | Registered representative | Jun 2013 (13y) | ||
| Christopher Joseph Doherty | Registered representative | Jun 2013 (13y) | ||
| Dee Jay Wilde | Registered representative | Jun 2013 (13y) | ||
| Isaac Hamilton | Registered representative | Jun 2013 (13y) | ||
| Kristen Leigh Liller | Registered representative | Jun 2013 (13y) | ||
| Caleb James Kocian | Registered representative | Jun 2013 (13y) | ||
| Cory Gunter Sellers | Registered representative | Jun 2013 (13y) | ||
| Ryan Matthew Rehnke | Registered representative | Jun 2013 (13y) | ||
| Fred Sung | Registered representative | CFA | Jun 2013 (13y) | |
| Stephen Patrick Kane | Registered representative | Jun 2013 (13y) | ||
| Jacob Daniel Greenberg | Registered representative | Jun 2013 (13y) | ||
| Jeremy Mykulak | Registered representative | Jun 2013 (13y) | ||
| Kyle James Gauthreaux | Registered representative | Jun 2013 (13y) | ||
| Alicia W Loo | Registered representative | Jun 2013 (13y) | ||
| Jose Luis Rincon Gallardo Romo | Registered representative | Jun 2013 (13y) | ||
| Peter Austin Day | Registered representative | Jun 2013 (13y) | ||
| Scott Ronald Nelson | Registered representative | Jul 2013 (13y) | ||
| Anthony Joseph Parisi | Registered representative | Jul 2013 (13y) | ||
| Chastity Hicks | Registered representative | Jul 2013 (13y) | ||
| Jeffrey Stuart Rosenblum | Registered representative | Jul 2013 (13y) | ||
| Patrick Ryan Disimone | Registered representative | CFP | Jul 2013 (13y) | |
| Allen Michael Sussman | Registered representative | Jul 2013 (13y) | ||
| Francis Joseph Dietrich | Registered representative | Jul 2013 (13y) | ||
| Matthew M. Green | Registered representative | Jul 2013 (13y) | ||
| Kelly Dimaggio | Registered representative | Jul 2013 (13y) | ||
| Antonio Correa | Registered representative | Jul 2013 (13y) | ||
| Daniel Benjamin Ramer | Registered representative | Jul 2013 (13y) | ||
| Christopher Daniel Chavez | Registered representative | Jul 2013 (13y) | ||
| Richard Scott Henningsen | Registered representative | Jul 2013 (13y) | ||
| Jeffrey Michael Lewis | Registered representative | Jul 2013 (13y) | ||
| Jennifer Leigh Bass | Registered representative | Jul 2013 (13y) | ||
| David Michael Shaw | Registered representative | Jul 2013 (13y) | ||
| Alejandro Enrique Wabnik | Registered representative | Jul 2013 (13y) | ||
| Lloyd Gregory Macedo | Registered representative | Jul 2013 (13y) | ||
| Thomas Robert Conigatti | Registered representative | Jul 2013 (13y) | ||
| John Patrick Revis | Registered representative | Jul 2013 (13y) | ||
| Daniel Green | Registered representative | Jul 2013 (13y) | ||
| Donald Louis Giovacchini | Registered representative | Jul 2013 (13y) | ||
| Elaina S. Spilove | Registered representative | Jul 2013 (13y) | ||
| Dina T Lictro | Registered representative | Aug 2013 (13y) | ||
| Bernadette Therese Lanser | Registered representative | Aug 2013 (13y) | ||
| Bruce Gerard Lanser | Registered representative | Aug 2013 (13y) | ||
| George S Mayer | Registered representative | Aug 2013 (13y) | ||
| Jerry Gongbo Qi | Registered representative | Aug 2013 (13y) | ||
| Scott Bernard Arentsen | Registered representative | Aug 2013 (13y) | ||
| Christina Van Slooten | Registered representative | Aug 2013 (13y) | ||
| Diane C Lopes | Registered representative | Aug 2013 (13y) | ||
| Jack Ryan Riley | Registered representative | Aug 2013 (13y) | ||
| Jesse Edward Kent | Registered representative | Aug 2013 (13y) | ||
| John Thomas Cusate | Registered representative | Aug 2013 (13y) | ||
| Michael Jordao | Registered representative | Aug 2013 (13y) | ||
| Michael Soberman | Registered representative | Aug 2013 (13y) | ||
| Harrison Chin Hoyes | Registered representative | CFP | Aug 2013 (13y) | |
| Kathleen Almond Knox | Registered representative | Aug 2013 (13y) | ||
| Maria Jose Rodriguez | Registered representative | Aug 2013 (13y) | ||
| William Kells Noonan | Registered representative | Aug 2013 (13y) | ||
| Caroline Marie Chahalis | Registered representative | CFP | Aug 2013 (13y) | |
| Ginger Louise Ward | Registered representative | Aug 2013 (13y) | ||
| Caroline Renee Steiger | Registered representative | Aug 2013 (13y) | ||
| Julie Anne Vanderveen | Registered representative | Aug 2013 (13y) | ||
| Ryan Nicholas Woo | Registered representative | Aug 2013 (13y) | ||
| Michael Julian Rhodes | Registered representative | Aug 2013 (13y) | ||
| Thomas George Wagner | Registered representative | Aug 2013 (13y) | ||
| Cletus W Schwegman | Registered representative | Aug 2013 (13y) | ||
| Jane P Page | Registered representative | Aug 2013 (13y) | ||
| Andrew Browning Peake | Registered representative | Aug 2013 (13y) | ||
| Leonard J Bowlby | Registered representative | Aug 2013 (13y) | ||
| Maria Jose Arnaldos Rementeria | Registered representative | Aug 2013 (13y) | ||
| Yelena Merzhiyevskaya | Registered representative | Aug 2013 (13y) | ||
| Bijan Behboodi | Registered representative | Sep 2013 (13y) | ||
| Dominic Palmisano Jr. | Registered representative | Sep 2013 (13y) | ||
| Robert Michael Panessiti | Registered representative | Chartered Financial Consultant | Sep 2013 (13y) | |
| Gene Michael Silverman | Registered representative | Sep 2013 (13y) | ||
| Jennifer Serino | Registered representative | Sep 2013 (13y) | ||
| Kathleen Evelyn Sheehan | Registered representative | Sep 2013 (13y) | ||
| Michael Richard Richard Cormier | Registered representative | Sep 2013 (13y) | ||
| Anthony Mea Jr. | Registered representative | Sep 2013 (13y) | ||
| Alison Mcentee | Registered representative | Sep 2013 (13y) | ||
| Ryan Leib | Registered representative | CFP | Sep 2013 (13y) | |
| Robert Edward Leib | Registered representative | Sep 2013 (13y) | ||
| Dermot P Bermingham | Registered representative | Sep 2013 (13y) | ||
| Shonny Montano | Registered representative | Sep 2013 (13y) | ||
| Gregory Scott Miller | Registered representative | Sep 2013 (13y) | ||
| Michael Leonard | Registered representative | Sep 2013 (13y) | ||
| Jenaige Carlina C Alvis | Registered representative | Oct 2013 (13y) | ||
| Paul R Stover | Registered representative | Oct 2013 (13y) | ||
| Shoba Sriaiyer | Registered representative | Oct 2013 (13y) | ||
| John Charles Willis | Registered representative | Oct 2013 (13y) | ||
| William Scott Meador | Registered representative | CFP | Oct 2013 (13y) | |
| Laura Irene Kurtz | Registered representative | Oct 2013 (13y) | ||
| David E Sytsma | Registered representative | Oct 2013 (13y) | ||
| Timothy Scott Yagasits | Registered representative | Oct 2013 (13y) | ||
| Christopher Arthur Pennington | Registered representative | Oct 2013 (13y) | ||
| Scott M Jackson | Registered representative | Oct 2013 (13y) | ||
| Eric Benz | Registered representative | CFP | Oct 2013 (13y) | |
| Laura A. Radue | Registered representative | Oct 2013 (13y) | ||
| Paul David Campbell | Registered representative | Oct 2013 (13y) | ||
| Amy Michelle Howe | Registered representative | Oct 2013 (13y) | ||
| Katelyn Tanner Greco Lycksell | Registered representative | Oct 2013 (13y) | ||
| Emmanuel A Curling | Registered representative | Oct 2013 (13y) | ||
| Henry W Boyce | Registered representative | Oct 2013 (13y) | ||
| Darcie E. Papinchock | Registered representative | Oct 2013 (13y) | ||
| Sandy Fungshan Chan | Registered representative | Oct 2013 (13y) | ||
| Rachel Marker | Registered representative | Oct 2013 (13y) | ||
| Sarah Michelle Simon | Registered representative | Oct 2013 (13y) | ||
| Derek J Reinhold | Registered representative | Oct 2013 (13y) | ||
| Carl Randolph Johnsen | Registered representative | Oct 2013 (13y) | ||
| Gregory Drew Hogensen | Registered representative | Oct 2013 (13y) | ||
| Ronnie Eileen Cobb | Registered representative | Oct 2013 (13y) | ||
| Barry Frederic Porter | Registered representative | Oct 2013 (13y) | ||
| Benjamin Christian Schroder | Registered representative | Oct 2013 (13y) | ||
| Carina Bagboudarian | Registered representative | Oct 2013 (13y) | ||
| Craig Steve Chiate | Registered representative | Oct 2013 (13y) | ||
| David Mandel | Registered representative | Oct 2013 (13y) | ||
| Glenn Alan Oratz | Registered representative | Oct 2013 (13y) | ||
| James Bradley Axelson | Registered representative | Oct 2013 (13y) | ||
| Jeffery Clyde Hamilton | Registered representative | Oct 2013 (13y) | ||
| Jo Anne L Guinane Jones | Registered representative | Oct 2013 (13y) | ||
| M Scott Harries | Registered representative | Oct 2013 (13y) | ||
| Mark Neil Binder | Registered representative | Oct 2013 (13y) | ||
| Michael Eav | Registered representative | Oct 2013 (13y) | ||
| Scott A Brown | Registered representative | Oct 2013 (13y) | ||
| Brendan James Graham | Registered representative | Oct 2013 (13y) | ||
| Brian Andrew Alden | Registered representative | Oct 2013 (13y) | ||
| Brittany Ann Nam | Registered representative | Oct 2013 (13y) | ||
| Jeffrey Scott Leforge | Registered representative | Oct 2013 (13y) | ||
| Sara Perez Barrett | Registered representative | Oct 2013 (13y) | ||
| Scott Mcculloch Crawford | Registered representative | Oct 2013 (13y) | ||
| Andrew Charles Oconnell | Registered representative | Oct 2013 (13y) | ||
| David Robert Tricker | Registered representative | Oct 2013 (13y) | ||
| Alejo Eduardo Czerwonko Pupi | Registered representative | Nov 2013 (13y) | ||
| Dante Lorenzo Ambrogio | Registered representative | Nov 2013 (13y) | ||
| Jeffrey Adam Miller | Registered representative | Nov 2013 (13y) | ||
| Norma Ivette Montalvo | Registered representative | Nov 2013 (13y) | ||
| Daniel Jim Lawson | Registered representative | Nov 2013 (13y) | ||
| William Davis Chapin | Registered representative | Nov 2013 (13y) | ||
| Donald Arthur Chomas | Registered representative | Nov 2013 (13y) | ||
| Nicholas John Shine | Registered representative | Nov 2013 (13y) | ||
| Russell Matthew Rifkin | Registered representative | Nov 2013 (13y) | ||
| Samuel Harris Booker | Registered representative | Nov 2013 (13y) | ||
| Harrison T Croff | Registered representative | Nov 2013 (13y) | ||
| Brandy J Springer | Registered representative | Nov 2013 (13y) | ||
| Christopher John Setten | Registered representative | Nov 2013 (13y) | ||
| Hiromi Hanamura | Registered representative | Nov 2013 (13y) | ||
| Stephen Scott Schaefer | Registered representative | CFP | Nov 2013 (13y) | |
| William Charles Stratton | Registered representative | Nov 2013 (13y) | ||
| Christopher Gale Mcgehee | Registered representative | Nov 2013 (13y) | ||
| Christopher Michael Gramolini | Registered representative | Nov 2013 (13y) | ||
| Carolina Andrea Pineira | Registered representative | Nov 2013 (13y) | ||
| Gail Ropson Buechler | Registered representative | Nov 2013 (13y) | ||
| Maryellen Frank | Registered representative | Nov 2013 (13y) | ||
| Juan Diego Chacon | Registered representative | Nov 2013 (13y) | ||
| Jacqueline Hatfield Carey | Registered representative | Dec 2013 (13y) | ||
| Brittany Miller | Registered representative | Dec 2013 (13y) | ||
| Jodi Nicole Graney | Registered representative | Dec 2013 (13y) | ||
| John Thomas Vaudreuil | Registered representative | Dec 2013 (13y) | ||
| Nicholas C Arkwright | Registered representative | Dec 2013 (13y) | ||
| Richard T Tanner Sachse | Registered representative | Dec 2013 (13y) | ||
| James M. Hay | Registered representative | Dec 2013 (13y) | ||
| Jennifer Gamet Fitzgerald | Registered representative | Dec 2013 (13y) | ||
| Courtney Liddy | Registered representative | Dec 2013 (13y) | ||
| William B Garber | Registered representative | Dec 2013 (13y) | ||
| Joshua Stein | Registered representative | Dec 2013 (13y) | ||
| Lucas Anthony Mistretta | Registered representative | Dec 2013 (13y) | ||
| Mark Roukas | Registered representative | Dec 2013 (13y) | ||
| Zachary Edward Slater | Registered representative | Dec 2013 (13y) | ||
| Lisa Marie Moreno | Registered representative | Dec 2013 (13y) | ||
| Victoria Elise Clark Stoker | Registered representative | Dec 2013 (13y) | ||
| Jean Carlo Ferrer | Registered representative | Dec 2013 (13y) | ||
| Steven Kenneth Chensky | Registered representative | Dec 2013 (13y) | ||
| Gabriel Caponetto | Registered representative | Dec 2013 (13y) | ||
| Nicole Denise Wesley | Registered representative | Dec 2013 (13y) | ||
| Liam Richard Mccabe Moran | Registered representative | Jan 2014 (13y) | ||
| Steven Michael Young | Registered representative | Jan 2014 (13y) | ||
| Jose A Sanchez Kinghorn | Registered representative | Jan 2014 (13y) | ||
| Peter Janis Berzins | Registered representative | Jan 2014 (13y) | ||
| Richard James Childs | Registered representative | Jan 2014 (13y) | ||
| Thomas Tyler Holocher | Registered representative | Jan 2014 (13y) | ||
| Michael Lee Cope | Registered representative | Jan 2014 (13y) | ||
| William George Marcoux | Registered representative | Jan 2014 (13y) | ||
| Keegan Michael Hennessy | Registered representative | Jan 2014 (13y) | ||
| S A Thomas | Registered representative | Jan 2014 (13y) | ||
| Angela M Kelly | Registered representative | Jan 2014 (13y) | ||
| Noelle Ashley Oh | Registered representative | CFP | Jan 2014 (13y) | |
| Patrick John Flood | Registered representative | Jan 2014 (13y) | ||
| Jennifer P Edwards | Registered representative | Jan 2014 (13y) | ||
| Frederik Ramos Guerra | Registered representative | Jan 2014 (13y) | ||
| Brittany Blanchette Manganaro | Registered representative | Jan 2014 (13y) | ||
| Brandon D. Brown | Registered representative | Jan 2014 (13y) | ||
| Deborah Lynn Mitchell | Registered representative | Jan 2014 (13y) | ||
| Zachary Guy Rakestraw | Registered representative | Jan 2014 (13y) | ||
| Julie Ann Heidenreich | Registered representative | Jan 2014 (13y) | ||
| Stephanie C Holmgren | Registered representative | Jan 2014 (13y) | ||
| Derek Adam Vance | Registered representative | Jan 2014 (13y) | ||
| Joseph Craig Fishel | Registered representative | Jan 2014 (13y) | ||
| Andrew Dunlap Kiernan | Registered representative | Feb 2014 (12y) | ||
| Caleb Quenzer | Registered representative | Feb 2014 (12y) | ||
| Christopher J Schwartz | Registered representative | Feb 2014 (12y) | ||
| Cory Alan Durham | Registered representative | Feb 2014 (12y) | ||
| Dana Rae Sandborgh | Registered representative | Feb 2014 (12y) | ||
| David Edward Irvin | Registered representative | Feb 2014 (12y) | ||
| Evans Eugene Connelly | Registered representative | CFA | Feb 2014 (12y) | |
| Heather Fitch Radcliff | Registered representative | Feb 2014 (12y) | ||
| Janice R. Schmidt | Registered representative | Feb 2014 (12y) | ||
| Jay Michael Griep | Registered representative | Feb 2014 (12y) | ||
| Justin Gregory Kappel | Registered representative | Feb 2014 (12y) | ||
| Jennifer R Wilson | Registered representative | Feb 2014 (12y) | ||
| Kami L Evers | Registered representative | Feb 2014 (12y) | ||
| Kelly A Magnuson | Registered representative | Feb 2014 (12y) | ||
| Lester F Bolstad | Registered representative | Feb 2014 (12y) | ||
| Marguerite T Harvieux | Registered representative | Feb 2014 (12y) | ||
| Mark W Rethlake | Registered representative | Feb 2014 (12y) | ||
| Michael Brian Block | Registered representative | Feb 2014 (12y) | ||
| Nancy Jo Hopp | Registered representative | Feb 2014 (12y) | ||
| Peter Edward Durand | Registered representative | Feb 2014 (12y) | ||
| Rachel C. Putratz | Registered representative | Feb 2014 (12y) | ||
| Randall Arthur Berns | Registered representative | Feb 2014 (12y) | ||
| Rebecca Ann Janisch | Registered representative | Feb 2014 (12y) | ||
| Sandra Lee Sanders | Registered representative | Feb 2014 (12y) | ||
| Scott Raymond Swenson | Registered representative | Feb 2014 (12y) | ||
| Sherri Kaye Tuttle | Registered representative | Feb 2014 (12y) | ||
| Aleksandra V Munson | Registered representative | Feb 2014 (12y) | ||
| Brian Marshall Kamin | Registered representative | Feb 2014 (12y) | ||
| Brian William Cox | Registered representative | Feb 2014 (12y) | ||
| Carol D Henry | Registered representative | Feb 2014 (12y) | ||
| Cynthia Marie Pikala | Registered representative | Feb 2014 (12y) | ||
| David J Betz | Registered representative | Feb 2014 (12y) | ||
| Geri Ann Paquette | Registered representative | Feb 2014 (12y) | ||
| Jonathan Caleb Monson | Registered representative | Feb 2014 (12y) | ||
| Kalee Marie Olson | Registered representative | Feb 2014 (12y) | ||
| Mary Beth Ketchum | Registered representative | Feb 2014 (12y) | ||
| Mary Jo Olson | Registered representative | Feb 2014 (12y) | ||
| Molly A Padmore | Registered representative | Feb 2014 (12y) | ||
| Nicole A. Hiller | Registered representative | Feb 2014 (12y) | ||
| Patrick F Morgan | Registered representative | Feb 2014 (12y) | ||
| Robert James Harnett | Registered representative | Feb 2014 (12y) | ||
| Christopher Louis Toth | Registered representative | CFP | Feb 2014 (12y) | |
| Nancy Mae Domenge | Registered representative | Feb 2014 (12y) | ||
| Grace Anne Wingerter | Registered representative | Feb 2014 (12y) | ||
| Susan Elizabeth Galich | Registered representative | Feb 2014 (12y) | ||
| Cristine B Ale | Registered representative | Feb 2014 (12y) | ||
| Fabian Martin Heller | Registered representative | Feb 2014 (12y) | ||
| Kimberlyann Higgins | Registered representative | Feb 2014 (12y) | ||
| Kevin James Wang | Registered representative | Feb 2014 (12y) | ||
| Richard John Demarco | Registered representative | Feb 2014 (12y) | ||
| Zoe Rowlands | Registered representative | Feb 2014 (12y) | ||
| John Carl Uehling | Registered representative | Feb 2014 (12y) | ||
| Heather Marie Cravy | Registered representative | Feb 2014 (12y) | ||
| Denver Gene Smith | Registered representative | Feb 2014 (12y) | ||
| A Anthony Olivetti | Registered representative | Feb 2014 (12y) | ||
| Andrew Lawrence Mork | Registered representative | Mar 2014 (12y) | ||
| Caroline Cassie Cherezian | Registered representative | Mar 2014 (12y) | ||
| Erik B Seeney | Registered representative | Mar 2014 (12y) | ||
| Wendy L Nobles | Registered representative | Mar 2014 (12y) | ||
| Lidia Leonor Villalobos | Registered representative | Mar 2014 (12y) | ||
| Sharon Garza | Registered representative | Mar 2014 (12y) | ||
| Anna Teresa Siwula | Registered representative | Mar 2014 (12y) | ||
| Gary William Mohamed | Registered representative | Mar 2014 (12y) | ||
| Steven L Rossi | Registered representative | Mar 2014 (12y) | ||
| Katrina Hernandez Wright | Registered representative | Mar 2014 (12y) | ||
| David T Leibell | Registered representative | Mar 2014 (12y) | ||
| Meghan E. Antonucci | Registered representative | Mar 2014 (12y) | ||
| Russell Warren Price | Registered representative | Mar 2014 (12y) | ||
| Sam James Mineo | Registered representative | Mar 2014 (12y) | ||
| Ricardo Pintado Caravita | Registered representative | Mar 2014 (12y) | ||
| Daenna Tarullo | Registered representative | Mar 2014 (12y) | ||
| David Michael Rose | Registered representative | Mar 2014 (12y) | ||
| Stacey D. Parker | Registered representative | Mar 2014 (12y) | ||
| Fangyun Frank Lin | Registered representative | Mar 2014 (12y) | ||
| Christopher Martin Zito | Registered representative | Apr 2014 (12y) | ||
| Regina R Stuzin | Registered representative | Apr 2014 (12y) | ||
| Kevin Montgomery Marriott | Registered representative | Apr 2014 (12y) | ||
| Nathan Michael Hewes | Registered representative | Apr 2014 (12y) | ||
| Sonia Tyagi Culazzo | Registered representative | Apr 2014 (12y) | ||
| Brian K. Gray | Registered representative | Apr 2014 (12y) | ||
| Wendy Ann Spinner | Registered representative | Apr 2014 (12y) | ||
| John Patrick Daly | Registered representative | CFP | Apr 2014 (12y) | |
| Robert Alexander Libraty | Registered representative | Apr 2014 (12y) | ||
| Bernard Joseph Fasciano | Registered representative | Apr 2014 (12y) | ||
| Jennifer Anne Mccann | Registered representative | Apr 2014 (12y) | ||
| Marisol Colomer | Registered representative | Apr 2014 (12y) | ||
| Traci Michelle Tabback | Registered representative | Apr 2014 (12y) | ||
| Jennifer Anne Owen Wnuk | Registered representative | Apr 2014 (12y) | ||
| Jonathan Jay Kleiman | Registered representative | Apr 2014 (12y) | ||
| Deborah Anne Richin | Registered representative | Apr 2014 (12y) | ||
| Gregory Serge Krikorian | Registered representative | Apr 2014 (12y) | ||
| Donald Charles Atherton | Registered representative | Apr 2014 (12y) | ||
| David S Fried | Registered representative | Apr 2014 (12y) | ||
| Patrick M Sledz | Registered representative | Apr 2014 (12y) | ||
| Connie Ann Lapolla | Registered representative | Apr 2014 (12y) | ||
| Brandi L Schnathorst | Registered representative | CFP | Apr 2014 (12y) | |
| Brandon R Wilk | Registered representative | Apr 2014 (12y) | ||
| Kurt Crandall Nielsen | Registered representative | Apr 2014 (12y) | ||
| Thomas Edward Cavada | Registered representative | CFP | Apr 2014 (12y) | |
| David Rein Forrest | Registered representative | May 2014 (12y) | ||
| R L Forrest | Registered representative | May 2014 (12y) | ||
| Katrina Marie Hanks | Registered representative | May 2014 (12y) | ||
| Genevieve Estebar Baker | Registered representative | May 2014 (12y) | ||
| Andrew Parker Scott | Registered representative | May 2014 (12y) | ||
| Marc A Hamlin | Registered representative | May 2014 (12y) | ||
| Sheila Freund Klehm | Registered representative | May 2014 (12y) | ||
| Nicholas Joseph Randazzo | Registered representative | May 2014 (12y) | ||
| Steven G Glen Trimble | Registered representative | May 2014 (12y) | ||
| Jonathan Guzman | Registered representative | May 2014 (12y) | ||
| Leila Dawson Vitale | Registered representative | May 2014 (12y) | ||
| Jack William Butler | Registered representative | May 2014 (12y) | ||
| Thomas J Cammarata | Registered representative | May 2014 (12y) | ||
| Edward Wiederspiel | Registered representative | May 2014 (12y) | ||
| Phillip Brenneman | Registered representative | May 2014 (12y) | ||
| Amy Mitchell Knopka | Registered representative | May 2014 (12y) | ||
| John J Wilson | Registered representative | May 2014 (12y) | ||
| Jordan R Richard Duesenberg | Registered representative | May 2014 (12y) | ||
| September Cifra | Registered representative | May 2014 (12y) | ||
| Jolie Thai | Registered representative | May 2014 (12y) | ||
| Sandro Jaime Pestana | Registered representative | Jun 2014 (12y) | ||
| Crockett Rose Clark | Registered representative | Jun 2014 (12y) | ||
| Wynne Yu Chih I | Registered representative | Jun 2014 (12y) | ||
| James Andrew Coan | Registered representative | Jun 2014 (12y) | ||
| Jolene Gay Albrecht | Registered representative | Jun 2014 (12y) | ||
| Philip B Brent Hess | Registered representative | Jun 2014 (12y) | ||
| Christine Theresa Theresa Moya | Registered representative | Jun 2014 (12y) | ||
| Andrew Ling Tse | Registered representative | Jun 2014 (12y) | ||
| Joseph Ryan Randall | Registered representative | Jun 2014 (12y) | ||
| Stacy M Porras | Registered representative | Jun 2014 (12y) | ||
| Jason Malone Sabaugh | Registered representative | Jun 2014 (12y) | ||
| Matthew Alan Fumuso | Registered representative | Jun 2014 (12y) | ||
| Brianne Michele Imperial | Registered representative | CFP | Jun 2014 (12y) | |
| Christopher J Denicola | Registered representative | CFP | Jun 2014 (12y) | |
| Cody Monroe Burnett | Registered representative | Jun 2014 (12y) | ||
| Patrick Giblin | Registered representative | Jun 2014 (12y) | ||
| Jared Max Hendler | Registered representative | Jun 2014 (12y) | ||
| Michael Van Doubleday | Registered representative | Jun 2014 (12y) | ||
| John Hardy Stanford | Registered representative | Jun 2014 (12y) | ||
| Karalee F. Myers Artzer | Registered representative | Jun 2014 (12y) | ||
| Michael Evan Kahn | Registered representative | Jun 2014 (12y) | ||
| Eunjeong Lee | Registered representative | Jun 2014 (12y) | ||
| Nathan B Hass | Registered representative | Jun 2014 (12y) | ||
| William Fletcher Sanderson | Registered representative | Jun 2014 (12y) | ||
| Maria Isabel Patino Rodriguez | Registered representative | Jul 2014 (12y) | ||
| Michelle Lynn Gochanour | Registered representative | Jul 2014 (12y) | ||
| Jonathan Alan Adamsky | Registered representative | Jul 2014 (12y) | ||
| Kirk Martin Johnson | Registered representative | Jul 2014 (12y) | ||
| Milton S Jimenez | Registered representative | Jul 2014 (12y) | ||
| Richard Ivan Greenspan | Registered representative | Jul 2014 (12y) | ||
| Tara E Mundorff | Registered representative | Jul 2014 (12y) | ||
| Benjamin Joel Hynden | Registered representative | CFP | Jul 2014 (12y) | |
| David Dawson Crapser | Registered representative | Jul 2014 (12y) | ||
| James S. Scott Munro | Registered representative | Jul 2014 (12y) | ||
| Paul Selby Dolcimascolo | Registered representative | Jul 2014 (12y) | ||
| Matthew Ryan Galvin | Registered representative | Jul 2014 (12y) | ||
| Alexandra Mary Swerz | Registered representative | Jul 2014 (12y) | ||
| Brittany Dipace | Registered representative | CFP | Jul 2014 (12y) | |
| Joshua C Mrozowski | Registered representative | Jul 2014 (12y) | ||
| Felix Joaquin Perez Retes | Registered representative | Jul 2014 (12y) | ||
| Angel Herman | Registered representative | Jul 2014 (12y) | ||
| Bruce Geoffrey Wain | Registered representative | Jul 2014 (12y) | ||
| Carlota Isabel Machado | Registered representative | Jul 2014 (12y) | ||
| Vincent Vitale | Registered representative | Jul 2014 (12y) | ||
| Jonathan Bolter | Registered representative | Aug 2014 (12y) | ||
| Patricia Dawn Hawkins | Registered representative | Aug 2014 (12y) | ||
| William Hamilton Black | Registered representative | Aug 2014 (12y) | ||
| Eduardo Vergara | Registered representative | Aug 2014 (12y) | ||
| M. Patrick Brown | Registered representative | Aug 2014 (12y) | ||
| Matthew E Dodge | Registered representative | Aug 2014 (12y) | ||
| Sean Thomas Howard | Registered representative | Aug 2014 (12y) | ||
| John Paul Infante | Registered representative | Aug 2014 (12y) | ||
| Albert Shih | Registered representative | Aug 2014 (12y) | ||
| Ashley Nichole Kaiser | Registered representative | Aug 2014 (12y) | ||
| John Anthony Benitoa | Registered representative | Aug 2014 (12y) | ||
| Josenoel Felix Dizon | Registered representative | Aug 2014 (12y) | ||
| Kelly Ann Sabella | Registered representative | Aug 2014 (12y) | ||
| Matthew Orman Littlefield | Registered representative | Aug 2014 (12y) | ||
| Ryan Christopher Brannon | Registered representative | Aug 2014 (12y) | ||
| Ryan Vincent Murphy | Registered representative | Aug 2014 (12y) | ||
| Christina Marie Duffy | Registered representative | CFP | Aug 2014 (12y) | |
| John G Eckenrode | Registered representative | Aug 2014 (12y) | ||
| Michael J Carelli | Registered representative | Aug 2014 (12y) | ||
| Barry Alan Pederson | Registered representative | Aug 2014 (12y) | ||
| Emily Helen Faust | Registered representative | Aug 2014 (12y) | ||
| Glen Warren Darby | Registered representative | Aug 2014 (12y) | ||
| Andrew Stephen Guise | Registered representative | Aug 2014 (12y) | ||
| Craig Edward Blum | Registered representative | CFP | Aug 2014 (12y) | |
| Austin Robert Delve | Registered representative | Aug 2014 (12y) | ||
| John George Dakoske | Registered representative | Aug 2014 (12y) | ||
| Matthew Albert Barnes | Registered representative | CFP | Aug 2014 (12y) | |
| Christopher John Newton | Registered representative | Aug 2014 (12y) | ||
| Joshua Stephen Tomko | Registered representative | CFP | Aug 2014 (12y) | |
| Kent Sai Leung | Registered representative | Aug 2014 (12y) | ||
| Maria A Reza | Registered representative | Aug 2014 (12y) | ||
| Adolfo Pastori | Registered representative | Aug 2014 (12y) | ||
| Charles Patrick Newman | Registered representative | Aug 2014 (12y) | ||
| Matthew T Mcgee | Registered representative | Aug 2014 (12y) | ||
| Susan Mabel Morse | Registered representative | Aug 2014 (12y) | ||
| Gregory Daniel Merrill | Registered representative | Aug 2014 (12y) | ||
| David Andrew Ostrum | Registered representative | Aug 2014 (12y) | ||
| Matthew Parker Hourigan | Registered representative | Aug 2014 (12y) | ||
| Jonathan Anderson Barter | Registered representative | Aug 2014 (12y) | ||
| Mark Joseph Worden | Registered representative | Aug 2014 (12y) | ||
| Michele Marie Backes | Registered representative | Aug 2014 (12y) | ||
| Karen Dhuyvetter | Registered representative | CFP | Aug 2014 (12y) | |
| Nicholas Alan Deidiker | Registered representative | Aug 2014 (12y) | ||
| Jonathan G Moore | Registered representative | Sep 2014 (12y) | ||
| David Bucci | Registered representative | Sep 2014 (12y) | ||
| Matthew Peter Paonessa | Registered representative | Sep 2014 (12y) | ||
| Steven Joseph Elvin | Registered representative | Sep 2014 (12y) | ||
| David Gerard Hanvey | Registered representative | Sep 2014 (12y) | ||
| Lacey J Conner | Registered representative | Sep 2014 (12y) | ||
| Adam Koyanagi | Registered representative | CFP | Sep 2014 (12y) | |
| James C Riley | Registered representative | Sep 2014 (12y) | ||
| Karin Leann Jackman | Registered representative | Sep 2014 (12y) | ||
| Randale John Honaker | Registered representative | Sep 2014 (12y) | ||
| Alexander Joseph Bartolomeo | Registered representative | Sep 2014 (12y) | ||
| Chewen Yarng | Registered representative | Sep 2014 (12y) | ||
| Kimberly Sue Gillen | Registered representative | Sep 2014 (12y) | ||
| Thomas Edward Clark | Registered representative | Sep 2014 (12y) | ||
| Kyle Michael Kozlowski | Registered representative | Sep 2014 (12y) | ||
| Mark Henry Haefele | Registered representative | Sep 2014 (12y) | ||
| Brian M Rubin | Registered representative | Sep 2014 (12y) | ||
| Rebecca Leigh Staed | Registered representative | Sep 2014 (12y) | ||
| Charles Dara Day | Registered representative | Sep 2014 (12y) | ||
| Paul J Gerardi | Registered representative | Sep 2014 (12y) | ||
| Alexandra Ida Salvatore | Registered representative | Sep 2014 (12y) | ||
| Martin Weber | Registered representative | Sep 2014 (12y) | ||
| Shilpa Gandhi | Registered representative | Oct 2014 (12y) | ||
| Vanessa L Pfaff | Registered representative | CFP | Oct 2014 (12y) | |
| Brandon Conrad Spitzer | Registered representative | CFP | Oct 2014 (12y) | |
| Ernie Walter Kloock | Registered representative | Oct 2014 (12y) | ||
| G Michael Sarlanis | Registered representative | Oct 2014 (12y) | ||
| Ryan Alexander Green | Registered representative | Oct 2014 (12y) | ||
| Helena Xu | Registered representative | Oct 2014 (12y) | ||
| Tyler Smith | Registered representative | Oct 2014 (12y) | ||
| Christopher Lynn Cannon | Registered representative | Oct 2014 (12y) | ||
| Alisa Bachana Jaffe | Registered representative | Oct 2014 (12y) | ||
| John T Lawrence | Registered representative | Oct 2014 (12y) | ||
| Marguerite Conroy Hodgkins | Registered representative | CFP | Oct 2014 (12y) | |
| Peter James Staunton | Registered representative | Oct 2014 (12y) | ||
| Danielle Brereton Bellon | Registered representative | Oct 2014 (12y) | ||
| Michael Peirce | Registered representative | Oct 2014 (12y) | ||
| Nichole Lee Kirk | Registered representative | Oct 2014 (12y) | ||
| Aleta S Ring | Registered representative | Oct 2014 (12y) | ||
| James Demetrius Kremen | Registered representative | Oct 2014 (12y) | ||
| Jennifer Gillespie Helmer | Registered representative | Oct 2014 (12y) | ||
| Elizabeth Patterson Cooper | Registered representative | Oct 2014 (12y) | ||
| Lisa Rose Meth | Registered representative | Oct 2014 (12y) | ||
| Grant Edward Tomashoff | Registered representative | Oct 2014 (12y) | ||
| Erinn Caitlin Kane | Registered representative | Oct 2014 (12y) | ||
| Kyle Kenji Yoneshige | Registered representative | Oct 2014 (12y) | ||
| Lori Ann Shizuko Ann Nishimura | Registered representative | Oct 2014 (12y) | ||
| Daniel James Hynden | Registered representative | CFP | Oct 2014 (12y) | |
| Susan Romaine | Registered representative | Oct 2014 (12y) | ||
| Gregory Frederick Butler | Registered representative | Oct 2014 (12y) | ||
| Bryan Patrick Cryder | Registered representative | CFP | Oct 2014 (12y) | |
| Jake Ross Donnenfeld | Registered representative | Oct 2014 (12y) | ||
| Maura Dillon Maness | Registered representative | Oct 2014 (12y) | ||
| Theodore T. Webster | Registered representative | Oct 2014 (12y) | ||
| Odette C Sanchez | Registered representative | Oct 2014 (12y) | ||
| Terri Riedel Manary | Registered representative | Nov 2014 (12y) | ||
| Stephanie Doane | Registered representative | Nov 2014 (12y) | ||
| Timothy Nees Bremner | Registered representative | Nov 2014 (12y) | ||
| Sarahly Ramos | Registered representative | Nov 2014 (12y) | ||
| Veronica Delgado | Registered representative | Nov 2014 (12y) | ||
| William C Einstein | Registered representative | Nov 2014 (12y) | ||
| Ralph Brailsford Wright | Registered representative | Nov 2014 (12y) | ||
| Robert Trent Ulrich | Registered representative | Nov 2014 (12y) | ||
| Scott Martin Kibler | Registered representative | Nov 2014 (12y) | ||
| John Wilson Eberhard | Registered representative | Nov 2014 (12y) | ||
| Douglas Edward Twohill | Registered representative | Nov 2014 (12y) | ||
| James Evan Hulburd | Registered representative | Nov 2014 (12y) | ||
| Kathleen A Leavey | Registered representative | Nov 2014 (12y) | ||
| Steven Gerald Scalici | Registered representative | CFP | Nov 2014 (12y) | |
| Tricia Kristin Kramer | Registered representative | Nov 2014 (12y) | ||
| Aleksandra Nigro | Registered representative | Nov 2014 (12y) | ||
| Alyssa E Maurer | Registered representative | Nov 2014 (12y) | ||
| Derek Dean Nelson | Registered representative | Nov 2014 (12y) | ||
| Jessica Nicole Wert | Registered representative | Nov 2014 (12y) | ||
| Manuel Eduardo Heredia | Registered representative | Nov 2014 (12y) | ||
| Mark David Harbaugh | Registered representative | Nov 2014 (12y) | ||
| Roberto Ruiz | Registered representative | Nov 2014 (12y) | ||
| Perry A Zeigler | Registered representative | Dec 2014 (12y) | ||
| Randale John Honaker | Registered representative | Dec 2014 (12y) | ||
| Anthony Zaccaria | Registered representative | Dec 2014 (12y) | ||
| Abelardo Clemente Sanchez | Registered representative | Dec 2014 (12y) | ||
| Bryan W Schoff | Registered representative | Dec 2014 (12y) | ||
| Frances Casey Flood | Registered representative | CFP CFA | Dec 2014 (12y) | |
| Michelle Marie Gudorf | Registered representative | Dec 2014 (12y) | ||
| David Martin Bowie | Registered representative | Dec 2014 (12y) | ||
| Jake Patrick Sodeman | Registered representative | Dec 2014 (12y) | ||
| Janine Lynn Sebik | Registered representative | Dec 2014 (12y) | ||
| John Victor Lipari | Registered representative | Dec 2014 (12y) | ||
| Nathan Radcliffe Berkoff | Registered representative | CFP | Dec 2014 (12y) | |
| Katherine M. Bachmann | Registered representative | Dec 2014 (12y) | ||
| Curtis Philip Steube | Registered representative | Dec 2014 (12y) | ||
| Leilani M Monical | Registered representative | Dec 2014 (12y) | ||
| Michael Thomas Zangoglia | Registered representative | Dec 2014 (12y) | ||
| Brad Allan Rosenberg | Registered representative | Jan 2015 (12y) | ||
| Alex M Elmore | Registered representative | Jan 2015 (12y) | ||
| Vivian Peters P Carvalho Mercuri | Registered representative | Jan 2015 (12y) | ||
| Shari S Winkelman | Registered representative | Jan 2015 (12y) | ||
| Mari Zayas Bazan | Registered representative | Jan 2015 (12y) | ||
| Kreg Ian Pearless | Registered representative | Jan 2015 (12y) | ||
| Steven Mitchell Mallah | Registered representative | Jan 2015 (12y) | ||
| Morgan Paul Hees | Registered representative | Jan 2015 (12y) | ||
| Brittany Zoe Peters | Registered representative | Jan 2015 (12y) | ||
| Craig Duncan Grant | Registered representative | Jan 2015 (12y) | ||
| Marion Albert Quina | Registered representative | CFP | Feb 2015 (11y) | |
| Isabel Oropeza | Registered representative | Feb 2015 (11y) | ||
| Janice Marie Hatlestad | Registered representative | Feb 2015 (11y) | ||
| Brian Richard Dodson | Registered representative | CFP | Feb 2015 (11y) | |
| Raul Previtali | Registered representative | Feb 2015 (11y) | ||
| William Andres Gomez Moller | Registered representative | Feb 2015 (11y) | ||
| David Carmine Cairone Jr. | Registered representative | Feb 2015 (11y) | ||
| Lance Terrell Hutchins | Registered representative | Feb 2015 (11y) | ||
| Simone S Shammai | Registered representative | Feb 2015 (11y) | ||
| Thomas Darin Drake | Registered representative | Feb 2015 (11y) | ||
| Colin Spencer Christy | Registered representative | Feb 2015 (11y) | ||
| George A. Kolodka | Registered representative | Feb 2015 (11y) | ||
| David Alan Selig | Registered representative | Feb 2015 (11y) | ||
| Deirdre N Hilario | Registered representative | Feb 2015 (11y) | ||
| Jason Bradley Friedman | Registered representative | Feb 2015 (11y) | ||
| John Frank Bruzzone | Registered representative | Feb 2015 (11y) | ||
| Leif Christian Fry | Registered representative | Feb 2015 (11y) | ||
| Mark J. John Sharkey | Registered representative | Feb 2015 (11y) | ||
| Michael Thomas Tidik | Registered representative | Feb 2015 (11y) | ||
| Todd Feiereisen | Registered representative | Feb 2015 (11y) | ||
| John Rayburn Cullinane | Registered representative | Mar 2015 (11y) | ||
| Juana Esther Caicedo Selinger | Registered representative | Mar 2015 (11y) | ||
| Daniel Anthony Violante | Registered representative | Mar 2015 (11y) | ||
| John Harrison | Registered representative | Mar 2015 (11y) | ||
| Becky Lynn Hamilton | Registered representative | Mar 2015 (11y) | ||
| Denise A. Alvarez | Registered representative | Mar 2015 (11y) | ||
| Michael Dean Mattix | Registered representative | Mar 2015 (11y) | ||
| Therese Tamagni | Registered representative | Mar 2015 (11y) | ||
| Carlos Emilio Arguello | Registered representative | Mar 2015 (11y) | ||
| Devora Tepper | Registered representative | Mar 2015 (11y) | ||
| Michael Karl Enz | Registered representative | Mar 2015 (11y) | ||
| Rogelio Eduardo Fernandez | Registered representative | Mar 2015 (11y) | ||
| Patrick Joseph Burke | Registered representative | Mar 2015 (11y) | ||
| Trammel Martin | Registered representative | Mar 2015 (11y) | ||
| Natalie M Knutson | Registered representative | Mar 2015 (11y) | ||
| Jesse James Bull | Registered representative | CFP | Mar 2015 (11y) | |
| Troy Thomas Wiebler | Registered representative | Mar 2015 (11y) | ||
| Alexandria Lorrissa Nicole Segura | Registered representative | Mar 2015 (11y) | ||
| Denis Georges Roy | Registered representative | Mar 2015 (11y) | ||
| Michael Sidney Grosse | Registered representative | Mar 2015 (11y) | ||
| Pamela Lynn Kelly | Registered representative | Mar 2015 (11y) | ||
| Ryan Satoshi Yamaguchi | Registered representative | Mar 2015 (11y) | ||
| Victoria Jean Hargrove | Registered representative | Mar 2015 (11y) | ||
| Christopher Mark Digiacomo | Registered representative | Mar 2015 (11y) | ||
| Samantha Lynn Hodgkins | Registered representative | Mar 2015 (11y) | ||
| Aubrey Liddell | Registered representative | Mar 2015 (11y) | ||
| Jon Orlando Vigi | Registered representative | Mar 2015 (11y) | ||
| Ira Karl Riner | Registered representative | Mar 2015 (11y) | ||
| Kelsey Joan J Berryman | Registered representative | Mar 2015 (11y) | ||
| Victoria A Trudeau | Registered representative | Mar 2015 (11y) | ||
| David Matthew Mitchell | Registered representative | Mar 2015 (11y) | ||
| James Edward Vicenzi | Registered representative | CFP | Mar 2015 (11y) | |
| Victoria Louisa Saylor | Registered representative | Apr 2015 (11y) | ||
| Belinda Dillard Mack | Registered representative | Apr 2015 (11y) | ||
| Nils Eugene Clark | Registered representative | CFP | Apr 2015 (11y) | |
| Michael Shane Cook | Registered representative | Apr 2015 (11y) | ||
| Quillian Levi Grindstaff | Registered representative | Apr 2015 (11y) | ||
| Harvey Elliot Demsky | Registered representative | Apr 2015 (11y) | ||
| Justin Crawford | Registered representative | Apr 2015 (11y) | ||
| Sabri Joseph Hesano | Registered representative | Apr 2015 (11y) | ||
| Vadim Pertsov | Registered representative | Apr 2015 (11y) | ||
| Ryan Elliot Small | Registered representative | Apr 2015 (11y) | ||
| Cameron S Hardy | Registered representative | Apr 2015 (11y) | ||
| Derek Joseph Glynn | Registered representative | Apr 2015 (11y) | ||
| Erika Suzanne Jimenez | Registered representative | CFP | Apr 2015 (11y) | |
| Jean Marie Oppliger | Registered representative | Apr 2015 (11y) | ||
| Marc John Georgeadis | Registered representative | Apr 2015 (11y) | ||
| Necia M Fuller | Registered representative | Apr 2015 (11y) | ||
| Scott J Kirkpatrick | Registered representative | Apr 2015 (11y) | ||
| Steven Robert Josephsen | Registered representative | Apr 2015 (11y) | ||
| Thomas Alfred Little | Registered representative | Apr 2015 (11y) | ||
| Thomas Jay Little | Registered representative | Apr 2015 (11y) | ||
| Ford Poston | Registered representative | Apr 2015 (11y) | ||
| Jason William Therrell | Registered representative | Apr 2015 (11y) | ||
| Joseph J Bartell | Registered representative | Apr 2015 (11y) | ||
| Leeder Hsu | Registered representative | CFA | Apr 2015 (11y) | |
| John Austin Alex | Registered representative | Apr 2015 (11y) | ||
| Jon Charles Vallaro | Registered representative | Apr 2015 (11y) | ||
| Luis Antonio Izaguirre | Registered representative | Apr 2015 (11y) | ||
| Frederick Spagnola | Registered representative | Apr 2015 (11y) | ||
| Christine S Sloboth | Registered representative | May 2015 (11y) | ||
| Ettore D Ventrice | Registered representative | May 2015 (11y) | ||
| Michael Allen Bober | Registered representative | May 2015 (11y) | ||
| Victor Kay Tan | Registered representative | May 2015 (11y) | ||
| Alexandre Martins Santos | Registered representative | CFP | May 2015 (11y) | |
| Daniel Paul Gerardi | Registered representative | CFP | May 2015 (11y) | |
| Michael Sean Macdonald | Registered representative | May 2015 (11y) | ||
| Seth Meir Schulder | Registered representative | May 2015 (11y) | ||
| James Patrick Mead | Registered representative | May 2015 (11y) | ||
| Scot Francis Berryman | Registered representative | CFP | May 2015 (11y) | |
| Sean Vincent Gabrio | Registered representative | May 2015 (11y) | ||
| Tina Murray Collins | Registered representative | May 2015 (11y) | ||
| Adam Daly Seperack | Registered representative | May 2015 (11y) | ||
| Kelly M Fritz | Registered representative | May 2015 (11y) | ||
| Deepak Danavar | Registered representative | May 2015 (11y) | ||
| Gregory Mark Buelet | Registered representative | May 2015 (11y) | ||
| Gustavo Adolfo Amaral | Registered representative | May 2015 (11y) | ||
| Derek Javier Hernandez | Registered representative | May 2015 (11y) | ||
| Michael Bradley Atkins | Registered representative | May 2015 (11y) | ||
| Lauren Maria Brennan | Registered representative | May 2015 (11y) | ||
| Julio Antonio Leaty | Registered representative | May 2015 (11y) | ||
| Ernest Alexander Osle | Registered representative | May 2015 (11y) | ||
| Michelle F Martini | Registered representative | May 2015 (11y) | ||
| Beatriz Leonora Cardona Adams | Registered representative | May 2015 (11y) | ||
| Ricardo Garcia | Registered representative | May 2015 (11y) | ||
| Robert Sorrentino | Registered representative | May 2015 (11y) | ||
| Charles Mcclane Roberts | Registered representative | May 2015 (11y) | ||
| Jacqueline E Reese | Registered representative | May 2015 (11y) | ||
| Shoaib Sayeedi | Registered representative | May 2015 (11y) | ||
| Conor Carey Tilow | Registered representative | May 2015 (11y) | ||
| David Edward Schoen | Registered representative | CFP | May 2015 (11y) | |
| Jeffrey John Hill | Registered representative | May 2015 (11y) | ||
| Troy Anderson Anderson Debord | Registered representative | CFA | Jun 2015 (11y) | |
| Daniel Robert Merians | Registered representative | Jun 2015 (11y) | ||
| Karen Maile Strickland | Registered representative | CFP | Jun 2015 (11y) | |
| Robert J Meenan | Registered representative | Jun 2015 (11y) | ||
| Shlomi Yedid | Registered representative | Jun 2015 (11y) | ||
| Stephen Ellms Darby | Registered representative | Jun 2015 (11y) | ||
| Kyle J. Rolfes | Registered representative | Jun 2015 (11y) | ||
| Ben Philip Tucker | Registered representative | Jun 2015 (11y) | ||
| Frederick Paynter Burrows | Registered representative | Jun 2015 (11y) | ||
| Justin Matthew Henck | Registered representative | Jun 2015 (11y) | ||
| Timothy S Johnson | Registered representative | Jun 2015 (11y) | ||
| Meghan M. Bradish | Registered representative | Jun 2015 (11y) | ||
| Tyler Lee Judkins | Registered representative | Jun 2015 (11y) | ||
| Robert Spina Jr. | Registered representative | Jun 2015 (11y) | ||
| Eric B. B Soos | Registered representative | Jun 2015 (11y) | ||
| Steven Thomas Horky | Registered representative | Jun 2015 (11y) | ||
| Gerard George Caswell | Registered representative | Jun 2015 (11y) | ||
| Jeffrey Paul Farah | Registered representative | Jun 2015 (11y) | ||
| Lauren Histon | Registered representative | Jun 2015 (11y) | ||
| Gina Lucero Sanchez Calderon | Registered representative | Jun 2015 (11y) | ||
| Edward Michael Brennan | Registered representative | Jun 2015 (11y) | ||
| Michael D. Brooks | Registered representative | Jun 2015 (11y) | ||
| Jody Lynn Wright | Registered representative | Jun 2015 (11y) | ||
| Justin Cole Steil | Registered representative | Jun 2015 (11y) | ||
| Neil Roy Rubin | Registered representative | Jun 2015 (11y) | ||
| Andrew Nicholas Greenspan | Registered representative | Jun 2015 (11y) | ||
| Frank Samuel Walter | Registered representative | Jun 2015 (11y) | ||
| Jordan Storer Mahaffey | Registered representative | Jun 2015 (11y) | ||
| Antonio Kenneth Cotton | Registered representative | Jun 2015 (11y) | ||
| Chad Allan Mccullough | Registered representative | Jun 2015 (11y) | ||
| John Tyler Hutchens | Registered representative | Jun 2015 (11y) | ||
| John Ryan | Registered representative | CFP | Jul 2015 (11y) | |
| Susan H Parrish | Registered representative | Jul 2015 (11y) | ||
| William Farley O'brien | Registered representative | Jul 2015 (11y) | ||
| Dustin James Neumann | Registered representative | Jul 2015 (11y) | ||
| Christopher Schueller Moorman | Registered representative | CFP | Jul 2015 (11y) | |
| David Michael Wardrop | Registered representative | Jul 2015 (11y) | ||
| Hunter Leigh Wynne | Registered representative | Jul 2015 (11y) | ||
| Jordan Wayne Baron | Registered representative | Jul 2015 (11y) | ||
| Martha Julia Wislocki | Registered representative | Jul 2015 (11y) | ||
| Miriamne Alayne Demarrais | Registered representative | Jul 2015 (11y) | ||
| Roscoe Edward Mellor | Registered representative | Jul 2015 (11y) | ||
| William Montgomery Cerf | Registered representative | Jul 2015 (11y) | ||
| Brandi Lee Jones | Registered representative | Jul 2015 (11y) | ||
| Megan A Ornelas | Registered representative | Jul 2015 (11y) | ||
| Renee Elizabeth Curtis | Registered representative | Jul 2015 (11y) | ||
| Felipe Siqueira Faulin | Registered representative | Jul 2015 (11y) | ||
| Hugh Scott Nevin | Registered representative | Jul 2015 (11y) | ||
| Matthew Jeffrey Mehallick | Registered representative | Jul 2015 (11y) | ||
| Kelly Elizabeth Varnum | Registered representative | Jul 2015 (11y) | ||
| Blair Cannon | Registered representative | Jul 2015 (11y) | ||
| Edward Gerard Peck | Registered representative | Jul 2015 (11y) | ||
| Pieter Nathaniel Nova | Registered representative | Jul 2015 (11y) | ||
| Brian David Frey | Registered representative | Jul 2015 (11y) | ||
| Lawrence Andrew Glickstein | Registered representative | Jul 2015 (11y) | ||
| Michael Paul York | Registered representative | Jul 2015 (11y) | ||
| Victoria Lynn Gottlieb | Registered representative | Jul 2015 (11y) | ||
| Alan Robert Culiner | Registered representative | Jul 2015 (11y) | ||
| Annette M Smith | Registered representative | Jul 2015 (11y) | ||
| John Zachary Moyle | Registered representative | Jul 2015 (11y) | ||
| Nicholas Peter Kaldis | Registered representative | Aug 2015 (11y) | ||
| Gerald F Demeo | Registered representative | Aug 2015 (11y) | ||
| James Gregory Egnatchik | Registered representative | Aug 2015 (11y) | ||
| Jay Scott Blair | Registered representative | Aug 2015 (11y) | ||
| Wyatt R Arthurs | Registered representative | CFP | Aug 2015 (11y) | |
| Karyn A Dallas | Registered representative | Aug 2015 (11y) | ||
| Evan Jordan Kresman | Registered representative | CFP | Aug 2015 (11y) | |
| Miguel Edward Hennessy | Registered representative | Aug 2015 (11y) | ||
| Megan Lee Watts | Registered representative | Aug 2015 (11y) | ||
| Chiung Yi Chiu | Registered representative | Aug 2015 (11y) | ||
| Jennifer Marie Walter | Registered representative | Aug 2015 (11y) | ||
| Melissa Jane Hillebrand | Registered representative | Aug 2015 (11y) | ||
| Norberto Quirno Costa | Registered representative | Aug 2015 (11y) | ||
| Dawn Marie Aquilina | Registered representative | Aug 2015 (11y) | ||
| Joshua Edward Edward Grabel | Registered representative | Aug 2015 (11y) | ||
| Brett Andrew Goldstein | Registered representative | Aug 2015 (11y) | ||
| Dante Oriente | Registered representative | Aug 2015 (11y) | ||
| Wendy Kester | Registered representative | Aug 2015 (11y) | ||
| Ashley Waddington Hartley | Registered representative | Aug 2015 (11y) | ||
| Jeffrey Lane Hogue | Registered representative | CFP | Aug 2015 (11y) | |
| Jeffrey S Rizzo | Registered representative | Aug 2015 (11y) | ||
| Amanda Evans L Field | Registered representative | Aug 2015 (11y) | ||
| Kirk Alton Ruth | Registered representative | Aug 2015 (11y) | ||
| Michael Craig Carr | Registered representative | Aug 2015 (11y) | ||
| Shannon Lee Appleby | Registered representative | Aug 2015 (11y) | ||
| Joseph Mario Esposito | Registered representative | Aug 2015 (11y) | ||
| Julianna J. Miller | Registered representative | Aug 2015 (11y) | ||
| Byron Thomas Sheffield | Registered representative | Aug 2015 (11y) | ||
| Jamee F Rush | Registered representative | Aug 2015 (11y) | ||
| Wesley James Sutton | Registered representative | Aug 2015 (11y) | ||
| Emilio Arguello | Registered representative | Aug 2015 (11y) | ||
| Nancy Ann Bohan | Registered representative | Aug 2015 (11y) | ||
| Thomas Michael Higgins | Registered representative | CFP | Aug 2015 (11y) | |
| Lisa Highfil | Registered representative | Aug 2015 (11y) | ||
| William Liu Jr. | Registered representative | Aug 2015 (11y) | ||
| Byron Brooks | Registered representative | Aug 2015 (11y) | ||
| Marc Alex Frank | Registered representative | Aug 2015 (11y) | ||
| Naveed Adam Ahmady | Registered representative | Aug 2015 (11y) | ||
| Kelsey Marshall Shive | Registered representative | Sep 2015 (11y) | ||
| Tina Lucia Arpaia Mccann | Registered representative | Sep 2015 (11y) | ||
| Alexander Duncan Mccrohan | Registered representative | Sep 2015 (11y) | ||
| Amy Beth Castar | Registered representative | Sep 2015 (11y) | ||
| Bjorn Eric Koch | Registered representative | Sep 2015 (11y) | ||
| Catherine Ann Brown | Registered representative | Sep 2015 (11y) | ||
| Eric Hoertdoerfer | Registered representative | Sep 2015 (11y) | ||
| Gil Douek | Registered representative | Sep 2015 (11y) | ||
| John P Rufo | Registered representative | Sep 2015 (11y) | ||
| James Bernard Lipari | Registered representative | CFP | Sep 2015 (11y) | |
| Sommer Maher Arekat | Registered representative | Sep 2015 (11y) | ||
| Ashley Lynn Bourne | Registered representative | Sep 2015 (11y) | ||
| Baran Burak Koksal | Registered representative | Sep 2015 (11y) | ||
| Damien James Supple | Registered representative | Sep 2015 (11y) | ||
| Matthew Edward Weeks | Registered representative | Sep 2015 (11y) | ||
| Thomas Michael Orourke | Registered representative | Sep 2015 (11y) | ||
| Alexander Trifon Savinar | Registered representative | Sep 2015 (11y) | ||
| James Nathaniel Parker | Registered representative | Sep 2015 (11y) | ||
| Tasha Leigh Bremel | Registered representative | Sep 2015 (11y) | ||
| Daniel Robert Franco | Registered representative | Sep 2015 (11y) | ||
| Emilio Macatangay Macatanagay Valdes | Registered representative | Sep 2015 (11y) | ||
| Patricia Georgia French | Registered representative | Sep 2015 (11y) | ||
| Philip Lucien Pleasants | Registered representative | Sep 2015 (11y) | ||
| Robert R Senter | Registered representative | Sep 2015 (11y) | ||
| Dave William Lubkemann | Registered representative | Sep 2015 (11y) | ||
| Mark Richard French | Registered representative | Sep 2015 (11y) | ||
| Nichole Elizabeth Elizabeth Adams | Registered representative | Sep 2015 (11y) | ||
| Patrick Ryan Mcculler | Registered representative | Sep 2015 (11y) | ||
| Ronald Ian Goldgewert | Registered representative | Sep 2015 (11y) | ||
| Brian Jay Gold | Registered representative | Sep 2015 (11y) | ||
| Lance Dane Martin | Registered representative | Sep 2015 (11y) | ||
| Lindsay Jens Jens Deklerk | Registered representative | Sep 2015 (11y) | ||
| Manuel Steven Cornelio | Registered representative | Sep 2015 (11y) | ||
| Rickey J Degangi | Registered representative | Sep 2015 (11y) | ||
| Daniel Ari Levy | Registered representative | Sep 2015 (11y) | ||
| Gregory Charles Charles Richardson | Registered representative | Sep 2015 (11y) | ||
| Melissa Corrado Harrison | Registered representative | Sep 2015 (11y) | ||
| Ronald Charles Charles Kemp | Registered representative | Sep 2015 (11y) | ||
| Chase Martin Dickens | Registered representative | Sep 2015 (11y) | ||
| David Aaron Slote | Registered representative | Sep 2015 (11y) | ||
| Jason Gamio | Registered representative | Sep 2015 (11y) | ||
| Todd Arthur Johnson | Registered representative | Sep 2015 (11y) | ||
| William Donald Jackson | Registered representative | Sep 2015 (11y) | ||
| Kyle Fredrick Lustenberger | Registered representative | Sep 2015 (11y) | ||
| Richard B Kaufman | Registered representative | Sep 2015 (11y) | ||
| Jennifer Povlitz | Registered representative | Sep 2015 (11y) | ||
| Stephen Dikeman Reed | Registered representative | Sep 2015 (11y) | ||
| Christopher J Duffy | Registered representative | Oct 2015 (11y) | ||
| Richard Joseph Cantwell | Registered representative | Oct 2015 (11y) | ||
| Stephen Joseph Michael | Registered representative | Oct 2015 (11y) | ||
| Julie Ann Choy | Registered representative | Oct 2015 (11y) | ||
| Xi Qiao | Registered representative | Oct 2015 (11y) | ||
| Alexander Ross Kennedy | Registered representative | Oct 2015 (11y) | ||
| Daniel William Monahan | Registered representative | Oct 2015 (11y) | ||
| Kevin J Wilson | Registered representative | Oct 2015 (11y) | ||
| Robert Micheal Stringer | Registered representative | Oct 2015 (11y) | ||
| Ryan Ying Nam Cheng | Registered representative | Oct 2015 (11y) | ||
| Brian John Dejoy | Registered representative | Oct 2015 (11y) | ||
| Joyce Katherine Witt | Registered representative | Oct 2015 (11y) | ||
| Paul George Atkinson | Registered representative | Oct 2015 (11y) | ||
| Eric Scott Singer | Registered representative | Oct 2015 (11y) | ||
| Jon E Elvin Hawk | Registered representative | Oct 2015 (11y) | ||
| Christine Marie Shreeve | Registered representative | Oct 2015 (11y) | ||
| Kyle Ashley Frederickson | Registered representative | Oct 2015 (11y) | ||
| Kevin Dennean | Registered representative | CFA | Oct 2015 (11y) | |
| Patrick Francis Duff | Registered representative | Oct 2015 (11y) | ||
| Steven Edward Callahan | Registered representative | Oct 2015 (11y) | ||
| Andrew Jacob Lange | Registered representative | Oct 2015 (11y) | ||
| Emily George Hubb | Registered representative | Oct 2015 (11y) | ||
| Mark Alexander Wilkins | Registered representative | Oct 2015 (11y) | ||
| Paul Renner | Registered representative | Oct 2015 (11y) | ||
| J Patrick Fitzpatrick | Registered representative | Oct 2015 (11y) | ||
| Briana Creel | Registered representative | Oct 2015 (11y) | ||
| Lechelle Lee Moore | Registered representative | CFP | Oct 2015 (11y) | |
| Lindsey M Arnold | Registered representative | Oct 2015 (11y) | ||
| Katia J Delgado | Registered representative | Oct 2015 (11y) | ||
| Lauren A Castan | Registered representative | Oct 2015 (11y) | ||
| Xiao Chun Yu | Registered representative | Oct 2015 (11y) | ||
| Andrea Michelle Webb | Registered representative | Oct 2015 (11y) | ||
| Rafael Santiago Williamson | Registered representative | Oct 2015 (11y) | ||
| James Ryan Nastasi | Registered representative | Oct 2015 (11y) | ||
| John Gray Mann | Registered representative | Oct 2015 (11y) | ||
| Aaron Najee Fant | Registered representative | Oct 2015 (11y) | ||
| Austin Dakota Engros | Registered representative | Oct 2015 (11y) | ||
| Bernard Edward Ownby | Registered representative | Oct 2015 (11y) | ||
| Charles B Hulley | Registered representative | Oct 2015 (11y) | ||
| Eric Tyler Vishnevetsky | Registered representative | Oct 2015 (11y) | ||
| Joseph William Papandrea | Registered representative | Oct 2015 (11y) | ||
| Nicholas Steven Rivera | Registered representative | Oct 2015 (11y) | ||
| Nina L Shapero | Registered representative | Oct 2015 (11y) | ||
| Alexander Dowd Armstrong | Registered representative | Oct 2015 (11y) | ||
| Cynthia Tung | Registered representative | Nov 2015 (11y) | ||
| Hsin Yen Sunny Neilon | Registered representative | Nov 2015 (11y) | ||
| Hsiu Hsin Yao | Registered representative | Nov 2015 (11y) | ||
| Lacey A. Thurner | Registered representative | CFP | Nov 2015 (11y) | |
| Maria Stathakis | Registered representative | Nov 2015 (11y) | ||
| Brian Scott Schimpf | Registered representative | Nov 2015 (11y) | ||
| Michael Parker Sherman | Registered representative | Nov 2015 (11y) | ||
| Justin D Warzala | Registered representative | Nov 2015 (11y) | ||
| Sandra Helene Bantien | Registered representative | Nov 2015 (11y) | ||
| Brent Allan Sawrie | Registered representative | Nov 2015 (11y) | ||
| Andrew Thomas Windschitl | Registered representative | Nov 2015 (11y) | ||
| Paul R Coyner | Registered representative | Nov 2015 (11y) | ||
| Thomas Edward Humphreys | Registered representative | Nov 2015 (11y) | ||
| Alexandra M Murphy | Registered representative | Nov 2015 (11y) | ||
| Andrea B Bevis | Registered representative | Nov 2015 (11y) | ||
| Carol Marie Bohmbach | Registered representative | Nov 2015 (11y) | ||
| Cheryle Lynne Schmidt | Registered representative | Nov 2015 (11y) | ||
| Christina Ann Sonnier Smith | Registered representative | Nov 2015 (11y) | ||
| Christopher Robert Black | Registered representative | Nov 2015 (11y) | ||
| Daryl Mckean Allen | Registered representative | Nov 2015 (11y) | ||
| Eric Bruce Miller | Registered representative | Nov 2015 (11y) | ||
| Frank O'brien Hogan | Registered representative | Nov 2015 (11y) | ||
| Jason Craig Holland | Registered representative | Nov 2015 (11y) | ||
| Jeremy Seidman | Registered representative | Nov 2015 (11y) | ||
| Kevin Allen Gaunt | Registered representative | Nov 2015 (11y) | ||
| Langston Wilcox Turner | Registered representative | Nov 2015 (11y) | ||
| Matt Robert Cavanagh | Registered representative | Nov 2015 (11y) | ||
| Michael William Green | Registered representative | Nov 2015 (11y) | ||
| Robert Parker Stoner | Registered representative | Nov 2015 (11y) | ||
| Sandra Marie Davis | Registered representative | Nov 2015 (11y) | ||
| William Word Huthnance | Registered representative | Nov 2015 (11y) | ||
| Jeffery Allen Wiese | Registered representative | CFP | Nov 2015 (11y) | |
| William Dexter Stoner | Registered representative | Nov 2015 (11y) | ||
| Alexander Victor Martinelli | Registered representative | Nov 2015 (11y) | ||
| Jonathan Joseph Galli | Registered representative | Nov 2015 (11y) | ||
| Aileen Joohyun So | Registered representative | Nov 2015 (11y) | ||
| Andrew Joseph Vincelli | Registered representative | Nov 2015 (11y) | ||
| Douglas Benton Prezzano | Registered representative | Nov 2015 (11y) | ||
| Marcia Elizabeth Nelson | Registered representative | Nov 2015 (11y) | ||
| Ronda Michelle Schleicher | Registered representative | Nov 2015 (11y) | ||
| Terry Earl Allen | Registered representative | Nov 2015 (11y) | ||
| Angela D Bentley | Registered representative | Nov 2015 (11y) | ||
| Casey Thomas Schurwon | Registered representative | CFP | Nov 2015 (11y) | |
| Eric Andrew Wittenberg | Registered representative | Nov 2015 (11y) | ||
| Eric Todd Schwam | Registered representative | Nov 2015 (11y) | ||
| Gerard Joseph Costello | Registered representative | Nov 2015 (11y) | ||
| Kaitlyn Jones | Registered representative | CFP | Nov 2015 (11y) | |
| Lauren I Brandel | Registered representative | Nov 2015 (11y) | ||
| Leah Margaret Tribe | Registered representative | Nov 2015 (11y) | ||
| Matthew Stern Buchsbaum | Registered representative | Nov 2015 (11y) | ||
| Michael Andrew Lorenzo | Registered representative | Nov 2015 (11y) | ||
| Noah R Friedman | Registered representative | Nov 2015 (11y) | ||
| Scott Michael Rosenberg | Registered representative | Nov 2015 (11y) | ||
| Sonia Maria Attkiss | Registered representative | Nov 2015 (11y) | ||
| Stuart Soule Collett | Registered representative | Nov 2015 (11y) | ||
| Thomas L Johnson | Registered representative | Nov 2015 (11y) | ||
| Wendy Holmes | Registered representative | Nov 2015 (11y) | ||
| Whitney M Birtwell | Registered representative | Nov 2015 (11y) | ||
| Chad J Torelli | Registered representative | Nov 2015 (11y) | ||
| Christopher Todd Wagner | Registered representative | Nov 2015 (11y) | ||
| Heinz Jaeggi | Registered representative | Nov 2015 (11y) | ||
| James E Kennedy | Registered representative | Nov 2015 (11y) | ||
| John Tracy Pruess | Registered representative | Nov 2015 (11y) | ||
| Kurt Elliott Maier | Registered representative | Nov 2015 (11y) | ||
| Maria Ferrante | Registered representative | Nov 2015 (11y) | ||
| Nicholas Brine Finn | Registered representative | Nov 2015 (11y) | ||
| Patrick Joos | Registered representative | Nov 2015 (11y) | ||
| Robert Benjamin Perlman | Registered representative | Nov 2015 (11y) | ||
| Roger Wacker | Registered representative | Nov 2015 (11y) | ||
| Roxanne Kathleen Kroll | Registered representative | Nov 2015 (11y) | ||
| Stefan Felix Lendi | Registered representative | Nov 2015 (11y) | ||
| Gabriel Jacob Cooperman | Registered representative | Nov 2015 (11y) | ||
| Jacob Schori | Registered representative | Nov 2015 (11y) | ||
| Juan Eugenio Gonzaga De La Rama | Registered representative | Nov 2015 (11y) | ||
| Kevin Joseph Ruther | Registered representative | Nov 2015 (11y) | ||
| Leslie Jo Evert | Registered representative | Nov 2015 (11y) | ||
| Rasheeda Rhon Brix | Registered representative | Nov 2015 (11y) | ||
| Timothy Joseph Croak | Registered representative | Nov 2015 (11y) | ||
| Christopher Jerome Lala | Registered representative | Nov 2015 (11y) | ||
| David P Paul Sobocinski | Registered representative | Nov 2015 (11y) | ||
| Jake William Huff | Registered representative | Nov 2015 (11y) | ||
| Mark Edward Ledonne | Registered representative | Nov 2015 (11y) | ||
| Michael Jay Renegar | Registered representative | Nov 2015 (11y) | ||
| Ryan Patrick Casey | Registered representative | Nov 2015 (11y) | ||
| Yupan Wen | Registered representative | Nov 2015 (11y) | ||
| Juan Manuel Diez De Bonilla | Registered representative | Nov 2015 (11y) | ||
| Darby Lynne Jones | Registered representative | Nov 2015 (11y) | ||
| Jennifer Ho | Registered representative | Nov 2015 (11y) | ||
| Kenneth Joseph Rinehart | Registered representative | Nov 2015 (11y) | ||
| Matthew J Mcauliffe | Registered representative | Nov 2015 (11y) | ||
| P Timothy Connolly | Registered representative | Nov 2015 (11y) | ||
| Randall Guy Colombo | Registered representative | Nov 2015 (11y) | ||
| Alax Gittler | Registered representative | Dec 2015 (11y) | ||
| Anthony Joseph Unruh | Registered representative | Dec 2015 (11y) | ||
| Bradley Edward Roberts | Registered representative | Dec 2015 (11y) | ||
| Brent Lane | Registered representative | Dec 2015 (11y) | ||
| Hilton Lee Bloodworth | Registered representative | CFP | Dec 2015 (11y) | |
| Meryl Debra Benyunes Spigelman | Registered representative | Dec 2015 (11y) | ||
| Richard Joseph Dellarusso | Registered representative | Dec 2015 (11y) | ||
| Alice W. Chan | Registered representative | Dec 2015 (11y) | ||
| Allen Abney | Registered representative | Dec 2015 (11y) | ||
| Andrew Gerard Dempsey | Registered representative | Dec 2015 (11y) | ||
| Anthony John O'callaghan | Registered representative | Dec 2015 (11y) | ||
| Daniel Mccarthy | Registered representative | Dec 2015 (11y) | ||
| Donald J Dever | Registered representative | Dec 2015 (11y) | ||
| Enrique Stieglitz | Registered representative | Dec 2015 (11y) | ||
| Gerald O'niell Mcginley | Registered representative | Dec 2015 (11y) | ||
| Mitchell Riesenberger | Registered representative | Dec 2015 (11y) | ||
| Ryan Thomas Berube | Registered representative | CFP | Dec 2015 (11y) | |
| Simon Alexander Clarke | Registered representative | Dec 2015 (11y) | ||
| Carolyn Ann Asencio | Registered representative | Dec 2015 (11y) | ||
| David William Greenman | Registered representative | Dec 2015 (11y) | ||
| Elizabeth Anne Mahr | Registered representative | Dec 2015 (11y) | ||
| Eric Philip Berger | Registered representative | Dec 2015 (11y) | ||
| Gretchen Gatesman Fowler | Registered representative | Dec 2015 (11y) | ||
| Joanne Y Zhong | Registered representative | Dec 2015 (11y) | ||
| Michael Aaron Guild | Registered representative | Dec 2015 (11y) | ||
| Pema Choki Lakar | Registered representative | Dec 2015 (11y) | ||
| Adam F Epstein | Registered representative | Dec 2015 (11y) | ||
| Alan Gregory Shanken | Registered representative | Dec 2015 (11y) | ||
| Christopher Maurice Laver | Registered representative | Dec 2015 (11y) | ||
| Gregory Scott Sieber | Registered representative | Dec 2015 (11y) | ||
| Jessica Polkow Lite | Registered representative | Dec 2015 (11y) | ||
| Scott A Metzinger | Registered representative | CFP | Dec 2015 (11y) | |
| Suzette Clariza Callejo | Registered representative | Dec 2015 (11y) | ||
| Thaddeus M Eckerle | Registered representative | Dec 2015 (11y) | ||
| Benjamin Jun Wey Ling | Registered representative | Dec 2015 (11y) | ||
| Chase Wright Landreth | Registered representative | Dec 2015 (11y) | ||
| Gordon Thomas Greer | Registered representative | Dec 2015 (11y) | ||
| Jeffrey Allan Karitis | Registered representative | Dec 2015 (11y) | ||
| Chad Horetski | Registered representative | Dec 2015 (11y) | ||
| Christopher R Mccormick | Registered representative | Dec 2015 (11y) | ||
| Evan Fuwen Ling | Registered representative | Dec 2015 (11y) | ||
| Geir Fjugstad | Registered representative | Dec 2015 (11y) | ||
| Jeffrey Robert Moster | Registered representative | Dec 2015 (11y) | ||
| Jose Joaquin Rodriguez Villalobos | Registered representative | Dec 2015 (11y) | ||
| Matthew Thomas Norwood | Registered representative | Dec 2015 (11y) | ||
| Samantha W. Green | Registered representative | Dec 2015 (11y) | ||
| Timothy Alan Dod | Registered representative | Dec 2015 (11y) | ||
| Alexander Brooks Cass | Registered representative | Dec 2015 (11y) | ||
| Justin Michael Pugh | Registered representative | Dec 2015 (11y) | ||
| Micaela Anne Murphy | Registered representative | Dec 2015 (11y) | ||
| Michael Wayne Olmsted | Registered representative | Dec 2015 (11y) | ||
| Sarah Bornemann Flaman | Registered representative | Dec 2015 (11y) | ||
| James Ingoe | Registered representative | Dec 2015 (11y) | ||
| John Kwang | Registered representative | Dec 2015 (11y) | ||
| Vilma Isabel Chuy | Registered representative | Dec 2015 (11y) | ||
| Christopher Adam Farish | Registered representative | Dec 2015 (11y) | ||
| Patrick Joseph Filice | Registered representative | Dec 2015 (11y) | ||
| Robert B. Wright | Registered representative | Dec 2015 (11y) | ||
| Maria Fernanda Castro | Registered representative | Dec 2015 (11y) | ||
| Jeremy Marshall Nelson | Registered representative | Dec 2015 (11y) | ||
| Lindsay Belton Paugh | Registered representative | Dec 2015 (11y) | ||
| John Andrew Cochrane | Registered representative | Dec 2015 (11y) | ||
| Alexandra Sitton Jamieson | Registered representative | CFP | Dec 2015 (11y) | |
| Lori Burst Lacoste | Registered representative | Dec 2015 (11y) | ||
| Traci Adaire Taylor | Registered representative | Dec 2015 (11y) | ||
| Stephen Michael Lafata | Registered representative | Dec 2015 (11y) | ||
| Alexis M. George | Registered representative | Dec 2015 (11y) | ||
| Bonnie Wong Wong Van Vliet | Registered representative | Dec 2015 (11y) | ||
| Michael Carlisle Dawson | Registered representative | Dec 2015 (11y) | ||
| Juan Chen,Juan Chung Chen | Registered representative | Dec 2015 (11y) | ||
| Suzanne Marie Frazier | Registered representative | Dec 2015 (11y) | ||
| Michael Charles Wasserman | Registered representative | Jan 2016 (11y) | ||
| Cees Jan Van Hoek | Registered representative | Jan 2016 (11y) | ||
| Christopher Leo Herlihy | Registered representative | Jan 2016 (11y) | ||
| John Michael Moss | Registered representative | Jan 2016 (11y) | ||
| Brian Edmund Belak | Registered representative | Jan 2016 (11y) | ||
| Patricia Rose Callahan Shular | Registered representative | Jan 2016 (11y) | ||
| Lori Suzanne Robinson | Registered representative | Jan 2016 (11y) | ||
| Michael Anton Del Vecchio | Registered representative | Jan 2016 (11y) | ||
| Stephen Andres | Registered representative | Jan 2016 (11y) | ||
| Rafael Amilcar Castillo | Registered representative | Jan 2016 (11y) | ||
| Christopher Twombly | Registered representative | Jan 2016 (11y) | ||
| Philip D Topacio | Registered representative | Jan 2016 (11y) | ||
| Veronica Lizeth Lizeth Montalvo | Registered representative | Jan 2016 (11y) | ||
| Adam Paul Rogers | Registered representative | Jan 2016 (11y) | ||
| Michael Clark Bishop | Registered representative | Jan 2016 (11y) | ||
| Daniel Matthew Zucker | Registered representative | Jan 2016 (11y) | ||
| Rachel A. Arendt | Registered representative | Jan 2016 (11y) | ||
| Wade Gabriel Kornblith | Registered representative | Jan 2016 (11y) | ||
| Anaveli A Rodriguez | Registered representative | Jan 2016 (11y) | ||
| Anthony Louis Cerino | Registered representative | Jan 2016 (11y) | ||
| David Harold Hollenbaugh | Registered representative | Jan 2016 (11y) | ||
| James Jin Paine | Registered representative | Jan 2016 (11y) | ||
| Kevin Chauvin | Registered representative | Jan 2016 (11y) | ||
| Sean Jermaine Campbell | Registered representative | Jan 2016 (11y) | ||
| Wayne Julius Safro | Registered representative | Jan 2016 (11y) | ||
| Allison B. Mccartney | Registered representative | Jan 2016 (11y) | ||
| Arlene Teresa Mendez Nouel | Registered representative | Jan 2016 (11y) | ||
| Barry Francis Cavagnaro | Registered representative | Jan 2016 (11y) | ||
| Deann Sandra Cavagnaro | Registered representative | Jan 2016 (11y) | ||
| Michele Litwinski | Registered representative | Jan 2016 (11y) | ||
| Todd Joseph Donato | Registered representative | Jan 2016 (11y) | ||
| Franklin Carlyle Tiller | Registered representative | CFP | Jan 2016 (11y) | |
| April A. Fisher | Registered representative | Jan 2016 (11y) | ||
| Jennifer L Snow | Registered representative | Jan 2016 (11y) | ||
| Susan Z Bonerbo | Registered representative | Jan 2016 (11y) | ||
| David Ray Barnes | Registered representative | Jan 2016 (11y) | ||
| Jeffrey Steven Schweighoffer | Registered representative | CFP | Jan 2016 (11y) | |
| Lyle Vincent Monteserrato | Registered representative | Jan 2016 (11y) | ||
| Stephen Richard Cordill | Registered representative | Jan 2016 (11y) | ||
| Anna Grace Rodisel | Registered representative | Jan 2016 (11y) | ||
| Christopher Taylor Gallo | Registered representative | Feb 2016 (10y) | ||
| Javier Luis Briceno | Registered representative | Feb 2016 (10y) | ||
| Ryan Donald Betz | Registered representative | Feb 2016 (10y) | ||
| Edward Joseph Mcdevitt Iii | Registered representative | Feb 2016 (10y) | ||
| Norman Abraham Epstein | Registered representative | Feb 2016 (10y) | ||
| Alan Jon Watson | Registered representative | Feb 2016 (10y) | ||
| Claudine Marie Choquette | Registered representative | Feb 2016 (10y) | ||
| Jordan Miles Silverman | Registered representative | Feb 2016 (10y) | ||
| Thomas William Ladd | Registered representative | Feb 2016 (10y) | ||
| Jamie Cohen | Registered representative | Feb 2016 (10y) | ||
| Lisa Anne Siradas | Registered representative | Feb 2016 (10y) | ||
| Paul Gerard Vandenheuvel | Registered representative | Feb 2016 (10y) | ||
| Hsueh Sheng Su | Registered representative | Feb 2016 (10y) | ||
| Joseph Stephen Hilger | Registered representative | Feb 2016 (10y) | ||
| Robin Demitrius Anderson | Registered representative | Feb 2016 (10y) | ||
| Marcey Ann Hess | Registered representative | Feb 2016 (10y) | ||
| James Arthur Warta | Registered representative | Feb 2016 (10y) | ||
| Alberto Rafuls | Registered representative | Feb 2016 (10y) | ||
| Daniel Kaiser | Registered representative | Feb 2016 (10y) | ||
| Edward Ashur Samano | Registered representative | Feb 2016 (10y) | ||
| Michael Benjamin Sanford | Registered representative | Feb 2016 (10y) | ||
| Ryan P Callahan | Registered representative | Feb 2016 (10y) | ||
| Steven Ephrem Kaiser | Registered representative | Feb 2016 (10y) | ||
| Cody Nesbitt | Registered representative | Feb 2016 (10y) | ||
| Gabriel D'amica | Registered representative | Feb 2016 (10y) | ||
| Gregory Bryant Alford | Registered representative | Feb 2016 (10y) | ||
| Michael Robert Brown | Registered representative | Feb 2016 (10y) | ||
| Michelle Jeannette Rose | Registered representative | Feb 2016 (10y) | ||
| Scott Hajenian Hiles | Registered representative | CFP | Feb 2016 (10y) | |
| Antonio Giorgetti | Registered representative | Mar 2016 (10y) | ||
| Mark Jay Freiberg | Registered representative | Mar 2016 (10y) | ||
| May C Chong | Registered representative | Mar 2016 (10y) | ||
| Tatiane Miglorini Minetti | Registered representative | Mar 2016 (10y) | ||
| Kelley Sue Edwards | Registered representative | Mar 2016 (10y) | ||
| Amit Pravin Trivedi | Registered representative | Mar 2016 (10y) | ||
| Annette Starling | Registered representative | Mar 2016 (10y) | ||
| Daisy A Feng | Registered representative | Mar 2016 (10y) | ||
| Steven M Quinn | Registered representative | CFP | Mar 2016 (10y) | |
| David Alan Melby | Registered representative | Mar 2016 (10y) | ||
| Francisco Gabriel Folle | Registered representative | Mar 2016 (10y) | ||
| Marcantonio Lamberto Tecchio | Registered representative | Mar 2016 (10y) | ||
| Nicholas Michael Wilsens | Registered representative | Mar 2016 (10y) | ||
| Andrew P Mclaughlin | Registered representative | Mar 2016 (10y) | ||
| Chelsea Vingoe | Registered representative | Mar 2016 (10y) | ||
| Colton Joel Helbig | Registered representative | Mar 2016 (10y) | ||
| James Michael New | Registered representative | Mar 2016 (10y) | ||
| Jenny Wang | Registered representative | Mar 2016 (10y) | ||
| Max Stoka | Registered representative | Mar 2016 (10y) | ||
| Rodny Baez | Registered representative | Mar 2016 (10y) | ||
| Zachary Blackman | Registered representative | Mar 2016 (10y) | ||
| Karen Irene Spink | Registered representative | Mar 2016 (10y) | ||
| Amanda Sue Helwig | Registered representative | Mar 2016 (10y) | ||
| Brett Christian Mower | Registered representative | Mar 2016 (10y) | ||
| David Allan Hirsch | Registered representative | Mar 2016 (10y) | ||
| James C Kelly | Registered representative | Mar 2016 (10y) | ||
| Timothy E Gallagher | Registered representative | Mar 2016 (10y) | ||
| Allison Katherine Obrien | Registered representative | Mar 2016 (10y) | ||
| Francis Yiutung Chan | Registered representative | Mar 2016 (10y) | ||
| Julia Wan | Registered representative | Mar 2016 (10y) | ||
| Daphne Chi | Registered representative | Mar 2016 (10y) | ||
| Echo Mj Chen | Registered representative | Mar 2016 (10y) | ||
| Amy Mei | Registered representative | Mar 2016 (10y) | ||
| Julia Thompson | Registered representative | Mar 2016 (10y) | ||
| Benjamin Yinghang Lam | Registered representative | Mar 2016 (10y) | ||
| Fung Yee Georgiana Suen | Registered representative | Mar 2016 (10y) | ||
| Imelda Liu Yang | Registered representative | Mar 2016 (10y) | ||
| Iracema Almeida | Registered representative | Mar 2016 (10y) | ||
| Magdalen Yum | Registered representative | Mar 2016 (10y) | ||
| Nicholas Charles Pollard | Registered representative | Mar 2016 (10y) | ||
| Shelly Xiao Yan Huang | Registered representative | Mar 2016 (10y) | ||
| Annemarie E Cook | Registered representative | Mar 2016 (10y) | ||
| Jonathan Fleischer Peicher | Registered representative | Mar 2016 (10y) | ||
| Ryan Michael Chase | Registered representative | Mar 2016 (10y) | ||
| Daniel Patrick Slattery | Registered representative | Mar 2016 (10y) | ||
| Kerry Ilise Schwarcz | Registered representative | Mar 2016 (10y) | ||
| Sandra Y Chiu | Registered representative | Mar 2016 (10y) | ||
| Jennifer Cay Garvin | Registered representative | Mar 2016 (10y) | ||
| Lisa Renee Monica | Registered representative | Mar 2016 (10y) | ||
| Beatris Ruiz Ferrer | Registered representative | Mar 2016 (10y) | ||
| Chi Fang Wu | Registered representative | Mar 2016 (10y) | ||
| Nathalie Tremblay | Registered representative | Mar 2016 (10y) | ||
| Matthew Charles Strathearn | Registered representative | Mar 2016 (10y) | ||
| Nicholas Anthony Denefrio | Registered representative | Mar 2016 (10y) | ||
| Thomas Joseph Condon | Registered representative | Mar 2016 (10y) | ||
| Donald Walter Adams | Registered representative | CFP | Mar 2016 (10y) | |
| Leonard Anthony Boccia | Registered representative | Mar 2016 (10y) | ||
| Sumaya De Los Angeles Musa | Registered representative | Mar 2016 (10y) | ||
| Aimee Joan Davis | Registered representative | Apr 2016 (10y) | ||
| Romeo Vuticevski | Registered representative | Apr 2016 (10y) | ||
| Aaron Joel Mendelson | Registered representative | Apr 2016 (10y) | ||
| Jacob Andrew Bryant | Registered representative | Apr 2016 (10y) | ||
| Meryll Biala Bangsil | Registered representative | CFP | Apr 2016 (10y) | |
| Jack Anthony Oconnor | Registered representative | Apr 2016 (10y) | ||
| Daniel Douglas Arnold | Registered representative | Apr 2016 (10y) | ||
| Eileen L Wagner | Registered representative | Apr 2016 (10y) | ||
| William Knight Blanchard | Registered representative | Apr 2016 (10y) | ||
| William Matthew Shinn | Registered representative | Apr 2016 (10y) | ||
| Charles Harold Cooper | Registered representative | Apr 2016 (10y) | ||
| Liling Chang Lee | Registered representative | Apr 2016 (10y) | ||
| Mary T Stiles | Registered representative | Apr 2016 (10y) | ||
| Mitchell Robert Cooper | Registered representative | Apr 2016 (10y) | ||
| Julie Anne Ford | Registered representative | Apr 2016 (10y) | ||
| Salinda Kay Nowell | Registered representative | Apr 2016 (10y) | ||
| Stephen Everett Rotondo | Registered representative | Apr 2016 (10y) | ||
| Brandy Renae Risheill | Registered representative | Apr 2016 (10y) | ||
| Victoria Mae Forgerson | Registered representative | Apr 2016 (10y) | ||
| Andrew Kimm | Registered representative | Apr 2016 (10y) | ||
| Vincent Patrick Vadala | Registered representative | Apr 2016 (10y) | ||
| Gregory Gerrard Achten | Registered representative | Apr 2016 (10y) | ||
| Christopher R Robert Bryan | Registered representative | Apr 2016 (10y) | ||
| Gary Mark Spector | Registered representative | Apr 2016 (10y) | ||
| Lisa Ann Walsh | Registered representative | Apr 2016 (10y) | ||
| Robert Noel Chenier | Registered representative | Apr 2016 (10y) | ||
| Ronnell S Hoeltje | Registered representative | Apr 2016 (10y) | ||
| Carlos R. Ponce | Registered representative | Apr 2016 (10y) | ||
| Frank J Coiro | Registered representative | Apr 2016 (10y) | ||
| William Stuart Marino | Registered representative | Apr 2016 (10y) | ||
| Kristie Sue Anderson | Registered representative | Apr 2016 (10y) | ||
| Jamal Weldon Davis | Registered representative | Apr 2016 (10y) | ||
| Aida Babayan | Registered representative | Apr 2016 (10y) | ||
| Anita En Lam | Registered representative | Apr 2016 (10y) | ||
| Darin Lee Etchison | Registered representative | Apr 2016 (10y) | ||
| Jynene Marie Fry | Registered representative | Apr 2016 (10y) | ||
| Rachel E Orlando | Registered representative | Apr 2016 (10y) | ||
| Brady Andrew Morrison | Registered representative | CFP | May 2016 (10y) | |
| Jason Anthony Murdock | Registered representative | May 2016 (10y) | ||
| Brannon James Johnson | Registered representative | CFP | May 2016 (10y) | |
| Connor Gary Gustafson | Registered representative | May 2016 (10y) | ||
| Kyle William Douglas | Registered representative | May 2016 (10y) | ||
| Meghan Mcgowan | Registered representative | May 2016 (10y) | ||
| Michael Lowinger | Registered representative | May 2016 (10y) | ||
| Dominique Christine Bossano | Registered representative | May 2016 (10y) | ||
| Bradley Jay Rubin | Registered representative | May 2016 (10y) | ||
| Katherine Whitted Groetzinger | Registered representative | May 2016 (10y) | ||
| Karl L Kreshpane | Registered representative | May 2016 (10y) | ||
| Ramon Gerardo Prats | Registered representative | May 2016 (10y) | ||
| Shelsey Megan Robertson | Registered representative | May 2016 (10y) | ||
| Steven Syslo | Registered representative | May 2016 (10y) | ||
| Neil Jairath | Registered representative | May 2016 (10y) | ||
| May Ellen Schad | Registered representative | May 2016 (10y) | ||
| Ioanna Prasinos | Registered representative | May 2016 (10y) | ||
| Scott Frederick Young | Registered representative | May 2016 (10y) | ||
| Lee M. Mccarthy | Registered representative | May 2016 (10y) | ||
| Jessica Guo | Registered representative | May 2016 (10y) | ||
| Christopher Eric Cua | Registered representative | Jun 2016 (10y) | ||
| Kenneth Edward Caufield | Registered representative | Jun 2016 (10y) | ||
| Andre S Chung | Registered representative | Jun 2016 (10y) | ||
| Peter Leibowitz | Registered representative | Jun 2016 (10y) | ||
| Dayana Pelaez | Registered representative | Jun 2016 (10y) | ||
| Jeffrey Michael Alecci | Registered representative | Jun 2016 (10y) | ||
| Patrick J Mcgowan | Registered representative | Jun 2016 (10y) | ||
| Joy Rebeccah Cutter | Registered representative | Jun 2016 (10y) | ||
| Oliver Duda | Registered representative | Jun 2016 (10y) | ||
| Rodney Colon Haug | Registered representative | Jun 2016 (10y) | ||
| Audrey Dewitt Beardain | Registered representative | Jun 2016 (10y) | ||
| Michael Edward Culin | Registered representative | Jun 2016 (10y) | ||
| Jillian Elise Owens | Registered representative | Jun 2016 (10y) | ||
| Melissa Ann Self | Registered representative | Jun 2016 (10y) | ||
| Ronald Anthony Hamlin | Registered representative | Jun 2016 (10y) | ||
| Nancy Gerard Moon | Registered representative | Jun 2016 (10y) | ||
| Karen Ann Peterson | Registered representative | Jun 2016 (10y) | ||
| Stephen Robert Dunne | Registered representative | Jun 2016 (10y) | ||
| Gregory Alan Voigt | Registered representative | Jun 2016 (10y) | ||
| Nicholas Joseph Feracci | Registered representative | Jun 2016 (10y) | ||
| Steven Andrew West | Registered representative | Jun 2016 (10y) | ||
| Viviana P Pardo | Registered representative | Jun 2016 (10y) | ||
| John Dennis Houlihan | Registered representative | Jun 2016 (10y) | ||
| Melissa Kessler Neidinger | Registered representative | Jun 2016 (10y) | ||
| Andrea Leigh Clem | Registered representative | Jun 2016 (10y) | ||
| Ian J Hamilton | Registered representative | Jun 2016 (10y) | ||
| Joan Zorena | Registered representative | Jun 2016 (10y) | ||
| Gregory Scott Blumenkranz | Registered representative | CFP | Jul 2016 (10y) | |
| James L. Feggelle | Registered representative | Jul 2016 (10y) | ||
| Santiago Velez | Registered representative | Jul 2016 (10y) | ||
| Brad Weisberg | Registered representative | Jul 2016 (10y) | ||
| Andrew Puglisi | Registered representative | Jul 2016 (10y) | ||
| Angelo Dilucci | Registered representative | Jul 2016 (10y) | ||
| Matthew Cole Chalfant | Registered representative | Jul 2016 (10y) | ||
| Michael P Muehr | Registered representative | Jul 2016 (10y) | ||
| Charles Steven Teixeira | Registered representative | Jul 2016 (10y) | ||
| John Matthew Loughran | Registered representative | Jul 2016 (10y) | ||
| Michael Kanouse | Registered representative | Jul 2016 (10y) | ||
| Mark Andrew Tunney | Registered representative | Jul 2016 (10y) | ||
| Ashley Costanzo | Registered representative | Jul 2016 (10y) | ||
| Gary Siu Hong Ng | Registered representative | Jul 2016 (10y) | ||
| Andres Echeverri | Registered representative | Aug 2016 (10y) | ||
| Charlie Jacobsen | Registered representative | Aug 2016 (10y) | ||
| Carlos Pita | Registered representative | Aug 2016 (10y) | ||
| Lorelei Elisabeth Tumino | Registered representative | Aug 2016 (10y) | ||
| Martin Jaime Fleischer | Registered representative | Aug 2016 (10y) | ||
| Brock William Van Selow | Registered representative | Aug 2016 (10y) | ||
| Charles Duffy | Registered representative | Aug 2016 (10y) | ||
| Alexander Gary Roth | Registered representative | Aug 2016 (10y) | ||
| Douglas Matthew Pires | Registered representative | Aug 2016 (10y) | ||
| Jessica Corbin Debear | Registered representative | Aug 2016 (10y) | ||
| Jordan Leslie Teichman | Registered representative | Aug 2016 (10y) | ||
| Lulu Zappy | Registered representative | Aug 2016 (10y) | ||
| Lynn Potash Fryckberg | Registered representative | Aug 2016 (10y) | ||
| Steven Elliot Goldman | Registered representative | Aug 2016 (10y) | ||
| Casey Thomas Williams | Registered representative | Aug 2016 (10y) | ||
| Steven Lee Smith | Registered representative | Aug 2016 (10y) | ||
| Travis Lee Smith | Registered representative | Aug 2016 (10y) | ||
| Patricia M Cashin | Registered representative | Aug 2016 (10y) | ||
| Michael Peter Sabatini | Registered representative | CFP | Aug 2016 (10y) | |
| Anthony John Cappiello | Registered representative | Aug 2016 (10y) | ||
| Amber Wells | Registered representative | Aug 2016 (10y) | ||
| Maria I Vaillant | Registered representative | Aug 2016 (10y) | ||
| Eric J Moyer | Registered representative | Aug 2016 (10y) | ||
| Carrie Saunders Viberg | Registered representative | Sep 2016 (10y) | ||
| Enrico Lomonaco | Registered representative | Sep 2016 (10y) | ||
| Marcela Brown | Registered representative | Sep 2016 (10y) | ||
| Chiuhang Chan | Registered representative | Sep 2016 (10y) | ||
| Langdon Froomer | Registered representative | Sep 2016 (10y) | ||
| Renata Monteiro Sanderson | Registered representative | Sep 2016 (10y) | ||
| Casey Daniel Camacho Jones | Registered representative | Sep 2016 (10y) | ||
| Brent Malone | Registered representative | Sep 2016 (10y) | ||
| Amy R Bender | Registered representative | Sep 2016 (10y) | ||
| Glen J Karlovitch | Registered representative | Sep 2016 (10y) | ||
| Katheryn Renee Muckleroy | Registered representative | Sep 2016 (10y) | ||
| Richard Chen | Registered representative | Sep 2016 (10y) | ||
| Yan Ye | Registered representative | Sep 2016 (10y) | ||
| Sonia Trivedi | Registered representative | Sep 2016 (10y) | ||
| Jay Dohrn Baumgardner | Registered representative | CFA | Sep 2016 (10y) | |
| Katy Ming Hung Chen | Registered representative | Sep 2016 (10y) | ||
| Nicholas John Ruch | Registered representative | CFP | Sep 2016 (10y) | |
| Maddie Marie Moore | Registered representative | Sep 2016 (10y) | ||
| Dexter Clayton Reese | Registered representative | Sep 2016 (10y) | ||
| Seth A Mitchell | Registered representative | Sep 2016 (10y) | ||
| Peter H Foley | Registered representative | Oct 2016 (10y) | ||
| Christian Graff | Registered representative | Oct 2016 (10y) | ||
| Elliott Appel | Registered representative | Oct 2016 (10y) | ||
| Roger R Kraus | Registered representative | Oct 2016 (10y) | ||
| Heather A Motyka | Registered representative | Oct 2016 (10y) | ||
| Jessica Albino | Registered representative | Oct 2016 (10y) | ||
| Nikki Molinaro | Registered representative | Oct 2016 (10y) | ||
| John Nicholas Mccombe | Registered representative | Oct 2016 (10y) | ||
| Seton Theresa Mcfarland | Registered representative | Oct 2016 (10y) | ||
| Timothy M Wu | Registered representative | Oct 2016 (10y) | ||
| Patrick Joseph Holland | Registered representative | Oct 2016 (10y) | ||
| Mark Allen Mollandor | Registered representative | Oct 2016 (10y) | ||
| Danielle Osborn | Registered representative | Oct 2016 (10y) | ||
| Christopher S Gee | Registered representative | CFA | Oct 2016 (10y) | |
| Hallie Brier Hart | Registered representative | Oct 2016 (10y) | ||
| Juliana Park | Registered representative | Oct 2016 (10y) | ||
| Hussain Khan | Registered representative | Oct 2016 (10y) | ||
| Kevin Dommes | Registered representative | Oct 2016 (10y) | ||
| Katherine Lynne Lynne Seidel | Registered representative | Oct 2016 (10y) | ||
| Dan I Olson | Registered representative | Chartered Financial Consultant | Oct 2016 (10y) | |
| Danyi Gu | Registered representative | Nov 2016 (10y) | ||
| Mary Rachael Rogers | Registered representative | Nov 2016 (10y) | ||
| David Scott Nash | Registered representative | Nov 2016 (10y) | ||
| Lisa A Lucas | Registered representative | Nov 2016 (10y) | ||
| Roubina Kurkjian | Registered representative | Nov 2016 (10y) | ||
| Verity San Souci | Registered representative | Nov 2016 (10y) | ||
| Yancy Ranalli | Registered representative | Nov 2016 (10y) | ||
| Lee John Giordano | Registered representative | CFA | Nov 2016 (10y) | |
| Brian Charles Buetel | Registered representative | Nov 2016 (10y) | ||
| Eileen Patricia Tetteris | Registered representative | Nov 2016 (10y) | ||
| Kenneth Casey Kavanaugh | Registered representative | Nov 2016 (10y) | ||
| Tim David Foster | Registered representative | Nov 2016 (10y) | ||
| Evan Michael Martin | Registered representative | Nov 2016 (10y) | ||
| Lisa Carol Mcintyre | Registered representative | Nov 2016 (10y) | ||
| Mark A Conrad | Registered representative | Nov 2016 (10y) | ||
| Trae Austin Samuel Urie | Registered representative | Nov 2016 (10y) | ||
| Cameron C Buetel | Registered representative | Nov 2016 (10y) | ||
| Gerald Palmer Pascal | Registered representative | Nov 2016 (10y) | ||
| Rebecca Ann Miller | Registered representative | Nov 2016 (10y) | ||
| Erin Elizabeth Ventura | Registered representative | CFP | Nov 2016 (10y) | |
| Isabel Yi Hsuan Ho | Registered representative | Nov 2016 (10y) | ||
| Michelle Ane'erin Hollaender | Registered representative | Nov 2016 (10y) | ||
| Carrie Pedecine | Registered representative | CFP | Nov 2016 (10y) | |
| Sarah K Schuba | Registered representative | Nov 2016 (10y) | ||
| Glenn Wyatt Wyatt Arthurs | Registered representative | Dec 2016 (10y) | ||
| Julia Domini Munchel | Registered representative | CFP | Dec 2016 (10y) | |
| Daniel John Collins | Registered representative | CFP | Dec 2016 (10y) | |
| Michael Gustav Helfenberger | Registered representative | Dec 2016 (10y) | ||
| Ryan Rafael Godliman | Registered representative | Dec 2016 (10y) | ||
| Kevin Dallahan | Registered representative | Dec 2016 (10y) | ||
| Mario Nicholas Pantaleo | Registered representative | Dec 2016 (10y) | ||
| Howard Redgate | Registered representative | Dec 2016 (10y) | ||
| Erik George Armstrong | Registered representative | Dec 2016 (10y) | ||
| Julio Perez Krause | Registered representative | Dec 2016 (10y) | ||
| Leslie J Fitzgerald | Registered representative | Dec 2016 (10y) | ||
| Kevin Emmett Herron | Registered representative | Jan 2017 (10y) | ||
| Yan Huang | Registered representative | Jan 2017 (10y) | ||
| Jason Draho | Registered representative | Jan 2017 (10y) | ||
| David G Desaulniers | Registered representative | Jan 2017 (10y) | ||
| David Evan Stern | Registered representative | Jan 2017 (10y) | ||
| James Eustis Corrigan | Registered representative | Jan 2017 (10y) | ||
| Donato Robert Giuseppi | Registered representative | Jan 2017 (10y) | ||
| Mustafa Osman | Registered representative | Jan 2017 (10y) | ||
| Sally Ahmad Burgess | Registered representative | Jan 2017 (10y) | ||
| Ryan Thomas Iannuzzo | Registered representative | CFP | Jan 2017 (10y) | |
| Jaime Tala Messinger | Registered representative | Jan 2017 (10y) | ||
| Madeline Van Hoorickx | Registered representative | Jan 2017 (10y) | ||
| Joseph Michael Stephens | Registered representative | Jan 2017 (10y) | ||
| David Hunter Priebe | Registered representative | Feb 2017 (9y) | ||
| Donald Thomas Semler | Registered representative | Feb 2017 (9y) | ||
| Victor Pappolla | Registered representative | Feb 2017 (9y) | ||
| Richard A Ayres | Registered representative | Feb 2017 (9y) | ||
| Kathryn Trengali Letvinchuk | Registered representative | Feb 2017 (9y) | ||
| Gustavo Andres Grinberg | Registered representative | Feb 2017 (9y) | ||
| Michael Taylor | Registered representative | Feb 2017 (9y) | ||
| Peter Drew Kariofiles | Registered representative | Feb 2017 (9y) | ||
| Patrick A Kelly | Registered representative | Feb 2017 (9y) | ||
| Alexander John Wilson | Registered representative | Feb 2017 (9y) | ||
| Robert Charles Mcaleer | Registered representative | Feb 2017 (9y) | ||
| Patrick Doyle Erfort | Registered representative | CFA | Mar 2017 (9y) | |
| Kayla Rye Lawrence | Registered representative | Mar 2017 (9y) | ||
| Hunter Brooks Vehslage | Registered representative | Mar 2017 (9y) | ||
| Robert Henry Prion | Registered representative | Mar 2017 (9y) | ||
| John Blaine Fullerton | Registered representative | Mar 2017 (9y) | ||
| Marisol Nicoll | Registered representative | Mar 2017 (9y) | ||
| Vicki Lynn Suits | Registered representative | Mar 2017 (9y) | ||
| Elias Viola | Registered representative | Mar 2017 (9y) | ||
| Luis Flores | Registered representative | Mar 2017 (9y) | ||
| Sheri Anne Natalia Danner | Registered representative | Mar 2017 (9y) | ||
| Steven Kuzmanoski | Registered representative | Mar 2017 (9y) | ||
| Matthew Philip Schupak | Registered representative | Mar 2017 (9y) | ||
| Veronica G Della Vedova | Registered representative | Mar 2017 (9y) | ||
| Taylor Catherine Justice | Registered representative | Apr 2017 (9y) | ||
| Robyn Mary Wicks | Registered representative | Apr 2017 (9y) | ||
| Cameron Scott Mc Curry | Registered representative | Apr 2017 (9y) | ||
| Daniel John Wolkerstorfer | Registered representative | Apr 2017 (9y) | ||
| Harry Matthew Benson | Registered representative | Apr 2017 (9y) | ||
| Seth L Adamson | Registered representative | Apr 2017 (9y) | ||
| Laura Lee Retta | Registered representative | Apr 2017 (9y) | ||
| Thomas Fallon | Registered representative | Apr 2017 (9y) | ||
| Ben Sexton | Registered representative | Apr 2017 (9y) | ||
| Cameron Michael Barrows | Registered representative | Apr 2017 (9y) | ||
| Dawei Qian | Registered representative | Apr 2017 (9y) | ||
| Adam Joseph Ness | Registered representative | Apr 2017 (9y) | ||
| Louis Morgan Rawls | Registered representative | Apr 2017 (9y) | ||
| Mia Malave | Registered representative | Apr 2017 (9y) | ||
| Rebecca Lee | Registered representative | Apr 2017 (9y) | ||
| Jennifer Salmon | Registered representative | Apr 2017 (9y) | ||
| Kevin Picco | Registered representative | Apr 2017 (9y) | ||
| Danielle Andrea Fujioka | Registered representative | Apr 2017 (9y) | ||
| Debora Venzor | Registered representative | Apr 2017 (9y) | ||
| Raymond John Ryan | Registered representative | May 2017 (9y) | ||
| Helen Ann Henriques Cito | Registered representative | May 2017 (9y) | ||
| Christopher P Heintz | Registered representative | May 2017 (9y) | ||
| Lindy D. Pickinpaugh | Registered representative | May 2017 (9y) | ||
| Michael M Miremadi | Registered representative | May 2017 (9y) | ||
| Teresa M Uzeta | Registered representative | May 2017 (9y) | ||
| Melissa Ann Daugherty | Registered representative | May 2017 (9y) | ||
| Chad Evan Lemko | Registered representative | May 2017 (9y) | ||
| Mark Daniel Cullen | Registered representative | May 2017 (9y) | ||
| Mark Timothy Uehling | Registered representative | May 2017 (9y) | ||
| Salma G Zahr | Registered representative | May 2017 (9y) | ||
| Alena M Kurlovich | Registered representative | May 2017 (9y) | ||
| Michelle Marie Mckenzie | Registered representative | May 2017 (9y) | ||
| Michael Acar | Registered representative | May 2017 (9y) | ||
| Michael Roderick Mckenzie | Registered representative | May 2017 (9y) | ||
| Zachary Timothy Bishara | Registered representative | May 2017 (9y) | ||
| Cristobal Flanagan Margozzini | Registered representative | May 2017 (9y) | ||
| Ryan Angelo Rozniakowski | Registered representative | May 2017 (9y) | ||
| Christopher John Walker | Registered representative | Jun 2017 (9y) | ||
| Jia Liang Zhou | Registered representative | Jun 2017 (9y) | ||
| Karyn Sue Laughrun | Registered representative | Jun 2017 (9y) | ||
| Catherine R. Henry | Registered representative | CFP | Jun 2017 (9y) | |
| Alec L Johnsen | Registered representative | Jun 2017 (9y) | ||
| Karen Aguilar | Registered representative | Jun 2017 (9y) | ||
| Jack Emmett Healy | Registered representative | Jun 2017 (9y) | ||
| Scott Larson Collins | Registered representative | Jun 2017 (9y) | ||
| Anthony Joseph Horan | Registered representative | Jun 2017 (9y) | ||
| Benjamin Huger | Registered representative | Jun 2017 (9y) | ||
| Brian Julien Meulebrouck | Registered representative | Jun 2017 (9y) | ||
| Donald C Kunkel | Registered representative | Jun 2017 (9y) | ||
| Jacquelin M Kunkel | Registered representative | CFP | Jun 2017 (9y) | |
| Eric Rosner | Registered representative | Jun 2017 (9y) | ||
| Kelly Lebato | Registered representative | Jun 2017 (9y) | ||
| Michael Timothy Henson | Registered representative | Jun 2017 (9y) | ||
| Rosario Giliberto | Registered representative | Jun 2017 (9y) | ||
| Ryan Einig | Registered representative | Jul 2017 (9y) | ||
| Jeffrey James Seidel | Registered representative | Jul 2017 (9y) | ||
| Matthew H Fisher | Registered representative | Jul 2017 (9y) | ||
| Matthew Schuyler Kraft | Registered representative | Jul 2017 (9y) | ||
| Nicholas Richard Savinar | Registered representative | Jul 2017 (9y) | ||
| Shawn Philip Salge | Registered representative | Jul 2017 (9y) | ||
| Stephanie Kokot | Registered representative | Jul 2017 (9y) | ||
| Ryan Patrick Duffy | Registered representative | Jul 2017 (9y) | ||
| Saranya Turner | Registered representative | Jul 2017 (9y) | ||
| Christopher Francis Malof | Registered representative | Jul 2017 (9y) | ||
| Deborah Rosemary Johnston | Registered representative | Jul 2017 (9y) | ||
| Hannah Young | Registered representative | Jul 2017 (9y) | ||
| William Linkon Altman | Registered representative | Jul 2017 (9y) | ||
| Maria Luz Nicholas | Registered representative | Jul 2017 (9y) | ||
| Aaron Christopher Sellers | Registered representative | Jul 2017 (9y) | ||
| Kyle Ellis Sexton | Registered representative | Jul 2017 (9y) | ||
| Ryan Joseph Mcgovern | Registered representative | Jul 2017 (9y) | ||
| Andrew Harrison Heller | Registered representative | Jul 2017 (9y) | ||
| Molly Katherine Manning | Registered representative | Jul 2017 (9y) | ||
| David Metzger Croft | Registered representative | Aug 2017 (9y) | ||
| Austin Trevino | Registered representative | Aug 2017 (9y) | ||
| Joseph Turner Caselle | Registered representative | Aug 2017 (9y) | ||
| Lauren Nicole Collins | Registered representative | Aug 2017 (9y) | ||
| Mitchell Jay Brown | Registered representative | Aug 2017 (9y) | ||
| Timothy E Gray | Registered representative | Aug 2017 (9y) | ||
| Joseph Lupo | Registered representative | Aug 2017 (9y) | ||
| Joshua Levine | Registered representative | Aug 2017 (9y) | ||
| Ariana Mary Mary Waitkavicz | Registered representative | Aug 2017 (9y) | ||
| Corey John Dangelo | Registered representative | Aug 2017 (9y) | ||
| Kay Ann Eckart | Registered representative | Aug 2017 (9y) | ||
| Carl S Aloupis Jr | Registered representative | Aug 2017 (9y) | ||
| Michael Joseph Mooney | Registered representative | Aug 2017 (9y) | ||
| Alexandra Grace Burton | Registered representative | Aug 2017 (9y) | ||
| Michele Grossi | Registered representative | Aug 2017 (9y) | ||
| Souvanna Sophabmixay | Registered representative | Aug 2017 (9y) | ||
| Blaise Joseph Edward Ahearn | Registered representative | Aug 2017 (9y) | ||
| Gary Hyder Brewster | Registered representative | Aug 2017 (9y) | ||
| Lauren C Gorsche | Registered representative | Aug 2017 (9y) | ||
| Imelda Patricia Renteria | Registered representative | Aug 2017 (9y) | ||
| Patrick Scott Clark | Registered representative | Aug 2017 (9y) | ||
| Beau Harrison Rathjen | Registered representative | Sep 2017 (9y) | ||
| Brennan Collins | Registered representative | CFP | Sep 2017 (9y) | |
| Michael Amico | Registered representative | Sep 2017 (9y) | ||
| Philip James Dipasquale | Registered representative | Sep 2017 (9y) | ||
| Alexa Holm | Registered representative | Sep 2017 (9y) | ||
| Claire Marie Carter | Registered representative | CFP | Sep 2017 (9y) | |
| Giselle Marie Rivera | Registered representative | Sep 2017 (9y) | ||
| Jacob Alexander Shine | Registered representative | Sep 2017 (9y) | ||
| Matthew Joseph Tormey | Registered representative | Sep 2017 (9y) | ||
| Thomas Charles Dunn | Registered representative | Sep 2017 (9y) | ||
| Anthony King | Registered representative | CFA | Sep 2017 (9y) | |
| Elizabeth White Alexander | Registered representative | Sep 2017 (9y) | ||
| Roberto Jose Fortuno | Registered representative | Sep 2017 (9y) | ||
| Stacy Nicole Nicole Goines | Registered representative | Sep 2017 (9y) | ||
| Sean Patrick Mc Elroy | Registered representative | Sep 2017 (9y) | ||
| Ashley Paige Huffines | Registered representative | Sep 2017 (9y) | ||
| Curtis Kocher | Registered representative | Sep 2017 (9y) | ||
| Lisa Ann Romano | Registered representative | Sep 2017 (9y) | ||
| Sophia Rose Oliverio | Registered representative | Sep 2017 (9y) | ||
| Joseph John Dillon | Registered representative | Sep 2017 (9y) | ||
| Thomas Hillis Melohn | Registered representative | Sep 2017 (9y) | ||
| Laura Walker | Registered representative | Sep 2017 (9y) | ||
| Nathan Trannel | Registered representative | CFP | Sep 2017 (9y) | |
| Raymond N. Valdivia | Registered representative | Sep 2017 (9y) | ||
| John Michael Cusate | Registered representative | Sep 2017 (9y) | ||
| Edward Peterson Hostetler | Registered representative | Sep 2017 (9y) | ||
| Maria Papageorgiou Mcgrath | Registered representative | CFP | Sep 2017 (9y) | |
| John William Kuczarski | Registered representative | CFP | Oct 2017 (9y) | |
| Jarrett Keith Strickland | Registered representative | Oct 2017 (9y) | ||
| Daniel Christopher Scheyder | Registered representative | Oct 2017 (9y) | ||
| Jonathan Montville | Registered representative | Oct 2017 (9y) | ||
| Erika Misha Bludau | Registered representative | Oct 2017 (9y) | ||
| Kevin Michael Sullivan | Registered representative | Oct 2017 (9y) | ||
| David Ricker | Registered representative | Oct 2017 (9y) | ||
| Helida Bulding | Registered representative | Oct 2017 (9y) | ||
| Jessica Ann Bailey | Registered representative | Oct 2017 (9y) | ||
| Libby Stantial | Registered representative | Oct 2017 (9y) | ||
| Veronica Jean Aquilina | Registered representative | Oct 2017 (9y) | ||
| Bradley Philip Bocketti | Registered representative | Oct 2017 (9y) | ||
| Tyler Layton Childs | Registered representative | CFP | Oct 2017 (9y) | |
| Diane Claire Fehrenbach | Registered representative | Oct 2017 (9y) | ||
| Danielle James | Registered representative | Oct 2017 (9y) | ||
| Michael Joseph Mann | Registered representative | Oct 2017 (9y) | ||
| Catherine Ann Mc Dermott | Registered representative | Oct 2017 (9y) | ||
| Ross Edward Ramsey | Registered representative | Oct 2017 (9y) | ||
| Lars Albert Soderberg | Registered representative | Oct 2017 (9y) | ||
| David Richard Spehar | Registered representative | Oct 2017 (9y) | ||
| Justin Edward French | Registered representative | Oct 2017 (9y) | ||
| Alejandro Jose Luna | Registered representative | Oct 2017 (9y) | ||
| Brittany Kay Hartley | Registered representative | Oct 2017 (9y) | ||
| Robert Fellowes | Registered representative | Oct 2017 (9y) | ||
| Nicholas Scott Harris | Registered representative | Oct 2017 (9y) | ||
| Elizabeth B Mason | Registered representative | Nov 2017 (9y) | ||
| Faissal Yousef | Registered representative | Nov 2017 (9y) | ||
| Joseph Lauricella | Registered representative | Nov 2017 (9y) | ||
| Kevin Richard Kamholz | Registered representative | Nov 2017 (9y) | ||
| Rod Loewenthal | Registered representative | Nov 2017 (9y) | ||
| Roger H Paton | Registered representative | Nov 2017 (9y) | ||
| Timothy Costello | Registered representative | Nov 2017 (9y) | ||
| Christine Elaine Jaun | Registered representative | Nov 2017 (9y) | ||
| Devesha Sidharth Solanki | Registered representative | Nov 2017 (9y) | ||
| Wing Sze Wincy Yung | Registered representative | Nov 2017 (9y) | ||
| Carrie Anne Cannon | Registered representative | Nov 2017 (9y) | ||
| David W Shannon | Registered representative | Nov 2017 (9y) | ||
| Brandon Thomas Little | Registered representative | Nov 2017 (9y) | ||
| John Horecky Criner | Registered representative | Nov 2017 (9y) | ||
| Courtney Marie Richard | Registered representative | Nov 2017 (9y) | ||
| Michael Thomas Henault | Registered representative | Nov 2017 (9y) | ||
| Lauren Fries | Registered representative | Nov 2017 (9y) | ||
| Jacquelyn Baliko | Registered representative | Nov 2017 (9y) | ||
| Eunha Megan Yi | Registered representative | Nov 2017 (9y) | ||
| Alicia Anne Jayo | Registered representative | Nov 2017 (9y) | ||
| David Scott Hallman | Registered representative | Nov 2017 (9y) | ||
| Sevan Chakiryan | Registered representative | Nov 2017 (9y) | ||
| Veronica Naomi Mary Villeneuve | Registered representative | Nov 2017 (9y) | ||
| Eileen Buchanan Mumma | Registered representative | Nov 2017 (9y) | ||
| Debra Deneen Avina | Registered representative | Nov 2017 (9y) | ||
| Eric Garcia Moreno | Registered representative | Nov 2017 (9y) | ||
| Anastacia Liana Yoannides Young | Registered representative | Nov 2017 (9y) | ||
| Drew Williamson | Registered representative | Nov 2017 (9y) | ||
| Jay Scott Edzards | Registered representative | Nov 2017 (9y) | ||
| John Henry Cromling | Registered representative | Nov 2017 (9y) | ||
| Jack Benjamin Samuels | Registered representative | Nov 2017 (9y) | ||
| Michael John Murphy | Registered representative | Nov 2017 (9y) | ||
| Brayden J Buck | Registered representative | Nov 2017 (9y) | ||
| James Charles Schillaci | Registered representative | Nov 2017 (9y) | ||
| Jamal William Abu Shamala | Registered representative | Nov 2017 (9y) | ||
| Kelly S Witters | Registered representative | Nov 2017 (9y) | ||
| Kevin Ronald Johns | Registered representative | Nov 2017 (9y) | ||
| Sarah C Morgan | Registered representative | Nov 2017 (9y) | ||
| Lilliam Leon Gonzalez | Registered representative | Dec 2017 (9y) | ||
| Marilin D Diaz Perez | Registered representative | Dec 2017 (9y) | ||
| David Phillip Garza | Registered representative | CFA | Dec 2017 (9y) | |
| Irene Stanley | Registered representative | Dec 2017 (9y) | ||
| Russell Paul Coyner | Registered representative | Dec 2017 (9y) | ||
| Giuliana Vanessa Scagliotti | Registered representative | Dec 2017 (9y) | ||
| Christopher Joseph Schierhorn | Registered representative | Dec 2017 (9y) | ||
| Laura Ann Bickel | Registered representative | Dec 2017 (9y) | ||
| Alexander Jorge Salazar | Registered representative | Dec 2017 (9y) | ||
| Zachary James Johnston | Registered representative | Dec 2017 (9y) | ||
| Brian English | Registered representative | Dec 2017 (9y) | ||
| Nikolas Demetrios Gountanis | Registered representative | Dec 2017 (9y) | ||
| Kevin Patrick Ducie | Registered representative | Dec 2017 (9y) | ||
| Mary Elizabeth Simasek | Registered representative | Dec 2017 (9y) | ||
| Alvaro A Mayorga | Registered representative | Dec 2017 (9y) | ||
| Alexander Kenneth Rinehart | Registered representative | Dec 2017 (9y) | ||
| Brent Alan Coleman | Registered representative | Dec 2017 (9y) | ||
| David Ross Cannady | Registered representative | Dec 2017 (9y) | ||
| Pamela Winchie | Registered representative | Dec 2017 (9y) | ||
| Stacey D Johnson | Registered representative | Jan 2018 (9y) | ||
| Carlos D Cabal | Registered representative | Jan 2018 (9y) | ||
| Dario Montisci | Registered representative | CFA | Jan 2018 (9y) | |
| Daniel Patrick Gaertner | Registered representative | Jan 2018 (9y) | ||
| Howard R Shore | Registered representative | Jan 2018 (9y) | ||
| Peter Thomas Noone | Registered representative | CFP | Jan 2018 (9y) | |
| Thomas Joseph Duffy | Registered representative | Jan 2018 (9y) | ||
| Christopher Donald Burke | Registered representative | Jan 2018 (9y) | ||
| Cory David Emerson | Registered representative | Jan 2018 (9y) | ||
| Dina Lirosi | Registered representative | Jan 2018 (9y) | ||
| Ernest Eugene Musgrave | Registered representative | Jan 2018 (9y) | ||
| Haydee M Delgado | Registered representative | Jan 2018 (9y) | ||
| Paul Gerard Brennan | Registered representative | Jan 2018 (9y) | ||
| Wiktor Wozniak | Registered representative | Jan 2018 (9y) | ||
| Mario Gutierrez | Registered representative | Jan 2018 (9y) | ||
| Grant Ellington | Registered representative | Jan 2018 (9y) | ||
| Leif Van Saun Springer | Registered representative | Jan 2018 (9y) | ||
| Sarah Beth Wester | Registered representative | Jan 2018 (9y) | ||
| Gregory Garland Moore | Registered representative | CFA | Jan 2018 (9y) | |
| Brandon Spaulding Affeldt | Registered representative | Jan 2018 (9y) | ||
| Ligia Wilde | Registered representative | Jan 2018 (9y) | ||
| Amanda Bagnoli | Registered representative | Jan 2018 (9y) | ||
| Hannes Christian Grascher | Registered representative | Jan 2018 (9y) | ||
| Zachary J J Sullivan | Registered representative | Feb 2018 (9y) | ||
| Debbie D Landon | Registered representative | CFP | Feb 2018 (8y) | |
| David Alan Gripshover | Registered representative | Feb 2018 (8y) | ||
| Nicole Christine Innarelli | Registered representative | Feb 2018 (8y) | ||
| Christine Marie Harkendorff | Registered representative | Feb 2018 (8y) | ||
| Daniel John Wunderlich | Registered representative | Feb 2018 (8y) | ||
| David Garrison Wilts | Registered representative | Feb 2018 (8y) | ||
| Oren Brett Klein | Registered representative | Feb 2018 (8y) | ||
| Kristen Ann Ann Kelly | Registered representative | Feb 2018 (8y) | ||
| Jeffrey Thomas Frederickson | Registered representative | Feb 2018 (8y) | ||
| Rhett Floyd Hall | Registered representative | Feb 2018 (8y) | ||
| Sarah R Ruby | Registered representative | Feb 2018 (8y) | ||
| Christina Marie Bradley | Registered representative | Feb 2018 (8y) | ||
| Richard Andrew Ketner | Registered representative | Feb 2018 (8y) | ||
| Rachel Kelly Wohlfarth | Registered representative | Feb 2018 (8y) | ||
| Steven James Cervino | Registered representative | Feb 2018 (8y) | ||
| Martin M Maffei | Registered representative | CFP | Feb 2018 (8y) | |
| Bojana Stojanovic | Registered representative | Feb 2018 (8y) | ||
| Michael Stevens | Registered representative | Feb 2018 (8y) | ||
| Michael C. Cates | Registered representative | Feb 2018 (8y) | ||
| Wayne Stephen Peters | Registered representative | Feb 2018 (8y) | ||
| Felipe Loboguerrero | Registered representative | Mar 2018 (8y) | ||
| Christopher Paul Casey | Registered representative | CFP | Mar 2018 (8y) | |
| Jeyran Ghara | Registered representative | Mar 2018 (8y) | ||
| Andrea Kelley | Registered representative | Mar 2018 (8y) | ||
| Marnie Rose | Registered representative | Mar 2018 (8y) | ||
| Jayme Burk | Registered representative | CFP | Mar 2018 (8y) | |
| Catherine Claire Nuismer | Registered representative | Mar 2018 (8y) | ||
| Ariel Morales Reyes | Registered representative | Mar 2018 (8y) | ||
| Kimberly Chin Muska | Registered representative | CFP | Mar 2018 (8y) | |
| Viviana Cristina Perez Cordero | Registered representative | Mar 2018 (8y) | ||
| Jennifer Greenblatt | Registered representative | Mar 2018 (8y) | ||
| Justin Victor Schnurstein | Registered representative | Mar 2018 (8y) | ||
| Kendyl Nicole Howard | Registered representative | Mar 2018 (8y) | ||
| Jhett Ashton Urie | Registered representative | Mar 2018 (8y) | ||
| Roland Antonides | Registered representative | Mar 2018 (8y) | ||
| Sudip Mukherjee | Registered representative | Mar 2018 (8y) | ||
| William Daniel Brown | Registered representative | Mar 2018 (8y) | ||
| Corey Rausch | Registered representative | Mar 2018 (8y) | ||
| Adam Richard Jackson | Registered representative | Apr 2018 (8y) | ||
| Amanda Reed | Registered representative | Apr 2018 (8y) | ||
| Linda Hurd | Registered representative | Apr 2018 (8y) | ||
| Tiffany Keshia Stewart | Registered representative | Apr 2018 (8y) | ||
| Patrick Christopher Murphy | Registered representative | Apr 2018 (8y) | ||
| Kristine Marie Koerber | Registered representative | Apr 2018 (8y) | ||
| Alexandra Bartsch | Registered representative | Apr 2018 (8y) | ||
| Yevgeniy K Katkovsky | Registered representative | Apr 2018 (8y) | ||
| Charles Alan Espey | Registered representative | Apr 2018 (8y) | ||
| Stephanie Lau | Registered representative | Apr 2018 (8y) | ||
| West James Bowler | Registered representative | Apr 2018 (8y) | ||
| Tyler Masukawa | Registered representative | Apr 2018 (8y) | ||
| Carson Jasper Walker | Registered representative | Apr 2018 (8y) | ||
| Daniel Alexander Short | Registered representative | Apr 2018 (8y) | ||
| Glorimar Chiroldes Porras | Registered representative | Apr 2018 (8y) | ||
| William S Hayward | Registered representative | Apr 2018 (8y) | ||
| Audrey M Wood | Registered representative | Apr 2018 (8y) | ||
| Alice Abdalian | Registered representative | Apr 2018 (8y) | ||
| Diana Louise Lopez | Registered representative | Apr 2018 (8y) | ||
| Christopher L Ortiz | Registered representative | Apr 2018 (8y) | ||
| Yoon Ji Park | Registered representative | Apr 2018 (8y) | ||
| Gideon David Carmeli | Registered representative | Apr 2018 (8y) | ||
| Sara Elsa Arizpe | Registered representative | Apr 2018 (8y) | ||
| James Douglas Milde | Registered representative | May 2018 (8y) | ||
| Lisa M Harrington | Registered representative | May 2018 (8y) | ||
| Dragan Uzelac | Registered representative | May 2018 (8y) | ||
| Alejandro Ygnacio Calderon | Registered representative | May 2018 (8y) | ||
| Justin Timothy Mcintire | Registered representative | May 2018 (8y) | ||
| Marcus Plouzek | Registered representative | May 2018 (8y) | ||
| Carolyn Kay Hall | Registered representative | May 2018 (8y) | ||
| Robert James Morin | Registered representative | CFP | May 2018 (8y) | |
| Daniel Paul Fitzpatrick | Registered representative | CFP | May 2018 (8y) | |
| Sarah Eleanor Dodds | Registered representative | May 2018 (8y) | ||
| Heather Victoria Crist | Registered representative | May 2018 (8y) | ||
| Jessica Vaughn Rando | Registered representative | May 2018 (8y) | ||
| Christopher J Dial | Registered representative | May 2018 (8y) | ||
| James Eldras Marnell | Registered representative | May 2018 (8y) | ||
| Steven T Smith | Registered representative | May 2018 (8y) | ||
| John James Porter | Registered representative | May 2018 (8y) | ||
| Agatha H Lidzbarski | Registered representative | May 2018 (8y) | ||
| Petar Zvonimir Repar | Registered representative | May 2018 (8y) | ||
| Courtney Nicole Pia | Registered representative | May 2018 (8y) | ||
| Natalia Eduardovna Abbott | Registered representative | May 2018 (8y) | ||
| Mary Beaver Herbert | Registered representative | May 2018 (8y) | ||
| Stephen C Hugel | Registered representative | May 2018 (8y) | ||
| Zachary Rockmore | Registered representative | May 2018 (8y) | ||
| Jennifer Elaine Dunklin | Registered representative | May 2018 (8y) | ||
| Larissa Petty | Registered representative | Jun 2018 (8y) | ||
| Jeannine Lennon | Registered representative | Jun 2018 (8y) | ||
| Brenda Lo | Registered representative | Jun 2018 (8y) | ||
| Gabriela Alejandra Carranza | Registered representative | Jun 2018 (8y) | ||
| Mark Alexander Addessi | Registered representative | Jun 2018 (8y) | ||
| Devin Michael Callinan | Registered representative | CFP | Jun 2018 (8y) | |
| Everson Dasilva | Registered representative | Jun 2018 (8y) | ||
| Sharese Jennifer Wilson | Registered representative | Jun 2018 (8y) | ||
| Rebekah Joy Boettcher | Registered representative | Jun 2018 (8y) | ||
| Anita M Brennan | Registered representative | Jun 2018 (8y) | ||
| Lisa A Giordano Eckert | Registered representative | Jun 2018 (8y) | ||
| Olivia Fernandez Pereyra | Registered representative | Jun 2018 (8y) | ||
| David Glenn Beechler | Registered representative | Jun 2018 (8y) | ||
| Kevin Zimmermann Thurston | Registered representative | Jun 2018 (8y) | ||
| Lindsay Anne Gookstetter | Registered representative | Jun 2018 (8y) | ||
| Victor Miguel Tomassini | Registered representative | Jun 2018 (8y) | ||
| Arlyn Kalka | Registered representative | Jun 2018 (8y) | ||
| Veronica Martinez | Registered representative | Jun 2018 (8y) | ||
| Ashley Clark | Registered representative | Jul 2018 (8y) | ||
| Carlyn Mothershed Angelette | Registered representative | Jul 2018 (8y) | ||
| Carsten P Wellemsen | Registered representative | Jul 2018 (8y) | ||
| Helen Callista Yi Shue | Registered representative | Jul 2018 (8y) | ||
| Marilyn Bustillo | Registered representative | Jul 2018 (8y) | ||
| Melanie Rubinstein | Registered representative | Jul 2018 (8y) | ||
| Wolfgang Doerr | Registered representative | Jul 2018 (8y) | ||
| Alexander Ross Levin | Registered representative | Jul 2018 (8y) | ||
| Mercedes Patricia Gardner Gomez | Registered representative | Jul 2018 (8y) | ||
| Emilie Checrallah | Registered representative | Jul 2018 (8y) | ||
| Eric Lee Falkenheim | Registered representative | Jul 2018 (8y) | ||
| Gabrielle A Oleary | Registered representative | Jul 2018 (8y) | ||
| Cameron J. Price | Registered representative | Jul 2018 (8y) | ||
| Cassandra Tindell Brewer | Registered representative | Jul 2018 (8y) | ||
| Edgardo H. Ferrer | Registered representative | Jul 2018 (8y) | ||
| Eduardo E Caban Silva | Registered representative | Jul 2018 (8y) | ||
| Fernando Jose Gonzalez | Registered representative | Jul 2018 (8y) | ||
| Gabriel Angel Matos | Registered representative | Jul 2018 (8y) | ||
| John Thomas Engfer | Registered representative | Jul 2018 (8y) | ||
| Jorge L. L Rodriguez | Registered representative | Jul 2018 (8y) | ||
| Max Perez | Registered representative | Jul 2018 (8y) | ||
| Aaron Michael Daugherty | Registered representative | Jul 2018 (8y) | ||
| Edward Fernandez | Registered representative | Jul 2018 (8y) | ||
| Orlando Javier Perez | Registered representative | Jul 2018 (8y) | ||
| Thomas Malcolm Garity | Registered representative | Jul 2018 (8y) | ||
| Carlos Arturo Pou | Registered representative | Jul 2018 (8y) | ||
| Christopher Marak Riess | Registered representative | Jul 2018 (8y) | ||
| David Del Toro | Registered representative | Jul 2018 (8y) | ||
| David L Rojas | Registered representative | Jul 2018 (8y) | ||
| Enrique Juan Torruella | Registered representative | Jul 2018 (8y) | ||
| Frank Julio Carrasco | Registered representative | Jul 2018 (8y) | ||
| Jordan Dale Glaeser | Registered representative | Jul 2018 (8y) | ||
| Joseph John Murnane | Registered representative | Jul 2018 (8y) | ||
| Peter Broderick Lansing | Registered representative | Jul 2018 (8y) | ||
| Sonia Pou Monagas | Registered representative | Jul 2018 (8y) | ||
| Steven Bennett Perkal | Registered representative | Jul 2018 (8y) | ||
| Taryn Zimmerman | Registered representative | Jul 2018 (8y) | ||
| William Joseph Garity Medina | Registered representative | Jul 2018 (8y) | ||
| Xavier A. Aguayo Diaz | Registered representative | Jul 2018 (8y) | ||
| Armine Babayan | Registered representative | Jul 2018 (8y) | ||
| Charles Anthony Terrebonne | Registered representative | Jul 2018 (8y) | ||
| Grayson Miles Lynn | Registered representative | Jul 2018 (8y) | ||
| Jose E Chaves | Registered representative | Jul 2018 (8y) | ||
| Joseph David D Amico | Registered representative | Jul 2018 (8y) | ||
| Maria Teresa Torruella | Registered representative | Jul 2018 (8y) | ||
| Michelle M Rodriguez | Registered representative | Jul 2018 (8y) | ||
| Melissa Schutz Lilly | Registered representative | Jul 2018 (8y) | ||
| Teresa Elizabeth Decaro Nardi | Registered representative | Jul 2018 (8y) | ||
| William Blake Thompson | Registered representative | Jul 2018 (8y) | ||
| Maxim Olegovich Shubin | Registered representative | Jul 2018 (8y) | ||
| John R Barefoot | Registered representative | Jul 2018 (8y) | ||
| Marc Daniel Cimmino | Registered representative | Jul 2018 (8y) | ||
| Carlos Alberto Tovar | Registered representative | Jul 2018 (8y) | ||
| Jose Eduard Crescioni | Registered representative | Jul 2018 (8y) | ||
| Kimberley Ann Milani | Registered representative | Jul 2018 (8y) | ||
| Peter Michael Tarantino | Registered representative | Jul 2018 (8y) | ||
| Elizabeth Stoltz Rugg | Registered representative | Jul 2018 (8y) | ||
| Patricia Ann Camper Evitts | Registered representative | Jul 2018 (8y) | ||
| Amanda M Ryan | Registered representative | Jul 2018 (8y) | ||
| Kevin Gerard Murphy | Registered representative | Jul 2018 (8y) | ||
| Juan Calderon | Registered representative | Aug 2018 (8y) | ||
| Dimitrios Kostopoulos | Registered representative | Aug 2018 (8y) | ||
| Christopher Robert Settle | Registered representative | Aug 2018 (8y) | ||
| Miguel Angel Barbosa Machado | Registered representative | Aug 2018 (8y) | ||
| Lisa Marie Theys | Registered representative | Aug 2018 (8y) | ||
| Reed L Carter | Registered representative | Aug 2018 (8y) | ||
| Scott Watson | Registered representative | CFP | Aug 2018 (8y) | |
| Sandra Ago | Registered representative | Aug 2018 (8y) | ||
| Megan Leigh Portacci | Registered representative | Aug 2018 (8y) | ||
| Shawn Corey Healy | Registered representative | Aug 2018 (8y) | ||
| Colin Craig Faulkner | Registered representative | Aug 2018 (8y) | ||
| Matthew Arthur Della Croce | Registered representative | Aug 2018 (8y) | ||
| Aileen Farrell Schruth | Registered representative | CFP | Aug 2018 (8y) | |
| Amanda Williams Thorman | Registered representative | CFP | Aug 2018 (8y) | |
| Connor Ogden Sheryak | Registered representative | Aug 2018 (8y) | ||
| Harris Robert Rosenheim | Registered representative | CFP | Aug 2018 (8y) | |
| Janae Nicole Winner | Registered representative | Aug 2018 (8y) | ||
| Marc Simon Vermot | Registered representative | Aug 2018 (8y) | ||
| Ryan Charles Cox | Registered representative | Aug 2018 (8y) | ||
| Evan Lee Blake | Registered representative | Aug 2018 (8y) | ||
| Jennifer Jeane Kasker | Registered representative | Aug 2018 (8y) | ||
| Kimberly Kay Strobel | Registered representative | Aug 2018 (8y) | ||
| Christopher Cotter | Registered representative | CFP | Aug 2018 (8y) | |
| Christopher P. Sherman | Registered representative | Aug 2018 (8y) | ||
| Andrew M Mbaya | Registered representative | Aug 2018 (8y) | ||
| Austin Thomas Weir | Registered representative | Aug 2018 (8y) | ||
| James Michael Winn | Registered representative | Aug 2018 (8y) | ||
| Daniel Jay Wilskie | Registered representative | Aug 2018 (8y) | ||
| Joseph Gossett | Registered representative | CFA | Aug 2018 (8y) | |
| Linda M Standen | Registered representative | Aug 2018 (8y) | ||
| Richard Grant Decicco | Registered representative | Aug 2018 (8y) | ||
| David Joseph Boland | Registered representative | Sep 2018 (8y) | ||
| Christopher Perry Simone | Registered representative | Sep 2018 (8y) | ||
| Kelli Victoria Zaino | Registered representative | Sep 2018 (8y) | ||
| Lauren Kelley Humphreys | Registered representative | Sep 2018 (8y) | ||
| Mark David Gillen | Registered representative | Sep 2018 (8y) | ||
| Michael Christian O Brien | Registered representative | Sep 2018 (8y) | ||
| Rebecca Bertrando | Registered representative | Sep 2018 (8y) | ||
| Sarah Gies Cristiano | Registered representative | Sep 2018 (8y) | ||
| Thomas J Clarkson | Registered representative | Sep 2018 (8y) | ||
| Franklin Jerome Laden | Registered representative | Sep 2018 (8y) | ||
| Laura Casey Lake | Registered representative | Sep 2018 (8y) | ||
| Craig William Beresin | Registered representative | Sep 2018 (8y) | ||
| Kenneth Edward Zalcman | Registered representative | Sep 2018 (8y) | ||
| Neil Sidney Smith | Registered representative | Sep 2018 (8y) | ||
| Colin Strait Parker | Registered representative | Sep 2018 (8y) | ||
| Charles Mac Ewan Anderson | Registered representative | CFP | Sep 2018 (8y) | |
| Alfonso Barros | Registered representative | Sep 2018 (8y) | ||
| Tawana Anderson | Registered representative | Sep 2018 (8y) | ||
| Kacie Ann Mccool | Registered representative | Sep 2018 (8y) | ||
| Albert Edwin Schombs | Registered representative | Sep 2018 (8y) | ||
| David Mendieta | Registered representative | Sep 2018 (8y) | ||
| Jacqueline Henao | Registered representative | Sep 2018 (8y) | ||
| Mally Mills Burton | Registered representative | Sep 2018 (8y) | ||
| Palmer David Murray | Registered representative | Sep 2018 (8y) | ||
| Lynda A Durso | Registered representative | Sep 2018 (8y) | ||
| Elizabeth Anne Callura | Registered representative | Sep 2018 (8y) | ||
| Ainsley Ann Carbone | Registered representative | Oct 2018 (8y) | ||
| Ashley Lauren Butler | Registered representative | Oct 2018 (8y) | ||
| Magdiel Delgado | Registered representative | Oct 2018 (8y) | ||
| Matthew Benjamin Rappaport | Registered representative | Oct 2018 (8y) | ||
| Christine Marie Houston | Registered representative | Oct 2018 (8y) | ||
| James Donald Schade | Registered representative | Oct 2018 (8y) | ||
| Laura Ann Salmon | Registered representative | Oct 2018 (8y) | ||
| Mark Robert Henestofel | Registered representative | Oct 2018 (8y) | ||
| Melinda M Koehler | Registered representative | Oct 2018 (8y) | ||
| Max Samuel Hoffman | Registered representative | Oct 2018 (8y) | ||
| Amy May M Richards | Registered representative | Oct 2018 (8y) | ||
| Phillip Harrison Blair | Registered representative | Oct 2018 (8y) | ||
| Jillian Cheney Price | Registered representative | Oct 2018 (8y) | ||
| Stephen Lindsey Polhemus | Registered representative | Oct 2018 (8y) | ||
| Molly Jane Ellis | Registered representative | Oct 2018 (8y) | ||
| Michael Kurt Butler | Registered representative | Oct 2018 (8y) | ||
| Sarah T Petrone | Registered representative | Oct 2018 (8y) | ||
| Karl Nordstrom Engebretson | Registered representative | Oct 2018 (8y) | ||
| Danny Seto | Registered representative | Oct 2018 (8y) | ||
| Serafim Konstantinos Pistiolis | Registered representative | Oct 2018 (8y) | ||
| Deborah Allan Kraak | Registered representative | Oct 2018 (8y) | ||
| Aubrey Skye Blasko | Registered representative | Oct 2018 (8y) | ||
| Joseph Marc Rosen | Registered representative | Oct 2018 (8y) | ||
| Connor Robert Haskins | Registered representative | Oct 2018 (8y) | ||
| Lauren S Wright | Registered representative | Oct 2018 (8y) | ||
| Kurt Christopher Hegerfeld | Registered representative | Nov 2018 (8y) | ||
| George Smith Woodman Pratt | Registered representative | Nov 2018 (8y) | ||
| Isabel Luz Mitria | Registered representative | Nov 2018 (8y) | ||
| Austin Glenn Orkin | Registered representative | Nov 2018 (8y) | ||
| Katherine Rose Kippen | Registered representative | Nov 2018 (8y) | ||
| Michael Alexander Giuntini | Registered representative | Nov 2018 (8y) | ||
| Mariana Picans | Registered representative | Nov 2018 (8y) | ||
| Edward Richard Van Der Velden | Registered representative | Nov 2018 (8y) | ||
| Keegan James Mistry | Registered representative | Nov 2018 (8y) | ||
| Langston Said Mallouky | Registered representative | Nov 2018 (8y) | ||
| Cara Kelley Reese | Registered representative | Nov 2018 (8y) | ||
| Kelly S Beck | Registered representative | Nov 2018 (8y) | ||
| Stephanie Brooke Reiner | Registered representative | Nov 2018 (8y) | ||
| Amy Lynn Ryan | Registered representative | Nov 2018 (8y) | ||
| Jorge Balaguer | Registered representative | Nov 2018 (8y) | ||
| Joshua Ian Knickerbocker | Registered representative | Nov 2018 (8y) | ||
| John Thomas Metcalfe | Registered representative | Nov 2018 (8y) | ||
| Rosemar Gonzalez Perez | Registered representative | Nov 2018 (8y) | ||
| Alexandria Lynne Adiutori | Registered representative | Nov 2018 (8y) | ||
| Claudel Demosthene | Registered representative | Nov 2018 (8y) | ||
| Ashley Hornowski Schaper | Registered representative | Nov 2018 (8y) | ||
| Tiffany Beth Reid | Registered representative | Nov 2018 (8y) | ||
| Allison Cloud | Registered representative | Nov 2018 (8y) | ||
| Grady Douglas Bishop | Registered representative | Nov 2018 (8y) | ||
| Samantha Katherine Hodges | Registered representative | Nov 2018 (8y) | ||
| Laurie Lynn Thompson | Registered representative | Dec 2018 (8y) | ||
| Ruben Guerrero Ugalde | Registered representative | Dec 2018 (8y) | ||
| Angela Lynn Tostenson | Registered representative | Dec 2018 (8y) | ||
| Alex Pardy | Registered representative | Dec 2018 (8y) | ||
| Danielle Shar Mackey | Registered representative | Dec 2018 (8y) | ||
| Kerri Lynn Matthews | Registered representative | Dec 2018 (8y) | ||
| Nicholas Andrew Pappas | Registered representative | CFP | Dec 2018 (8y) | |
| Jonathan Wai Kit Chan | Registered representative | Dec 2018 (8y) | ||
| Timothy Hovey Chapin | Registered representative | Dec 2018 (8y) | ||
| Tristan D Cullis | Registered representative | Dec 2018 (8y) | ||
| Amanda Rhea Grubb | Registered representative | Dec 2018 (8y) | ||
| Benjamin Daniel Drescher | Registered representative | Dec 2018 (8y) | ||
| Carol Ann Wake | Registered representative | Dec 2018 (8y) | ||
| Elizabeth Anne Kenney | Registered representative | Dec 2018 (8y) | ||
| Nathan Estes Hall | Registered representative | Dec 2018 (8y) | ||
| Samuel Charles Rosis | Registered representative | Dec 2018 (8y) | ||
| Jeannette A Maddox | Registered representative | Dec 2018 (8y) | ||
| Felix Ting Wey Ling | Registered representative | Jan 2019 (8y) | ||
| Victor Andre Andre Morales | Registered representative | Jan 2019 (8y) | ||
| Eliza Luch | Registered representative | Jan 2019 (8y) | ||
| Katlyn E Gedeon | Registered representative | Jan 2019 (8y) | ||
| Yue Sun | Registered representative | Jan 2019 (8y) | ||
| Sean Muncy | Registered representative | Jan 2019 (8y) | ||
| Andrea Giulio Item | Registered representative | Jan 2019 (8y) | ||
| Kenneth Tang | Registered representative | CFP | Jan 2019 (8y) | |
| Edwin Hector Estepa | Registered representative | Jan 2019 (8y) | ||
| Richard Brian Mirrielees | Registered representative | CFP | Jan 2019 (8y) | |
| Ryan Karl | Registered representative | Jan 2019 (8y) | ||
| Sean Haran Quinn | Registered representative | CFP | Jan 2019 (8y) | |
| Mary Kay Weideman | Registered representative | Jan 2019 (8y) | ||
| Scott Jay Blankman | Registered representative | Jan 2019 (8y) | ||
| Sydney Rae Comstock | Registered representative | Jan 2019 (8y) | ||
| Billy Zhang | Registered representative | Jan 2019 (8y) | ||
| Daniel Joseph Imfeld | Registered representative | Jan 2019 (8y) | ||
| Shirley Chu | Registered representative | Jan 2019 (8y) | ||
| Demie A Kommatas | Registered representative | Jan 2019 (8y) | ||
| Sara Elizabeth Moyer | Registered representative | Jan 2019 (8y) | ||
| Jill Barbara Todd | Registered representative | Jan 2019 (8y) | ||
| Lisa Heidi Penny | Registered representative | Jan 2019 (8y) | ||
| Logan Meisel Pesses | Registered representative | Feb 2019 (8y) | ||
| Gregory Stuart Dobbs | Registered representative | Feb 2019 (7y) | ||
| Adam Jeffrey Fuelleman | Registered representative | CFA | Feb 2019 (7y) | |
| Adam Todd Argo | Registered representative | Feb 2019 (7y) | ||
| Andrea Catherine Devon | Registered representative | Feb 2019 (7y) | ||
| Kevin Michael Shepherd | Registered representative | Feb 2019 (7y) | ||
| Peter J. Kim | Registered representative | Feb 2019 (7y) | ||
| Alec Ian Bruce | Registered representative | Feb 2019 (7y) | ||
| Frank Richard Sullivan | Registered representative | Feb 2019 (7y) | ||
| John E Searing | Registered representative | Feb 2019 (7y) | ||
| Robert Michael Ryan | Registered representative | Feb 2019 (7y) | ||
| Seth D Albeck | Registered representative | Feb 2019 (7y) | ||
| Thomas Robert Dickson | Registered representative | Feb 2019 (7y) | ||
| Todd Spencer Iacovelli | Registered representative | Feb 2019 (7y) | ||
| Xingchen Yu | Registered representative | Feb 2019 (7y) | ||
| Carol Jean Gruba | Registered representative | Feb 2019 (7y) | ||
| Kate Gamache | Registered representative | Feb 2019 (7y) | ||
| William Samuel Clifford | Registered representative | Feb 2019 (7y) | ||
| Ryan Harris Rosegarten | Registered representative | CFP | Feb 2019 (7y) | |
| Bryan Colm Vandergriff | Registered representative | CFP | Feb 2019 (7y) | |
| Edward Stanley Ferguson | Registered representative | CFP | Feb 2019 (7y) | |
| Ethan Michael Bays | Registered representative | CFP | Feb 2019 (7y) | |
| Joshua M. Hollander | Registered representative | CFP | Feb 2019 (7y) | |
| Kyle Edward Head | Registered representative | Feb 2019 (7y) | ||
| Shelley D Rickman | Registered representative | CFP | Feb 2019 (7y) | |
| Jake Boyer | Registered representative | Feb 2019 (7y) | ||
| Jonathan William Levine | Registered representative | CFP | Feb 2019 (7y) | |
| Richard Brandon Hall | Registered representative | CFP | Feb 2019 (7y) | |
| Moira Caitlin Trott | Registered representative | Feb 2019 (7y) | ||
| Andrew Frazao | Registered representative | Feb 2019 (7y) | ||
| Maria Magdalena Lamas | Registered representative | Feb 2019 (7y) | ||
| Adrienne J Hart | Registered representative | Mar 2019 (7y) | ||
| Beatriz Mas | Registered representative | Mar 2019 (7y) | ||
| Paul Draeger | Registered representative | CFP | Mar 2019 (7y) | |
| Cristobal Cantu | Registered representative | Mar 2019 (7y) | ||
| Bryan S Romano | Registered representative | CFA | Mar 2019 (7y) | |
| Brennan David Lane | Registered representative | Mar 2019 (7y) | ||
| Alexandra Misha Ramirez | Registered representative | Mar 2019 (7y) | ||
| Allison Neumann | Registered representative | Mar 2019 (7y) | ||
| Chantal Moyer | Registered representative | Mar 2019 (7y) | ||
| Melissa Stephanie Lovell | Registered representative | Mar 2019 (7y) | ||
| Benjamin J Kingsley | Registered representative | CFP | Mar 2019 (7y) | |
| Dustin Craig Rief | Registered representative | CFP | Mar 2019 (7y) | |
| Daniel Charles Sweeney | Registered representative | Mar 2019 (7y) | ||
| Jeannette Diana Shaw | Registered representative | Mar 2019 (7y) | ||
| Jonathan N Bates Khosa | Registered representative | Mar 2019 (7y) | ||
| Michael Thomas Stepnowski | Registered representative | Mar 2019 (7y) | ||
| Gloria Elizabeth Mae Dios | Registered representative | Mar 2019 (7y) | ||
| James Zachary Williams | Registered representative | Mar 2019 (7y) | ||
| Leslie Tadross Style | Registered representative | Mar 2019 (7y) | ||
| Marc J Mosher | Registered representative | CFP | Mar 2019 (7y) | |
| Muhammad Ammar Qureshi | Registered representative | Mar 2019 (7y) | ||
| Troy John Jellison | Registered representative | Mar 2019 (7y) | ||
| Christina Argento | Registered representative | Mar 2019 (7y) | ||
| Linda Gail Barr | Registered representative | Mar 2019 (7y) | ||
| Christine A Mulkerrin | Registered representative | Mar 2019 (7y) | ||
| David Michael Uva | Registered representative | CFP Chartered Financial Consultant | Mar 2019 (7y) | |
| William Scot Marsden | Registered representative | CFP | Mar 2019 (7y) | |
| Bradley Thomas Sochowski | Registered representative | Mar 2019 (7y) | ||
| Bianca Rose Foster | Registered representative | Apr 2019 (7y) | ||
| Christopher S Dillon | Registered representative | Apr 2019 (7y) | ||
| John William Hanson | Registered representative | Apr 2019 (7y) | ||
| Ricardo Mendez Gutierrez | Registered representative | Apr 2019 (7y) | ||
| Sunil Dharamraj Bhavnani | Registered representative | Apr 2019 (7y) | ||
| Ronald Eugene Lohbeck | Registered representative | Apr 2019 (7y) | ||
| Anne Marie Cronin | Registered representative | Apr 2019 (7y) | ||
| James O Brien | Registered representative | Apr 2019 (7y) | ||
| Saina Yadlapalli | Registered representative | Apr 2019 (7y) | ||
| Catherine Marie Wash | Registered representative | Apr 2019 (7y) | ||
| Joseph William Hedrick | Registered representative | Apr 2019 (7y) | ||
| Joseph J Restaino | Registered representative | Apr 2019 (7y) | ||
| Alyssa Brittany Salas | Registered representative | Apr 2019 (7y) | ||
| Christina Cannizzaro | Registered representative | Apr 2019 (7y) | ||
| James Allen Miller | Registered representative | Apr 2019 (7y) | ||
| Pamela Chao | Registered representative | Apr 2019 (7y) | ||
| Taylor Joseph Wolf | Registered representative | Apr 2019 (7y) | ||
| Madeleine Dixon Bricken | Registered representative | Apr 2019 (7y) | ||
| Tracy Ann Garrett | Registered representative | Apr 2019 (7y) | ||
| Danielle Tucker | Registered representative | Apr 2019 (7y) | ||
| Eric Michael Tomsky | Registered representative | Apr 2019 (7y) | ||
| Joseph William Berkery | Registered representative | Apr 2019 (7y) | ||
| Tiffanie L Salisbury | Registered representative | Apr 2019 (7y) | ||
| Emily Alane Stork | Registered representative | Apr 2019 (7y) | ||
| Anthea Nicolette Allen Mikstay | Registered representative | May 2019 (7y) | ||
| Sara L. Healy | Registered representative | May 2019 (7y) | ||
| Alyssa Marie Scardelli | Registered representative | May 2019 (7y) | ||
| Shawn Steven Oliver | Registered representative | May 2019 (7y) | ||
| Kelliann O'connor | Registered representative | May 2019 (7y) | ||
| Katelyn Keough Solari | Registered representative | May 2019 (7y) | ||
| Lauren Rachel Feder | Registered representative | May 2019 (7y) | ||
| Robin Zhao | Registered representative | May 2019 (7y) | ||
| Mackenzie Dolan Somoza | Registered representative | May 2019 (7y) | ||
| Peter William Timmins | Registered representative | May 2019 (7y) | ||
| Tyler Lawrence Wood | Registered representative | CFP | May 2019 (7y) | |
| Alicia Jude Olivier | Registered representative | May 2019 (7y) | ||
| Zachary Walker Sampson | Registered representative | May 2019 (7y) | ||
| John L Liu | Registered representative | May 2019 (7y) | ||
| Kevin Goessele | Registered representative | May 2019 (7y) | ||
| Michael Andrew Bates | Registered representative | May 2019 (7y) | ||
| Nicholas Sinchak | Registered representative | May 2019 (7y) | ||
| Paul Eric Brewer | Registered representative | May 2019 (7y) | ||
| Indy Colas | Registered representative | Jun 2019 (7y) | ||
| Grant Porcelli Juth | Registered representative | Jun 2019 (7y) | ||
| Jenniffer Alejandra Castillo | Registered representative | Jun 2019 (7y) | ||
| Matthew Joseph Cerbone | Registered representative | Jun 2019 (7y) | ||
| Rachelle Mcdaniel Picard | Registered representative | Jun 2019 (7y) | ||
| Rachael Michelle Stiny | Registered representative | Jun 2019 (7y) | ||
| Cheryl Sue Palmiter Ekaitis | Registered representative | Jun 2019 (7y) | ||
| Crystal Dawn Leppo | Registered representative | Jun 2019 (7y) | ||
| Chad Edward Whitney | Registered representative | Jun 2019 (7y) | ||
| Marica Mattioli Davis | Registered representative | Jun 2019 (7y) | ||
| Derin Christiane Wenger | Registered representative | Jun 2019 (7y) | ||
| Elizabeth Mcstravick Demontrond | Registered representative | Jun 2019 (7y) | ||
| Brianne C Squibb | Registered representative | Jun 2019 (7y) | ||
| Aranzazu Suarez Gonzalez | Registered representative | Jun 2019 (7y) | ||
| Bradley Adam Maienschein | Registered representative | Jul 2019 (7y) | ||
| Cullen Leslie Thomason | Registered representative | Jul 2019 (7y) | ||
| Hans Steven Meixelsperger | Registered representative | Jul 2019 (7y) | ||
| Hunter L Henry | Registered representative | Jul 2019 (7y) | ||
| Christopher Morgan Eckhardt | Registered representative | Jul 2019 (7y) | ||
| Tia Denae Peace | Registered representative | Jul 2019 (7y) | ||
| Joseph John Velez | Registered representative | Jul 2019 (7y) | ||
| Ann Marie Mcriley | Registered representative | Jul 2019 (7y) | ||
| Michael James Braun | Registered representative | Jul 2019 (7y) | ||
| George Richard Milne | Registered representative | Jul 2019 (7y) | ||
| James Eugene Parker | Registered representative | Jul 2019 (7y) | ||
| Brittney Alexandra Dick | Registered representative | Jul 2019 (7y) | ||
| Peter Michael Loukis | Registered representative | Jul 2019 (7y) | ||
| Timothy Shawn Laughlin | Registered representative | Jul 2019 (7y) | ||
| Baily Kennedy Oldiges | Registered representative | Jul 2019 (7y) | ||
| Bruce Wynne Sharpe | Registered representative | Jul 2019 (7y) | ||
| Samuel Jeremy Feldman | Registered representative | CFP | Jul 2019 (7y) | |
| Gavan Wang | Registered representative | Jul 2019 (7y) | ||
| Kristina Rae Ann Recker | Registered representative | Jul 2019 (7y) | ||
| Casey Christopher Verst | Registered representative | Jul 2019 (7y) | ||
| Jonathon Leib | Registered representative | Jul 2019 (7y) | ||
| Joseph E. Brienza | Registered representative | Jul 2019 (7y) | ||
| Christian Blake Morris | Registered representative | Aug 2019 (7y) | ||
| William Banks Wall | Registered representative | Aug 2019 (7y) | ||
| Kristine Judith Forster | Registered representative | Aug 2019 (7y) | ||
| Lisandra Gil | Registered representative | Aug 2019 (7y) | ||
| Herbert Seth Hoffman | Registered representative | Aug 2019 (7y) | ||
| Harrison Call | Registered representative | Aug 2019 (7y) | ||
| Tyler Christopher Webb | Registered representative | Aug 2019 (7y) | ||
| Amie Marie Nees | Registered representative | Aug 2019 (7y) | ||
| David John Mattia | Registered representative | Aug 2019 (7y) | ||
| James Thomas Young | Registered representative | Aug 2019 (7y) | ||
| John Michael Conway | Registered representative | Aug 2019 (7y) | ||
| Shelli L Davenport | Registered representative | Aug 2019 (7y) | ||
| Elizabeth Ellen Misheff | Registered representative | Aug 2019 (7y) | ||
| Christianna Sunghee La Course | Registered representative | Aug 2019 (7y) | ||
| Jodie Lu | Registered representative | Aug 2019 (7y) | ||
| Graham Hunter Peek | Registered representative | Aug 2019 (7y) | ||
| Michele Mccallion | Registered representative | Aug 2019 (7y) | ||
| Peter Gerard May | Registered representative | CFP | Aug 2019 (7y) | |
| Kyle N Patrick | Registered representative | Aug 2019 (7y) | ||
| John Joseph D'amico | Registered representative | Aug 2019 (7y) | ||
| James Newlands Patrick | Registered representative | Aug 2019 (7y) | ||
| Katelyn Kennedy | Registered representative | Aug 2019 (7y) | ||
| Anna Catherine Dean | Registered representative | Sep 2019 (7y) | ||
| Pedro Villari | Registered representative | Sep 2019 (7y) | ||
| James A Richards | Registered representative | Sep 2019 (7y) | ||
| Neil A Conway | Registered representative | Sep 2019 (7y) | ||
| Andrew Keith Grennon | Registered representative | Sep 2019 (7y) | ||
| Markus Herr | Registered representative | Sep 2019 (7y) | ||
| Munish Dhall | Registered representative | Sep 2019 (7y) | ||
| William Kasemeyer Rotert | Registered representative | Sep 2019 (7y) | ||
| Teri Lynn Sundberg | Registered representative | Sep 2019 (7y) | ||
| Brian Thomas Mckenzie | Registered representative | Sep 2019 (7y) | ||
| Daniel Richard Kessler | Registered representative | Sep 2019 (7y) | ||
| Jacqueline Beth Spiro | Registered representative | Sep 2019 (7y) | ||
| Liam Ryan | Registered representative | Sep 2019 (7y) | ||
| Madeleine Rose Diskin | Registered representative | Sep 2019 (7y) | ||
| Natalie Jean Waterhouse | Registered representative | Sep 2019 (7y) | ||
| Olapeju Togunde | Registered representative | CFP | Sep 2019 (7y) | |
| Robert Huntsman Meeks | Registered representative | Sep 2019 (7y) | ||
| Eavenson Sutro Horter | Registered representative | Sep 2019 (7y) | ||
| Michael Vincent Messina | Registered representative | Sep 2019 (7y) | ||
| Marco Raphael Pamparo | Registered representative | Sep 2019 (7y) | ||
| William Fanning | Registered representative | Sep 2019 (7y) | ||
| Michael Zaky | Registered representative | Sep 2019 (7y) | ||
| Jose Antonio Iglesias | Registered representative | Sep 2019 (7y) | ||
| Christina C Hanss | Registered representative | Sep 2019 (7y) | ||
| Matthew Joseph Bocketti | Registered representative | Sep 2019 (7y) | ||
| Brittany Stephens Steitz | Registered representative | Sep 2019 (7y) | ||
| Brendan Thomas Farrell | Registered representative | Sep 2019 (7y) | ||
| Jerry Yao Chan | Registered representative | Sep 2019 (7y) | ||
| Saman Samii | Registered representative | Sep 2019 (7y) | ||
| Alexandra Nicole Morgan | Registered representative | Oct 2019 (7y) | ||
| Emily Lin Grandon | Registered representative | Oct 2019 (7y) | ||
| Molly Grace Mccormick | Registered representative | Oct 2019 (7y) | ||
| Kaitlyn Taylor Yacoub | Registered representative | Oct 2019 (7y) | ||
| Jared Michael Geoghan | Registered representative | Oct 2019 (7y) | ||
| Scott Charles Hinxman | Registered representative | Oct 2019 (7y) | ||
| Vincent Mezzina | Registered representative | Oct 2019 (7y) | ||
| Ashley Engel | Registered representative | Oct 2019 (7y) | ||
| Laurens William Cook | Registered representative | Oct 2019 (7y) | ||
| Tess Daniele David Mayo | Registered representative | Oct 2019 (7y) | ||
| Cassandra Marie Wincek | Registered representative | Oct 2019 (7y) | ||
| Sara Ziegler Humann | Registered representative | Oct 2019 (7y) | ||
| William Ryan Connor | Registered representative | Oct 2019 (7y) | ||
| Justin Gromley | Registered representative | CFP | Oct 2019 (7y) | |
| Jordan Christopher Burger | Registered representative | Oct 2019 (7y) | ||
| Nicholas R Villasenor | Registered representative | Oct 2019 (7y) | ||
| Holly K Berry | Registered representative | Oct 2019 (7y) | ||
| Evan Michael Clatterbuck | Registered representative | Oct 2019 (7y) | ||
| Weisner Perez Rodriguez | Registered representative | Oct 2019 (7y) | ||
| Craig James Mc Carty | Registered representative | Oct 2019 (7y) | ||
| Jasmine Thomas | Registered representative | Oct 2019 (7y) | ||
| Monica Jill Hays | Registered representative | Oct 2019 (7y) | ||
| Scott T. Atkins | Registered representative | Oct 2019 (7y) | ||
| Drew Patrick Babiak | Registered representative | Oct 2019 (7y) | ||
| Jessica Lynne Tomkiewicz | Registered representative | Oct 2019 (7y) | ||
| Joshua Robert Ruiz | Registered representative | Oct 2019 (7y) | ||
| Marcel Venere | Registered representative | Oct 2019 (7y) | ||
| Margaux Isabelle Yawn | Registered representative | Oct 2019 (7y) | ||
| Komalpreet Kaur | Registered representative | Oct 2019 (7y) | ||
| Yu Hsuan Hsieh | Registered representative | Nov 2019 (7y) | ||
| Daniel Joseph Geiger | Registered representative | Nov 2019 (7y) | ||
| Gaston Hernan Boigen | Registered representative | Nov 2019 (7y) | ||
| Angela Wen | Registered representative | Nov 2019 (7y) | ||
| Lisa Susanna Odsander Gronowski | Registered representative | Nov 2019 (7y) | ||
| Anthony Lawrence Sabatini | Registered representative | Nov 2019 (7y) | ||
| Randi Rich | Registered representative | Nov 2019 (7y) | ||
| Brittany Parker | Registered representative | Nov 2019 (7y) | ||
| Kathryn Ann Zalla | Registered representative | Nov 2019 (7y) | ||
| Jaime Lyn Corcoran | Registered representative | Nov 2019 (7y) | ||
| Nickolas Rene Prieto | Registered representative | Nov 2019 (7y) | ||
| Eric Matthew Yen | Registered representative | Nov 2019 (7y) | ||
| Sarin Scott Puri | Registered representative | Nov 2019 (7y) | ||
| Erin Brianna Ball | Registered representative | Nov 2019 (7y) | ||
| Karli Johnson | Registered representative | Nov 2019 (7y) | ||
| Joan Boncher | Registered representative | Nov 2019 (7y) | ||
| Catherine Reese Bickham | Registered representative | Nov 2019 (7y) | ||
| William Ingersoll Danforth | Registered representative | Dec 2019 (7y) | ||
| Chung Yan Ho | Registered representative | Dec 2019 (7y) | ||
| Nicola L. O'neil | Registered representative | CFP | Dec 2019 (7y) | |
| Jeffrey Jon Botz | Registered representative | CFP | Dec 2019 (7y) | |
| Katherine Kingsbury Baldt Woodbury | Registered representative | Dec 2019 (7y) | ||
| Matthew J Yoffredo | Registered representative | Dec 2019 (7y) | ||
| Michael John Capparelli | Registered representative | Dec 2019 (7y) | ||
| Carrie Louise Scaletta | Registered representative | Dec 2019 (7y) | ||
| Clarence Michael Hughes | Registered representative | Dec 2019 (7y) | ||
| Kerry Generose Carroll | Registered representative | Dec 2019 (7y) | ||
| Marcus Claude Jones | Registered representative | Dec 2019 (7y) | ||
| Reuben A Fink | Registered representative | Dec 2019 (7y) | ||
| Susan Hanako Morikawa | Registered representative | Dec 2019 (7y) | ||
| Christopher John Harrer | Registered representative | Dec 2019 (7y) | ||
| Sarah Frances Bothner | Registered representative | Dec 2019 (7y) | ||
| Joan Elizabeth Madriz | Registered representative | Dec 2019 (7y) | ||
| Lorene Roccon | Registered representative | Dec 2019 (7y) | ||
| Mary Kaitlyn Collins | Registered representative | Dec 2019 (7y) | ||
| Roberto Dejesuspou | Registered representative | Dec 2019 (7y) | ||
| William John Serralles | Registered representative | Dec 2019 (7y) | ||
| Lindsey Kay Langhans | Registered representative | Dec 2019 (7y) | ||
| Patricia M Lima | Registered representative | Dec 2019 (7y) | ||
| Whitney Ward | Registered representative | Dec 2019 (7y) | ||
| Nicholas Oliver Herem | Registered representative | CFP | Dec 2019 (7y) | |
| Rachel Ann Seely | Registered representative | CFP | Jan 2020 (7y) | |
| Courtney Kershaw | Registered representative | Jan 2020 (7y) | ||
| Andrea Duffey Scott | Registered representative | Jan 2020 (7y) | ||
| Jeffrey Rocca | Registered representative | Jan 2020 (7y) | ||
| Matthew George Watson | Registered representative | Jan 2020 (7y) | ||
| Danielle B Guerra | Registered representative | Jan 2020 (7y) | ||
| Breton James Laubscher | Registered representative | Jan 2020 (7y) | ||
| Joanne Beatrice Ferland | Registered representative | Jan 2020 (7y) | ||
| Marco J. Beltrano | Registered representative | Jan 2020 (7y) | ||
| Thomas Francis Lappin | Registered representative | Jan 2020 (7y) | ||
| Samuel Stothoff | Registered representative | Jan 2020 (7y) | ||
| Yang Chai | Registered representative | Jan 2020 (7y) | ||
| Cameron Matthew Elliott | Registered representative | Jan 2020 (7y) | ||
| Emily M Dannenhoffer | Registered representative | Jan 2020 (7y) | ||
| Gregory Michael Cash | Registered representative | Jan 2020 (7y) | ||
| Jonathan R Brick | Registered representative | Jan 2020 (7y) | ||
| John North Moore | Registered representative | Jan 2020 (7y) | ||
| Lincoln Taylor Steelman | Registered representative | Jan 2020 (7y) | ||
| Matthew Graham Mclaughlin | Registered representative | Jan 2020 (7y) | ||
| Trevor B Hoke | Registered representative | Jan 2020 (7y) | ||
| Erin Jean Benedetto | Registered representative | Jan 2020 (7y) | ||
| Holly M Giacobone | Registered representative | Jan 2020 (7y) | ||
| Karl Lee Kreshpane | Registered representative | CFP | Jan 2020 (7y) | |
| Laura Killette | Registered representative | Jan 2020 (7y) | ||
| R Mitchell Wickham | Registered representative | Jan 2020 (7y) | ||
| Ray Marshall Evans | Registered representative | Jan 2020 (7y) | ||
| Jason Martin Schlesinger | Registered representative | Jan 2020 (7y) | ||
| Jason Stephen Cheu | Registered representative | Jan 2020 (7y) | ||
| Julian Sanchez | Registered representative | Jan 2020 (7y) | ||
| Stephanie Wai Yi Wong | Registered representative | Jan 2020 (7y) | ||
| Eric Henry Jaun | Registered representative | Jan 2020 (7y) | ||
| Gregory Scott Smith | Registered representative | Jan 2020 (7y) | ||
| Michael Chester Szablak | Registered representative | Jan 2020 (7y) | ||
| Scott Edward Meyersburg | Registered representative | Jan 2020 (7y) | ||
| Catherine Julia Mc Laughlin | Registered representative | Jan 2020 (7y) | ||
| Nicholas Schoon | Registered representative | Jan 2020 (7y) | ||
| Tyler Thomas Merz | Registered representative | Jan 2020 (7y) | ||
| Colin Makram Talia | Registered representative | Jan 2020 (7y) | ||
| Federico Andres Lopez Juarbe | Registered representative | Feb 2020 (6y) | ||
| James T Milde | Registered representative | Feb 2020 (6y) | ||
| Robert Patrick Giordano | Registered representative | CFP | Feb 2020 (6y) | |
| Marisol Espinosa | Registered representative | Feb 2020 (6y) | ||
| Tyner Maddux Haag | Registered representative | Feb 2020 (6y) | ||
| Caitlin Watson | Registered representative | Feb 2020 (6y) | ||
| Paul James Leeming | Registered representative | Feb 2020 (6y) | ||
| Stacey Strauss | Registered representative | Feb 2020 (6y) | ||
| Lea Marie Ziesing | Registered representative | Feb 2020 (6y) | ||
| Aaron Zachariah Kurian | Registered representative | Feb 2020 (6y) | ||
| Cody Jay Sanchez | Registered representative | Feb 2020 (6y) | ||
| Conor Mc Cann | Registered representative | Feb 2020 (6y) | ||
| Karina Mendoza | Registered representative | Feb 2020 (6y) | ||
| Sang Oh | Registered representative | Feb 2020 (6y) | ||
| Victoria Anne Troccoli | Registered representative | Feb 2020 (6y) | ||
| Annemarie Rose Bejasa Dim | Registered representative | Feb 2020 (6y) | ||
| Maria M Andrade Coba | Registered representative | Feb 2020 (6y) | ||
| Jeannine Lyn Brookman | Registered representative | Feb 2020 (6y) | ||
| Kevin E Snead | Registered representative | Feb 2020 (6y) | ||
| Jonathan Schechter | Registered representative | Feb 2020 (6y) | ||
| Nora Therese Burke | Registered representative | Feb 2020 (6y) | ||
| Diane Marie Adams | Registered representative | Feb 2020 (6y) | ||
| Ronald Eugene Bryson | Registered representative | Feb 2020 (6y) | ||
| James Petika | Registered representative | Feb 2020 (6y) | ||
| Kirstin Bucci | Registered representative | Feb 2020 (6y) | ||
| Kristie Jo Monaco Peppy | Registered representative | Feb 2020 (6y) | ||
| Kelsey Christine Mc Kay | Registered representative | Feb 2020 (6y) | ||
| Matthew Michael Simi | Registered representative | Feb 2020 (6y) | ||
| John Richard Griep | Registered representative | Feb 2020 (6y) | ||
| Rylee Callan | Registered representative | Feb 2020 (6y) | ||
| Clara Luz Alicea | Registered representative | Feb 2020 (6y) | ||
| Patrick Brosnihan | Registered representative | Feb 2020 (6y) | ||
| Rachel D'entremont | Registered representative | Feb 2020 (6y) | ||
| Lori M Skiba | Registered representative | Feb 2020 (6y) | ||
| Jacqueline Catherine Atherden | Registered representative | Mar 2020 (6y) | ||
| Amanda Foster Paulik | Registered representative | Mar 2020 (6y) | ||
| Joseph Anthony Dieterle | Registered representative | Mar 2020 (6y) | ||
| Jack Solomon Korchek | Registered representative | Mar 2020 (6y) | ||
| Kyle Blinkhorn | Registered representative | Mar 2020 (6y) | ||
| Miguel A Hernandez | Registered representative | Mar 2020 (6y) | ||
| Rohan Shah | Registered representative | Mar 2020 (6y) | ||
| Madeline Nardi | Registered representative | Mar 2020 (6y) | ||
| Randall F. F Devaney | Registered representative | Mar 2020 (6y) | ||
| Steven Farid Shemirani | Registered representative | Mar 2020 (6y) | ||
| Clare Marie Marie Flynn | Registered representative | Mar 2020 (6y) | ||
| Gayle Trembley Crow | Registered representative | Mar 2020 (6y) | ||
| Angel Manuel Canabal | Registered representative | Mar 2020 (6y) | ||
| Eric Louis Snyder | Registered representative | Mar 2020 (6y) | ||
| Jose Alberto Chaves | Registered representative | Mar 2020 (6y) | ||
| Ricardo Eboli Kodesh | Registered representative | Mar 2020 (6y) | ||
| Cecilia Monserrat Corral | Registered representative | Mar 2020 (6y) | ||
| Jake Marsico | Registered representative | Mar 2020 (6y) | ||
| Mitchell Markley | Registered representative | Apr 2020 (6y) | ||
| Brent Kenneth Kramer | Registered representative | Apr 2020 (6y) | ||
| Daniel Isaac Levat | Registered representative | Apr 2020 (6y) | ||
| John R Carter | Registered representative | Apr 2020 (6y) | ||
| Tess Olivia Segal | Registered representative | Apr 2020 (6y) | ||
| Dana Allyse Sorensen | Registered representative | Apr 2020 (6y) | ||
| Stacy Lynn Fox | Registered representative | Apr 2020 (6y) | ||
| Christine Chun | Registered representative | Apr 2020 (6y) | ||
| Elizabeth Anne Worsnop | Registered representative | Apr 2020 (6y) | ||
| Justin M Low | Registered representative | May 2020 (6y) | ||
| Lovella G Mckim | Registered representative | May 2020 (6y) | ||
| Bradford George Norford | Registered representative | May 2020 (6y) | ||
| Joseph Rocco Aceto | Registered representative | CFP | May 2020 (6y) | |
| Christopher Sales Sorto | Registered representative | May 2020 (6y) | ||
| Holly M Van Wagner | Registered representative | May 2020 (6y) | ||
| Judy Lin | Registered representative | CFP CFA | May 2020 (6y) | |
| Marc Howard | Registered representative | May 2020 (6y) | ||
| Christopher Buckley | Registered representative | May 2020 (6y) | ||
| Linda Allen Custer | Registered representative | May 2020 (6y) | ||
| Andrew Michael Miller | Registered representative | May 2020 (6y) | ||
| Daniel Reto Hofmann | Registered representative | May 2020 (6y) | ||
| Chad Michael Jones | Registered representative | May 2020 (6y) | ||
| Cory Matthew Dowell | Registered representative | CFP | May 2020 (6y) | |
| John Donald Baumgarten | Registered representative | May 2020 (6y) | ||
| Martha G. Greenberg | Registered representative | May 2020 (6y) | ||
| Joshua Patrick Dowd | Registered representative | May 2020 (6y) | ||
| Jennifer Jean Chinn | Registered representative | May 2020 (6y) | ||
| Mary Smith Banis | Registered representative | May 2020 (6y) | ||
| Benjamin Maximilian Maier | Registered representative | Jun 2020 (6y) | ||
| Kari A. Day | Registered representative | Jun 2020 (6y) | ||
| Lisa Ann Albert | Registered representative | Jun 2020 (6y) | ||
| Bryan William Wickes | Registered representative | Jun 2020 (6y) | ||
| Stacey Marie Margraves | Registered representative | Jun 2020 (6y) | ||
| Corinne Carroll | Registered representative | Jun 2020 (6y) | ||
| Vivian Barbara Mui | Registered representative | Jun 2020 (6y) | ||
| Jared Tyler Emerick | Registered representative | Jun 2020 (6y) | ||
| Lisa Diane Snyder | Registered representative | Jun 2020 (6y) | ||
| David Griffith Degoler | Registered representative | Jun 2020 (6y) | ||
| Alan Wilfred Vest | Registered representative | Jun 2020 (6y) | ||
| Eric Benjamin Potoker | Registered representative | Jun 2020 (6y) | ||
| Ryan Troy | Registered representative | Jun 2020 (6y) | ||
| Tyler Alexander Deaver | Registered representative | Jun 2020 (6y) | ||
| Anthony Bellore | Registered representative | Jun 2020 (6y) | ||
| Amantia Muhedini | Registered representative | Jun 2020 (6y) | ||
| Patrick Lea Gardner | Registered representative | Jun 2020 (6y) | ||
| Michael Cooke | Registered representative | Jun 2020 (6y) | ||
| John Anthony Francis Grandizio | Registered representative | Jun 2020 (6y) | ||
| Jonathan Moore | Registered representative | Jun 2020 (6y) | ||
| Ian Geo Nicoll | Registered representative | Jun 2020 (6y) | ||
| Kimberly Diane O Doherty | Registered representative | Jun 2020 (6y) | ||
| Lisa Marie Armacost | Registered representative | CFP | Jun 2020 (6y) | |
| Angela Hinds Arolfo | Registered representative | Jul 2020 (6y) | ||
| Gina Marie Sellet | Registered representative | Jul 2020 (6y) | ||
| Justin John Frame | Registered representative | CFP | Jul 2020 (6y) | |
| Mark Vanderburg | Registered representative | Jul 2020 (6y) | ||
| Ross Michael Siegel | Registered representative | Jul 2020 (6y) | ||
| Kevin Michael Mulkern | Registered representative | Jul 2020 (6y) | ||
| Sandra Sanchez Heredia | Registered representative | Jul 2020 (6y) | ||
| Emily Jane Puckett | Registered representative | Jul 2020 (6y) | ||
| Carter D Babb | Registered representative | Jul 2020 (6y) | ||
| Julia Ann Harrison | Registered representative | Jul 2020 (6y) | ||
| Bruce Archie Dillard | Registered representative | Jul 2020 (6y) | ||
| Luzi Sommer | Registered representative | Jul 2020 (6y) | ||
| Kelly Harrington | Registered representative | Jul 2020 (6y) | ||
| Benjamin S Blumenthal | Registered representative | Jul 2020 (6y) | ||
| Chase Slyder | Registered representative | Jul 2020 (6y) | ||
| Zachary Harris Gaitz | Registered representative | Jul 2020 (6y) | ||
| Dennis Donovan | Registered representative | Jul 2020 (6y) | ||
| James Wickenden Birkins | Registered representative | Jul 2020 (6y) | ||
| Christina Marie Dlugosch | Registered representative | Jul 2020 (6y) | ||
| Daniel Sburlati Rupp | Registered representative | Jul 2020 (6y) | ||
| Jennifer Ann Lucovich | Registered representative | Jul 2020 (6y) | ||
| Alexander Henry Carver | Registered representative | Aug 2020 (6y) | ||
| Nicole Evelyn Olmscheid | Registered representative | Aug 2020 (6y) | ||
| Hailey Brielle Van Avery | Registered representative | Aug 2020 (6y) | ||
| Alex Casey Haffner | Registered representative | Aug 2020 (6y) | ||
| Adrienne Ciccone | Registered representative | Aug 2020 (6y) | ||
| Cody O'brian Finley | Registered representative | Aug 2020 (6y) | ||
| Leo Shohei Asada Johnson | Registered representative | Aug 2020 (6y) | ||
| David Tyler Kornhauser | Registered representative | Aug 2020 (6y) | ||
| Arnoldo Santiago | Registered representative | Aug 2020 (6y) | ||
| Jonathan Steele Williamson | Registered representative | Aug 2020 (6y) | ||
| Jason Allen Penn | Registered representative | Aug 2020 (6y) | ||
| Preston Joseph Ragonese | Registered representative | Aug 2020 (6y) | ||
| Brooke Dunlap Bontz | Registered representative | Aug 2020 (6y) | ||
| Joseph Brian Lembeck | Registered representative | Aug 2020 (6y) | ||
| Leigh Hastings Cundiff | Registered representative | Aug 2020 (6y) | ||
| Ashok Eastman | Registered representative | Aug 2020 (6y) | ||
| Alexandria Zoe Wiles | Registered representative | Aug 2020 (6y) | ||
| Matthew Paul Johnson | Registered representative | Aug 2020 (6y) | ||
| Nicholas John Hunt | Registered representative | Aug 2020 (6y) | ||
| Riley David Gannon | Registered representative | Aug 2020 (6y) | ||
| Stephen Crathorne Collins | Registered representative | Aug 2020 (6y) | ||
| Samantha Pham | Registered representative | Aug 2020 (6y) | ||
| Vincent Scott Straight | Registered representative | Aug 2020 (6y) | ||
| Anne Hallett Sarazin | Registered representative | Sep 2020 (6y) | ||
| Jana Vaudreuil | Registered representative | Sep 2020 (6y) | ||
| Miguel Maquet Diafouka | Registered representative | Sep 2020 (6y) | ||
| Gregory Collier Shurts | Registered representative | Sep 2020 (6y) | ||
| Alexandra Dianne Kohnert | Registered representative | Sep 2020 (6y) | ||
| Erin Marie Econom | Registered representative | Sep 2020 (6y) | ||
| Brian A Gemmell | Registered representative | Sep 2020 (6y) | ||
| Brandon Alex Feit | Registered representative | Sep 2020 (6y) | ||
| Eric Daniel Kessler | Registered representative | Sep 2020 (6y) | ||
| Kylie Shae Saigol | Registered representative | Sep 2020 (6y) | ||
| Laura Suarez Forero | Registered representative | Sep 2020 (6y) | ||
| Sean T Anthony | Registered representative | Sep 2020 (6y) | ||
| Stanley Ryan Viner | Registered representative | CFP | Sep 2020 (6y) | |
| Aaron Luis Gonzalez | Registered representative | Sep 2020 (6y) | ||
| Robin Lam | Registered representative | Sep 2020 (6y) | ||
| Bryant Chase Davis | Registered representative | Sep 2020 (6y) | ||
| Lynn Devere Hunter | Registered representative | Sep 2020 (6y) | ||
| Benjamin J Kellar | Registered representative | Sep 2020 (6y) | ||
| Craig Stephan Mandel | Registered representative | Sep 2020 (6y) | ||
| Michele Meilamed | Registered representative | Sep 2020 (6y) | ||
| Alex Samuel Gilman | Registered representative | Sep 2020 (6y) | ||
| Claudia Caroline Koenig Solazzo | Registered representative | Sep 2020 (6y) | ||
| Eric Matthew Wagner | Registered representative | Sep 2020 (6y) | ||
| Carl Thomas Nelson | Registered representative | Sep 2020 (6y) | ||
| Ryan David Peterson | Registered representative | Sep 2020 (6y) | ||
| Aaron Raskin | Registered representative | Sep 2020 (6y) | ||
| Scott Thomas Timko | Registered representative | Sep 2020 (6y) | ||
| Kelli Elisabeth Baumgardner | Registered representative | Sep 2020 (6y) | ||
| Shrinivas Chellappa | Registered representative | Sep 2020 (6y) | ||
| Andrew Eric Keller | Registered representative | CFP | Oct 2020 (6y) | |
| Daniel Jonathan Scansaroli | Registered representative | Oct 2020 (6y) | ||
| Heather Lynn Clark | Registered representative | Oct 2020 (6y) | ||
| John William Schlendorf | Registered representative | Oct 2020 (6y) | ||
| Marissa G Kivett | Registered representative | Oct 2020 (6y) | ||
| Alexander Darrell Crank | Registered representative | Oct 2020 (6y) | ||
| Scott C. Dale | Registered representative | Oct 2020 (6y) | ||
| Brett Christopher Zion | Registered representative | Oct 2020 (6y) | ||
| Caroline Elizabeth Perry | Registered representative | Oct 2020 (6y) | ||
| William Todd Stamper | Registered representative | Oct 2020 (6y) | ||
| Elizabeth Weidner Beauboeuf | Registered representative | Oct 2020 (6y) | ||
| Falon Harris | Registered representative | Oct 2020 (6y) | ||
| Morgan Elizabeth Herrick Cisneros | Registered representative | Oct 2020 (6y) | ||
| Matthew Adam Bates | Registered representative | Oct 2020 (6y) | ||
| Anthony John Lopipero | Registered representative | Oct 2020 (6y) | ||
| Alexander G Hewit | Registered representative | Oct 2020 (6y) | ||
| Dana Thi Nguyen | Registered representative | Oct 2020 (6y) | ||
| Robert Charles Stoker | Registered representative | Oct 2020 (6y) | ||
| Michael Austin Tucker | Registered representative | Oct 2020 (6y) | ||
| Andrew Eyerman | Registered representative | Oct 2020 (6y) | ||
| Timothy Scott Smith | Registered representative | Oct 2020 (6y) | ||
| Tracy Lynn Carson | Registered representative | Oct 2020 (6y) | ||
| Wynette J Lorenzana | Registered representative | Oct 2020 (6y) | ||
| Renee Anne Brabb | Registered representative | Oct 2020 (6y) | ||
| Karlyn Jaye Wright | Registered representative | Oct 2020 (6y) | ||
| Michael Paddington Norris | Registered representative | Oct 2020 (6y) | ||
| Olivia N Dekreon | Registered representative | Oct 2020 (6y) | ||
| Danielle Alayne Bratcher | Registered representative | Nov 2020 (6y) | ||
| Christopher Hovey Chapin | Registered representative | Nov 2020 (6y) | ||
| Grant Allen Acker | Registered representative | Nov 2020 (6y) | ||
| Michael Patrick Francis | Registered representative | Nov 2020 (6y) | ||
| Benjamin K Gongaware | Registered representative | Nov 2020 (6y) | ||
| Hunter Pittman Gray | Registered representative | Nov 2020 (6y) | ||
| Justin James Martys | Registered representative | Nov 2020 (6y) | ||
| John Lindsey | Registered representative | Nov 2020 (6y) | ||
| Mary Watkins Bennett | Registered representative | Nov 2020 (6y) | ||
| Robert Alan Blethen | Registered representative | Nov 2020 (6y) | ||
| Qiaoqiao Xie | Registered representative | Nov 2020 (6y) | ||
| Daniel Michael Lee Thompson | Registered representative | Nov 2020 (6y) | ||
| Ethan Frank Madera | Registered representative | Nov 2020 (6y) | ||
| Michael James Belknap | Registered representative | Nov 2020 (6y) | ||
| Toma Lee Kay | Registered representative | Nov 2020 (6y) | ||
| Cary Winton Clevenger | Registered representative | Nov 2020 (6y) | ||
| Gilbert Sanchez | Registered representative | Nov 2020 (6y) | ||
| Gregory J Wooten | Registered representative | CFP | Nov 2020 (6y) | |
| Lynne Andrews | Registered representative | Nov 2020 (6y) | ||
| Nancy Marie Kilby | Registered representative | Nov 2020 (6y) | ||
| Hilary Miller Farmer | Registered representative | Nov 2020 (6y) | ||
| Shelby Faye Tennant | Registered representative | Nov 2020 (6y) | ||
| Thomas Flores | Registered representative | Nov 2020 (6y) | ||
| Amy Mcmillen Jay | Registered representative | Nov 2020 (6y) | ||
| Brian J Truscott | Registered representative | Nov 2020 (6y) | ||
| Heather Lorraine Kleckley | Registered representative | Nov 2020 (6y) | ||
| Cristina Arias | Registered representative | Nov 2020 (6y) | ||
| Jacqueline Mariah Huvane | Registered representative | Nov 2020 (6y) | ||
| Daniel James Maloney | Registered representative | Dec 2020 (6y) | ||
| Greta Villarosa | Registered representative | Dec 2020 (6y) | ||
| Robert Edward Bauer | Registered representative | Dec 2020 (6y) | ||
| Susan Marie Heitman | Registered representative | Dec 2020 (6y) | ||
| Darrick James Walker | Registered representative | Dec 2020 (6y) | ||
| David Evan Liebowitz | Registered representative | Dec 2020 (6y) | ||
| Michael Walter Muniz | Registered representative | Dec 2020 (6y) | ||
| Daniel Scott Rothman | Registered representative | Dec 2020 (6y) | ||
| John Francis Hanley | Registered representative | CFA | Dec 2020 (6y) | |
| Christopher L Pitzak | Registered representative | Dec 2020 (6y) | ||
| Grady Keever Howard | Registered representative | Dec 2020 (6y) | ||
| Jeffrey A Lewis | Registered representative | Dec 2020 (6y) | ||
| Colin Matthew Mckay | Registered representative | Dec 2020 (6y) | ||
| Ronald Anthony Motta | Registered representative | Dec 2020 (6y) | ||
| Spencer William Cox | Registered representative | Dec 2020 (6y) | ||
| Steve Jarrin | Registered representative | Dec 2020 (6y) | ||
| Ali Simone Kabot | Registered representative | Dec 2020 (6y) | ||
| Benjamin Chung Valdes | Registered representative | Dec 2020 (6y) | ||
| Lauren Michele Becht | Registered representative | CFP | Dec 2020 (6y) | |
| Neil Shitut | Registered representative | Dec 2020 (6y) | ||
| Dale Richard Heysse | Registered representative | Dec 2020 (6y) | ||
| Jason James Valentz | Registered representative | Dec 2020 (6y) | ||
| Joseph Paul Zurfley | Registered representative | Dec 2020 (6y) | ||
| Jonathan Michael Solace | Registered representative | Dec 2020 (6y) | ||
| Rachael De Anna Egge | Registered representative | Dec 2020 (6y) | ||
| Lori Barnett Dicharry | Registered representative | Dec 2020 (6y) | ||
| Richard Brian Tucker | Registered representative | Dec 2020 (6y) | ||
| Adam William Arzner | Registered representative | Dec 2020 (6y) | ||
| Emma Rose Leibell | Registered representative | Dec 2020 (6y) | ||
| Evan Alexander Gould | Registered representative | Dec 2020 (6y) | ||
| Maria Mcardle | Registered representative | Dec 2020 (6y) | ||
| Brianna Jo Thompson | Registered representative | Dec 2020 (6y) | ||
| Dennis Charles Wendell | Registered representative | Dec 2020 (6y) | ||
| John G. Mc Colskey | Registered representative | Dec 2020 (6y) | ||
| Krista Ann Ondayko | Registered representative | Dec 2020 (6y) | ||
| Steve T May | Registered representative | Dec 2020 (6y) | ||
| Andrew William Paynter | Registered representative | Dec 2020 (6y) | ||
| Carl W Litsch | Registered representative | Dec 2020 (6y) | ||
| David M Barnett | Registered representative | Jan 2021 (6y) | ||
| John Tan | Registered representative | Jan 2021 (6y) | ||
| Nicholas Aponte | Registered representative | Jan 2021 (6y) | ||
| Stefanie Stannard | Registered representative | Jan 2021 (6y) | ||
| Jason Robert Gilcrease | Registered representative | Jan 2021 (6y) | ||
| Nicole King | Registered representative | Jan 2021 (6y) | ||
| Perry Robert Ninness | Registered representative | Jan 2021 (6y) | ||
| Sarah Elizabeth Hornsby | Registered representative | Jan 2021 (6y) | ||
| Elle Gueringer Miller | Registered representative | Jan 2021 (6y) | ||
| Ian Forbes Mc Collam | Registered representative | Jan 2021 (6y) | ||
| Jenna Lorraine Verbosky | Registered representative | Jan 2021 (6y) | ||
| John Robert Reynolds | Registered representative | Jan 2021 (6y) | ||
| Robert Morehead | Registered representative | Jan 2021 (6y) | ||
| Lisa A A Goode | Registered representative | Jan 2021 (6y) | ||
| Michael James O'hara | Registered representative | Jan 2021 (6y) | ||
| Evan Fowler | Registered representative | Jan 2021 (6y) | ||
| Natalie Marie Breon | Registered representative | Jan 2021 (6y) | ||
| Megan Strnadel | Registered representative | CFP | Jan 2021 (6y) | |
| Micah Dworak | Registered representative | Jan 2021 (6y) | ||
| Bruce J Schieler | Registered representative | Jan 2021 (6y) | ||
| Cassandra Jane Getschow | Registered representative | Jan 2021 (6y) | ||
| Charlotte Paige Berry | Registered representative | Jan 2021 (6y) | ||
| Horacio Stuart Aguirre | Registered representative | Jan 2021 (6y) | ||
| Miguel Enrique Hernandez | Registered representative | Jan 2021 (6y) | ||
| Vincenzo Cosmo Fiumara | Registered representative | Jan 2021 (6y) | ||
| Brian Thomas Corley | Registered representative | Jan 2021 (6y) | ||
| Daniel Justin Grover | Registered representative | CFP | Jan 2021 (6y) | |
| Jeffrey Ritch | Registered representative | Jan 2021 (6y) | ||
| Paula Nogueira Best | Registered representative | CFP | Jan 2021 (6y) | |
| Martin J Topol | Registered representative | Feb 2021 (6y) | ||
| Rachel Pack Nolan | Registered representative | Feb 2021 (6y) | ||
| Vincent Domenic Andrighetto | Registered representative | Feb 2021 (6y) | ||
| Spencer John Von Rueden | Registered representative | Feb 2021 (5y) | ||
| Brian Hans | Registered representative | Feb 2021 (5y) | ||
| Corey Gerard Mazza | Registered representative | Feb 2021 (5y) | ||
| Jaclyn Bellino | Registered representative | Feb 2021 (5y) | ||
| Doris Neyra | Registered representative | CFP | Feb 2021 (5y) | |
| Jared Pillar | Registered representative | Feb 2021 (5y) | ||
| Mario Antonio Reece Rosas | Registered representative | Feb 2021 (5y) | ||
| Merica Lynn Chmait | Registered representative | Feb 2021 (5y) | ||
| Ross Christopher Michael Gaudoin | Registered representative | Feb 2021 (5y) | ||
| Alyson Workman | Registered representative | Feb 2021 (5y) | ||
| Paula Alcantara | Registered representative | Feb 2021 (5y) | ||
| Adam Jason Lambert | Registered representative | Feb 2021 (5y) | ||
| Adrianne Michelle Hoy | Registered representative | Feb 2021 (5y) | ||
| Christine M Weber | Registered representative | Feb 2021 (5y) | ||
| Donald Depiro | Registered representative | Feb 2021 (5y) | ||
| Edward Lorne Dawson | Registered representative | Feb 2021 (5y) | ||
| Jin Hu | Registered representative | Feb 2021 (5y) | ||
| Katherine Tawoda | Registered representative | Feb 2021 (5y) | ||
| Louis C Mc Cabe | Registered representative | Feb 2021 (5y) | ||
| Maria Ann Gasparro | Registered representative | Feb 2021 (5y) | ||
| Patricia Bribiesca | Registered representative | Feb 2021 (5y) | ||
| Sarah Iadanza | Registered representative | CFP | Feb 2021 (5y) | |
| Terrence E Murphy | Registered representative | Feb 2021 (5y) | ||
| Jeanmarie Margaret Parker | Registered representative | Feb 2021 (5y) | ||
| Patrick Schaffer | Registered representative | CFA | Feb 2021 (5y) | |
| Marlena M Ocasio | Registered representative | Feb 2021 (5y) | ||
| Noam E Jacknis | Registered representative | Feb 2021 (5y) | ||
| Caroline Marshall Wyker | Registered representative | Feb 2021 (5y) | ||
| Steven L. Scher | Registered representative | Feb 2021 (5y) | ||
| Vicente Antonio Del Rio | Registered representative | Mar 2021 (5y) | ||
| Brian Phillip Beraha | Registered representative | Mar 2021 (5y) | ||
| Allison Courtney Marsh | Registered representative | Mar 2021 (5y) | ||
| Brandon Owen | Registered representative | Mar 2021 (5y) | ||
| Alexander Dimitri Awad | Registered representative | Mar 2021 (5y) | ||
| Ryan Scott Bristol | Registered representative | Mar 2021 (5y) | ||
| Samuel Robert Christopher | Registered representative | Mar 2021 (5y) | ||
| John Henry | Registered representative | Mar 2021 (5y) | ||
| Edwin Restrepo | Registered representative | Mar 2021 (5y) | ||
| Andrew Carl Rodrigues | Registered representative | Mar 2021 (5y) | ||
| Austin Oliver Poston | Registered representative | Mar 2021 (5y) | ||
| Casey Marsh | Registered representative | CFP | Mar 2021 (5y) | |
| Franklin Grant Fortney | Registered representative | Mar 2021 (5y) | ||
| Jesus Alfonso Valencia Romero | Registered representative | Mar 2021 (5y) | ||
| Michael B Nichley | Registered representative | Mar 2021 (5y) | ||
| Sylvia Rodriguez Flores | Registered representative | Mar 2021 (5y) | ||
| Walter Scott Fortney | Registered representative | Mar 2021 (5y) | ||
| Dhanesh Bharvani | Registered representative | Mar 2021 (5y) | ||
| Henri Charles Moreau | Registered representative | Mar 2021 (5y) | ||
| Katherine Stluka Daniels | Registered representative | Mar 2021 (5y) | ||
| Antoinette S Nevitt | Registered representative | Mar 2021 (5y) | ||
| Carmon J Erickson | Registered representative | Mar 2021 (5y) | ||
| Susan Hon | Registered representative | Mar 2021 (5y) | ||
| Foram Shah | Registered representative | Mar 2021 (5y) | ||
| Jennifer Marie Winge | Registered representative | Mar 2021 (5y) | ||
| Wilson John Lee | Registered representative | Mar 2021 (5y) | ||
| David Emerson Marshall | Registered representative | CFP | Mar 2021 (5y) | |
| John Eugene Lupario | Registered representative | Mar 2021 (5y) | ||
| Justina Marie Marie Bowker | Registered representative | Mar 2021 (5y) | ||
| Alyssa Xedus | Registered representative | Mar 2021 (5y) | ||
| Federico E Gatti | Registered representative | CFP | Mar 2021 (5y) | |
| Leticia C. Zemaitis | Registered representative | Mar 2021 (5y) | ||
| Barry Cleveland Peterson | Registered representative | Mar 2021 (5y) | ||
| John James Mcgrath | Registered representative | Mar 2021 (5y) | ||
| Jessica Hitzfeld | Registered representative | Mar 2021 (5y) | ||
| Reid Chase | Registered representative | Mar 2021 (5y) | ||
| Susan E Lupo | Registered representative | Mar 2021 (5y) | ||
| Suzanne Marie Latorre | Registered representative | Mar 2021 (5y) | ||
| Kristen Jean Zaharski | Registered representative | Mar 2021 (5y) | ||
| John Farrell | Registered representative | Apr 2021 (5y) | ||
| Eileen Marie Sullivan | Registered representative | Apr 2021 (5y) | ||
| Stephanie Higgins | Registered representative | Apr 2021 (5y) | ||
| Amy Renee Cousin Lancaster | Registered representative | Apr 2021 (5y) | ||
| Darryl William Rodgers | Registered representative | Apr 2021 (5y) | ||
| Katherine Linda Gros | Registered representative | Apr 2021 (5y) | ||
| Nora Quinn | Registered representative | Apr 2021 (5y) | ||
| Dalton Tyler Boyd | Registered representative | Apr 2021 (5y) | ||
| Lawrence M Evans | Registered representative | Apr 2021 (5y) | ||
| Marina Da Silva Castro | Registered representative | Apr 2021 (5y) | ||
| Matthew Stephen Hoffman | Registered representative | Apr 2021 (5y) | ||
| Nicholas Landy | Registered representative | CFP | Apr 2021 (5y) | |
| Charles Jefferson May | Registered representative | CFP | Apr 2021 (5y) | |
| Troy Adrian Foderingham | Registered representative | Apr 2021 (5y) | ||
| Nila Carissa Villasenor | Registered representative | Apr 2021 (5y) | ||
| Tina Renee Zemba | Registered representative | Apr 2021 (5y) | ||
| Timothy J Bayer | Registered representative | Apr 2021 (5y) | ||
| Thays P Pires | Registered representative | Apr 2021 (5y) | ||
| Laura Mc Avoy Chooljian | Registered representative | Apr 2021 (5y) | ||
| Matthew Perry | Registered representative | Apr 2021 (5y) | ||
| Fabian Ochsner | Registered representative | Apr 2021 (5y) | ||
| Michael Thomas Walker | Registered representative | Apr 2021 (5y) | ||
| Nicholas Joseph Pepe | Registered representative | Apr 2021 (5y) | ||
| Tamara Marie Grochala | Registered representative | Apr 2021 (5y) | ||
| David Koses Landy | Registered representative | Apr 2021 (5y) | ||
| Haley Tyrrell | Registered representative | Apr 2021 (5y) | ||
| Allen George Zaring | Registered representative | Apr 2021 (5y) | ||
| Melissa Van Putten Henderson | Registered representative | Apr 2021 (5y) | ||
| Amanda Rose Gordon | Registered representative | Apr 2021 (5y) | ||
| Christina Marie De Giuseppe | Registered representative | CFA | Apr 2021 (5y) | |
| Loic Collin | Registered representative | Apr 2021 (5y) | ||
| David Paul Logan | Registered representative | May 2021 (5y) | ||
| Amanda T Woo | Registered representative | May 2021 (5y) | ||
| Jasmine Leigh Edo | Registered representative | CFP | May 2021 (5y) | |
| Joel William East | Registered representative | May 2021 (5y) | ||
| Lauren Marie Healey | Registered representative | May 2021 (5y) | ||
| Nancy Theresa Barrett | Registered representative | May 2021 (5y) | ||
| Christopher Reicen | Registered representative | May 2021 (5y) | ||
| Gary Richard Burggraf | Registered representative | May 2021 (5y) | ||
| Benjie Batatan Esguerra | Registered representative | May 2021 (5y) | ||
| George James Chuchas | Registered representative | May 2021 (5y) | ||
| Jason Michael Arnold | Registered representative | May 2021 (5y) | ||
| Thomas Francis Mulvaney | Registered representative | May 2021 (5y) | ||
| Artur J Jotic | Registered representative | May 2021 (5y) | ||
| Peter Douglas Laird | Registered representative | May 2021 (5y) | ||
| Ronald Albert Kaufler | Registered representative | May 2021 (5y) | ||
| Morgan Maclellan | Registered representative | May 2021 (5y) | ||
| Robert Sterling Metcalf | Registered representative | May 2021 (5y) | ||
| Mariana Lauren Ali | Registered representative | May 2021 (5y) | ||
| Renee Michelle Hawkes | Registered representative | May 2021 (5y) | ||
| Vincent R Ragone | Registered representative | May 2021 (5y) | ||
| Arsenio Henry Borges | Registered representative | CFP | May 2021 (5y) | |
| Carolina Ospina | Registered representative | May 2021 (5y) | ||
| Jung H Cho | Registered representative | May 2021 (5y) | ||
| Dustin Kyle Roeder | Registered representative | May 2021 (5y) | ||
| Elizabeth A Doron | Registered representative | May 2021 (5y) | ||
| Ronald S Pillar | Registered representative | May 2021 (5y) | ||
| Sue L Sullivan | Registered representative | May 2021 (5y) | ||
| Katherine Rose Tschida | Registered representative | May 2021 (5y) | ||
| Kimberly Jean Pelletier | Registered representative | May 2021 (5y) | ||
| Tucker Wadkins | Registered representative | Jun 2021 (5y) | ||
| Jacob Alexander Calderon | Registered representative | Jun 2021 (5y) | ||
| Mark Andrew Cleary | Registered representative | Jun 2021 (5y) | ||
| Meridith Fae Verge | Registered representative | Jun 2021 (5y) | ||
| Scott L Rappaport | Registered representative | Jun 2021 (5y) | ||
| Alexandra Levenson Dandes | Registered representative | Jun 2021 (5y) | ||
| Oliver Dow | Registered representative | Jun 2021 (5y) | ||
| Jessica R Wright | Registered representative | Jun 2021 (5y) | ||
| Jake Andrew Woloshin | Registered representative | Jun 2021 (5y) | ||
| Veronica L Wang | Registered representative | Jun 2021 (5y) | ||
| Sarah Danielle Ponczek | Registered representative | Jun 2021 (5y) | ||
| Karina Tantalean | Registered representative | Jun 2021 (5y) | ||
| Jacqueline Bree Denton | Registered representative | Jun 2021 (5y) | ||
| Antwone Marques O'quinn | Registered representative | Jun 2021 (5y) | ||
| Franklin Josue Gutierrez | Registered representative | Jun 2021 (5y) | ||
| Danielle N Martinez | Registered representative | Jun 2021 (5y) | ||
| Theodore Bulinski | Registered representative | Jun 2021 (5y) | ||
| Christopher Bradley Sweesy | Registered representative | CFP | Jun 2021 (5y) | |
| Agustin Sola | Registered representative | Jun 2021 (5y) | ||
| Shawn Steven Higley | Registered representative | Jun 2021 (5y) | ||
| David Jerome Dentler | Registered representative | Jun 2021 (5y) | ||
| Allison D Daube | Registered representative | Jul 2021 (5y) | ||
| Joan Renee Phinney | Registered representative | Jul 2021 (5y) | ||
| Miranda Ross | Registered representative | Jul 2021 (5y) | ||
| Julia Yukiko James | Registered representative | Jul 2021 (5y) | ||
| Karina Vaz Ivkovic | Registered representative | Jul 2021 (5y) | ||
| Daniel J Kent | Registered representative | Jul 2021 (5y) | ||
| Bridgid Clare Kelly | Registered representative | Jul 2021 (5y) | ||
| Jordan Tyler Guzman | Registered representative | Jul 2021 (5y) | ||
| Michael Patrick Crotty | Registered representative | Jul 2021 (5y) | ||
| Sean Scott Livingston | Registered representative | Jul 2021 (5y) | ||
| Joshua David Pfeiffer | Registered representative | Jul 2021 (5y) | ||
| Joseph Jin | Registered representative | CFP | Jul 2021 (5y) | |
| Lin Qian Shao | Registered representative | Jul 2021 (5y) | ||
| Matthew Nathan Gordon | Registered representative | Jul 2021 (5y) | ||
| David Kalani Ochotorena | Registered representative | CFP | Jul 2021 (5y) | |
| Jillian Campbell Mcgrath | Registered representative | Jul 2021 (5y) | ||
| Alexandra Katya K Marston Akervik | Registered representative | Jul 2021 (5y) | ||
| Benjamin Randall Bostic | Registered representative | Jul 2021 (5y) | ||
| Deborah J Erickson | Registered representative | Jul 2021 (5y) | ||
| Felicia Denee' Hill Graham | Registered representative | Jul 2021 (5y) | ||
| Micah Jay Roberge | Registered representative | Jul 2021 (5y) | ||
| Shaun C Hawkins | Registered representative | Jul 2021 (5y) | ||
| Undra Jerome Johnson | Registered representative | Jul 2021 (5y) | ||
| Vanessa Spoto | Registered representative | Jul 2021 (5y) | ||
| Brett Ryan Headley | Registered representative | CFP | Jul 2021 (5y) | |
| Kaus J Christopher | Registered representative | CFP | Jul 2021 (5y) | |
| Richard Stephen Grimes | Registered representative | Jul 2021 (5y) | ||
| Angela M Colombani | Registered representative | Jul 2021 (5y) | ||
| Agustina Gandulfo | Registered representative | Jul 2021 (5y) | ||
| Daniel Bart Silverberg | Registered representative | Jul 2021 (5y) | ||
| Dawn Marie Stil | Registered representative | Jul 2021 (5y) | ||
| Jeffrey Louis Daniels | Registered representative | Jul 2021 (5y) | ||
| Joseph Louis Cirucci | Registered representative | Jul 2021 (5y) | ||
| Jared Spencer Brent | Registered representative | Jul 2021 (5y) | ||
| Richard F Hughes | Registered representative | Jul 2021 (5y) | ||
| Shawn Senior | Registered representative | Jul 2021 (5y) | ||
| Alexander S Fridell | Registered representative | Jul 2021 (5y) | ||
| Alison Tubbs Mandi | Registered representative | Jul 2021 (5y) | ||
| Christopher John Kincade | Registered representative | Jul 2021 (5y) | ||
| Colton P Shearer | Registered representative | Jul 2021 (5y) | ||
| Elizabeth Martee Schiowitz | Registered representative | Jul 2021 (5y) | ||
| Stephen Michael Kincade | Registered representative | Jul 2021 (5y) | ||
| Zachary J Kingsley | Registered representative | Jul 2021 (5y) | ||
| Matthew J Effner | Registered representative | Jul 2021 (5y) | ||
| Michelle Harvey | Registered representative | Jul 2021 (5y) | ||
| Rollan Jay Degeare | Registered representative | Jul 2021 (5y) | ||
| Vicki D Montellano | Registered representative | Jul 2021 (5y) | ||
| Dylan Peckham | Registered representative | Jul 2021 (5y) | ||
| Luis Javier Loboguerrero | Registered representative | Jul 2021 (5y) | ||
| Brooke Nicole Banning | Registered representative | Jul 2021 (5y) | ||
| Daniel John Dullum | Registered representative | Jul 2021 (5y) | ||
| Cynthia Golden Brown | Registered representative | Jul 2021 (5y) | ||
| Deanna M Atkinson | Registered representative | Jul 2021 (5y) | ||
| Daffan Watson Nettle | Registered representative | Jul 2021 (5y) | ||
| John Thomas Davenport | Registered representative | Jul 2021 (5y) | ||
| Ira Andrew Black | Registered representative | Jul 2021 (5y) | ||
| Juan Juan Ren | Registered representative | Jul 2021 (5y) | ||
| Shinda Bickham | Registered representative | Jul 2021 (5y) | ||
| Megan Mcguire Disimile | Registered representative | Jul 2021 (5y) | ||
| Bryan Nicholas Davis | Registered representative | Aug 2021 (5y) | ||
| James Boynton | Registered representative | Aug 2021 (5y) | ||
| Kelly Baker Ferrarese | Registered representative | Aug 2021 (5y) | ||
| Kinsley Morrow | Registered representative | Aug 2021 (5y) | ||
| Anne Watkins Davidson | Registered representative | Aug 2021 (5y) | ||
| Chase Dillon Bradshaw | Registered representative | Aug 2021 (5y) | ||
| Christopher Joseph Gallant | Registered representative | Aug 2021 (5y) | ||
| David Thomas Morrison | Registered representative | Aug 2021 (5y) | ||
| Jillian Margaret Prillaman | Registered representative | Aug 2021 (5y) | ||
| Patrick Blake Di Giacomo | Registered representative | Aug 2021 (5y) | ||
| Nikita Maniar | Registered representative | Aug 2021 (5y) | ||
| Adam Allen Olivas | Registered representative | Aug 2021 (5y) | ||
| Brian Mac Arthur | Registered representative | CFP CFA | Aug 2021 (5y) | |
| William Charles Stanton | Registered representative | CFP | Aug 2021 (5y) | |
| Darcy Gibson Graham Andrews | Registered representative | Aug 2021 (5y) | ||
| Casey Leigh Minnick | Registered representative | Aug 2021 (5y) | ||
| Kelly Michelle Rote | Registered representative | Aug 2021 (5y) | ||
| Francisco Clavijo | Registered representative | Aug 2021 (5y) | ||
| Carlos Valverde Duran | Registered representative | Aug 2021 (5y) | ||
| Josephine Maria Noto | Registered representative | Aug 2021 (5y) | ||
| Leslie Gunawan | Registered representative | CFP | Aug 2021 (5y) | |
| Robert Warren | Registered representative | Aug 2021 (5y) | ||
| Adam Vaughan Tait | Registered representative | Aug 2021 (5y) | ||
| Carmen Milagros Marrero | Registered representative | Aug 2021 (5y) | ||
| Brian Lacks | Registered representative | Aug 2021 (5y) | ||
| Bryce Andrew Blackwell | Registered representative | Aug 2021 (5y) | ||
| Mark Kevin Brenner | Registered representative | Aug 2021 (5y) | ||
| Shawn M Hill | Registered representative | Aug 2021 (5y) | ||
| Timothy O Mcelroy | Registered representative | Aug 2021 (5y) | ||
| Brandon Scott Powell | Registered representative | Aug 2021 (5y) | ||
| Carl Edgerton Powell | Registered representative | Aug 2021 (5y) | ||
| David Qiang Kuang | Registered representative | CFP | Aug 2021 (5y) | |
| Meegan Elizabeth Engles | Registered representative | Aug 2021 (5y) | ||
| Eduardo Martin Caamano Rial | Registered representative | Aug 2021 (5y) | ||
| Gabriel Cabrera | Registered representative | Aug 2021 (5y) | ||
| Eduardo Cruz | Registered representative | Aug 2021 (5y) | ||
| Karin Lalendorf Veatch | Registered representative | Aug 2021 (5y) | ||
| Karl Gary Agar | Registered representative | Aug 2021 (5y) | ||
| Milissa Marie Brennan | Registered representative | Aug 2021 (5y) | ||
| Meghan Nemechek Thurston | Registered representative | Aug 2021 (5y) | ||
| Marianne Veenstra | Registered representative | Aug 2021 (5y) | ||
| Demetrio Henry Kerrison | Registered representative | Sep 2021 (5y) | ||
| Austin Cavallo | Registered representative | Sep 2021 (5y) | ||
| Christopher Hidalgo | Registered representative | Sep 2021 (5y) | ||
| Elena Messuro | Registered representative | Sep 2021 (5y) | ||
| Jose Mari Cortez Asuncion | Registered representative | Sep 2021 (5y) | ||
| Matthew Alfano | Registered representative | Sep 2021 (5y) | ||
| Tara Kathryn Hoff | Registered representative | Sep 2021 (5y) | ||
| Amanda Rubino Smithy | Registered representative | CFP | Sep 2021 (5y) | |
| Henry Simons | Registered representative | Sep 2021 (5y) | ||
| Kaitlin Grace Lebow | Registered representative | Sep 2021 (5y) | ||
| Rosamond Elizabeth Moylan | Registered representative | Sep 2021 (5y) | ||
| Clinton Marriott | Registered representative | Sep 2021 (5y) | ||
| Hollanda Iwanski | Registered representative | CFP | Sep 2021 (5y) | |
| Jordan Noelle Ricciardi | Registered representative | Sep 2021 (5y) | ||
| Mark Paterno Remigio | Registered representative | CFP | Sep 2021 (5y) | |
| Margaret Mary Bree | Registered representative | Sep 2021 (5y) | ||
| William Hunter Akins | Registered representative | Sep 2021 (5y) | ||
| Caitlin Marie Perry | Registered representative | Sep 2021 (5y) | ||
| Daniel Jonathan Gray | Registered representative | Sep 2021 (5y) | ||
| Martin Joseph Finn | Registered representative | Sep 2021 (5y) | ||
| Daniel R Larner | Registered representative | Sep 2021 (5y) | ||
| Bayley Jensen Thomas | Registered representative | Sep 2021 (5y) | ||
| Gage Krieger | Registered representative | Sep 2021 (5y) | ||
| Ben Thomas Nelson | Registered representative | Sep 2021 (5y) | ||
| Pietro Possenti | Registered representative | Sep 2021 (5y) | ||
| Austin C Klinger | Registered representative | Sep 2021 (5y) | ||
| Cynthia Swinney O'neal | Registered representative | Sep 2021 (5y) | ||
| Kevin Edward Butler | Registered representative | Sep 2021 (5y) | ||
| Nabil Shurafa | Registered representative | CFA | Sep 2021 (5y) | |
| Stephen Piela | Registered representative | Sep 2021 (5y) | ||
| George Lee Towers | Registered representative | Sep 2021 (5y) | ||
| Raseca Eustaquio | Registered representative | Sep 2021 (5y) | ||
| Tara G Huntzicker | Registered representative | Sep 2021 (5y) | ||
| Corey Michael Ramos | Registered representative | Sep 2021 (5y) | ||
| Thomas Ryan Cooke | Registered representative | Sep 2021 (5y) | ||
| Vania Marques | Registered representative | Sep 2021 (5y) | ||
| Victoria Montemorano | Registered representative | Sep 2021 (5y) | ||
| Debbie Chen | Registered representative | Sep 2021 (5y) | ||
| Jacob Joseph Triarsi | Registered representative | Sep 2021 (5y) | ||
| Jennifer Lucille Pierce | Registered representative | CFA | Sep 2021 (5y) | |
| Stephen John Kuduk | Registered representative | Sep 2021 (5y) | ||
| Nelson Hugh Mackintosh | Registered representative | Sep 2021 (5y) | ||
| Aleksei Moshiashvili | Registered representative | Sep 2021 (5y) | ||
| Brian Andrew Weber | Registered representative | Sep 2021 (5y) | ||
| Christopher William Weber | Registered representative | Sep 2021 (5y) | ||
| Steven Jeffrey Weber | Registered representative | Sep 2021 (5y) | ||
| Wendy Jolene Walker | Registered representative | Sep 2021 (5y) | ||
| David M Colombo | Registered representative | Sep 2021 (5y) | ||
| Monica Schmidt Stempel | Registered representative | Sep 2021 (5y) | ||
| Mariana Zanin Ferreira Zuanetti | Registered representative | Oct 2021 (5y) | ||
| Dean Riley | Registered representative | Oct 2021 (5y) | ||
| Roberto Reyes | Registered representative | Oct 2021 (5y) | ||
| Brittany Joy Vasakis | Registered representative | Oct 2021 (5y) | ||
| Samuel Peter Jenson | Registered representative | Oct 2021 (5y) | ||
| Amy Jo Wilson | Registered representative | Oct 2021 (5y) | ||
| Corbin Best | Registered representative | CFA | Oct 2021 (5y) | |
| Hannah Elizabeth Thomas | Registered representative | Oct 2021 (5y) | ||
| Jose Alejandro Leopando | Registered representative | Oct 2021 (5y) | ||
| Michael Thomas Valenti | Registered representative | Oct 2021 (5y) | ||
| Samantha Eileen Maley | Registered representative | Oct 2021 (5y) | ||
| Cynthia A Valencia | Registered representative | Oct 2021 (5y) | ||
| Emily Trinh Jacobsen | Registered representative | Oct 2021 (5y) | ||
| Alexander Richard Johnson | Registered representative | CFP | Oct 2021 (5y) | |
| Kimberly Ann Byrne | Registered representative | Oct 2021 (5y) | ||
| Mitchell Hayes | Registered representative | Oct 2021 (5y) | ||
| Wendi Christine Koleszar | Registered representative | Oct 2021 (5y) | ||
| Christian Perry Clausen | Registered representative | Oct 2021 (5y) | ||
| Gary Fred Vengelen | Registered representative | Oct 2021 (5y) | ||
| Jake Pantalone | Registered representative | Oct 2021 (5y) | ||
| Nicholas Uva | Registered representative | Oct 2021 (5y) | ||
| Grace Mary Doern | Registered representative | Oct 2021 (5y) | ||
| Lamar Remy | Registered representative | Oct 2021 (5y) | ||
| Adam Donald Brown | Registered representative | Oct 2021 (5y) | ||
| Joseph John Hertig | Registered representative | Oct 2021 (5y) | ||
| Olivia Claire Sullivan | Registered representative | Oct 2021 (5y) | ||
| Scott Allen Seifert | Registered representative | CFP | Oct 2021 (5y) | |
| Tracy William Green | Registered representative | Oct 2021 (5y) | ||
| Lisa Woirhaye | Registered representative | Oct 2021 (5y) | ||
| Michael Sean Blevins | Registered representative | Oct 2021 (5y) | ||
| Raymond G Farnesi | Registered representative | Oct 2021 (5y) | ||
| Nicholas C Tavares | Registered representative | Oct 2021 (5y) | ||
| Shannon Louise Friend | Registered representative | Oct 2021 (5y) | ||
| Anthony D Anton | Registered representative | Oct 2021 (5y) | ||
| Kevin M Heck | Registered representative | Oct 2021 (5y) | ||
| Matthew T Leone | Registered representative | Oct 2021 (5y) | ||
| Derek D Nelson | Registered representative | Oct 2021 (5y) | ||
| Matthew David Steele | Registered representative | Oct 2021 (5y) | ||
| Donald Joseph Mazza | Registered representative | Oct 2021 (5y) | ||
| Jacob Rams | Registered representative | Oct 2021 (5y) | ||
| Margaret Rimmel Galant | Registered representative | Oct 2021 (5y) | ||
| Rylee Marie Desin | Registered representative | Oct 2021 (5y) | ||
| Adam Gregory Lafer | Registered representative | Oct 2021 (5y) | ||
| Adam M Burns | Registered representative | Oct 2021 (5y) | ||
| Adam Michael Thornton | Registered representative | Oct 2021 (5y) | ||
| Adriana Arizmendy | Registered representative | Oct 2021 (5y) | ||
| Albert Telin Niu | Registered representative | Oct 2021 (5y) | ||
| Alexander Dodds Smith | Registered representative | CFP | Oct 2021 (5y) | |
| Alexandra Rubert Broms | Registered representative | Oct 2021 (5y) | ||
| Alexandra S Lloyd | Registered representative | Oct 2021 (5y) | ||
| Alicia Renee Malcolm | Registered representative | Oct 2021 (5y) | ||
| Alvaro De Lucas Collantes | Registered representative | Oct 2021 (5y) | ||
| Amanda Nicole Librizzi | Registered representative | Oct 2021 (5y) | ||
| Amy J Mahoney | Registered representative | Oct 2021 (5y) | ||
| Amy Provost | Registered representative | Oct 2021 (5y) | ||
| Andrew D. Stone | Registered representative | Oct 2021 (5y) | ||
| Angel Tomas Ordonez | Registered representative | Oct 2021 (5y) | ||
| Anna Maria Dibiase | Registered representative | Oct 2021 (5y) | ||
| Anthony Pastore Jr. | Registered representative | Oct 2021 (5y) | ||
| Antoinette W Wallace | Registered representative | Oct 2021 (5y) | ||
| Armando Michelangelo | Registered representative | Oct 2021 (5y) | ||
| Ashleigh B Barr | Registered representative | Oct 2021 (5y) | ||
| Alexandra Quinn Maounis | Registered representative | Oct 2021 (5y) | ||
| Alexis Rose Rose Williams | Registered representative | Oct 2021 (5y) | ||
| Andrea Marie Hageman | Registered representative | Oct 2021 (5y) | ||
| Angelia Schmidt | Registered representative | Oct 2021 (5y) | ||
| Ann Elizabeth Elizabeth Connor | Registered representative | CFP | Oct 2021 (5y) | |
| Benjamin Phillipe Trehet | Registered representative | Oct 2021 (5y) | ||
| Bradley William Zilbersher | Registered representative | Oct 2021 (5y) | ||
| Brandon Matthew Sobel | Registered representative | Oct 2021 (5y) | ||
| Brendan Michael Murphy | Registered representative | Oct 2021 (5y) | ||
| Brian Joseph Bennett | Registered representative | Oct 2021 (5y) | ||
| Bryce N. Mandzuk | Registered representative | Oct 2021 (5y) | ||
| Brittany Nicole Menke | Registered representative | Oct 2021 (5y) | ||
| Cara Ann Fazio | Registered representative | Oct 2021 (5y) | ||
| Carol Ann Ward | Registered representative | Oct 2021 (5y) | ||
| Carolyn Mary Forman | Registered representative | Oct 2021 (5y) | ||
| Carrie Anne Dady | Registered representative | Oct 2021 (5y) | ||
| Carrie Anne Marone | Registered representative | Oct 2021 (5y) | ||
| Catherine M Lapadula | Registered representative | Oct 2021 (5y) | ||
| Chaim Koplowitz | Registered representative | Oct 2021 (5y) | ||
| Charles Edward Crystal | Registered representative | Oct 2021 (5y) | ||
| Charlie Kim | Registered representative | Oct 2021 (5y) | ||
| Cheryl Petrigliano | Registered representative | Oct 2021 (5y) | ||
| Christina Marie Spiro | Registered representative | Oct 2021 (5y) | ||
| Christina Zutter | Registered representative | Oct 2021 (5y) | ||
| Christine Elaine Seewaldt | Registered representative | Oct 2021 (5y) | ||
| Christine Muneyyirci | Registered representative | Oct 2021 (5y) | ||
| Christopher John Lash | Registered representative | Oct 2021 (5y) | ||
| Christopher Michael Caufield | Registered representative | Oct 2021 (5y) | ||
| Christopher Michael Conahan | Registered representative | Oct 2021 (5y) | ||
| Christopher Robert Sharkey | Registered representative | Oct 2021 (5y) | ||
| Chrysanthe E Pietramala | Registered representative | Oct 2021 (5y) | ||
| Cirla Yaari | Registered representative | Oct 2021 (5y) | ||
| Connie L Herr | Registered representative | Oct 2021 (5y) | ||
| Craig Anthony Ellis | Registered representative | Oct 2021 (5y) | ||
| Craig Matthew Leiderman | Registered representative | Oct 2021 (5y) | ||
| Caroline Elaine Blank | Registered representative | Oct 2021 (5y) | ||
| Christos George Kanavos | Registered representative | Oct 2021 (5y) | ||
| Daniel Scheinthal | Registered representative | Oct 2021 (5y) | ||
| Danielle Stimus | Registered representative | Oct 2021 (5y) | ||
| Daryl Robert Dewbrey | Registered representative | Oct 2021 (5y) | ||
| David George Ciprich | Registered representative | Oct 2021 (5y) | ||
| David Ian Palmer | Registered representative | Oct 2021 (5y) | ||
| David Seth Lefkowitz | Registered representative | Oct 2021 (5y) | ||
| Dawn E Frenza | Registered representative | Oct 2021 (5y) | ||
| Deborah Lisbona Minch | Registered representative | Oct 2021 (5y) | ||
| Demetrios Pilavas | Registered representative | Oct 2021 (5y) | ||
| Denis Kallfa | Registered representative | Oct 2021 (5y) | ||
| Dennis James Doherty | Registered representative | Oct 2021 (5y) | ||
| Dilshad Chowdhury | Registered representative | Oct 2021 (5y) | ||
| Donald Mancinelli | Registered representative | Oct 2021 (5y) | ||
| Donald Mclauchlan | Registered representative | Oct 2021 (5y) | ||
| Donna Adele Martorelli | Registered representative | Oct 2021 (5y) | ||
| Douglas Adam Razzetti | Registered representative | Oct 2021 (5y) | ||
| Douglas Rich | Registered representative | Oct 2021 (5y) | ||
| Diana Daniela Veras | Registered representative | Oct 2021 (5y) | ||
| Eleanor Tomashoff | Registered representative | Oct 2021 (5y) | ||
| Elizabeth V Finan | Registered representative | Oct 2021 (5y) | ||
| Elkhadir Toubali | Registered representative | Oct 2021 (5y) | ||
| Ellen Jean Wu | Registered representative | Oct 2021 (5y) | ||
| Erik Scott Heger | Registered representative | Oct 2021 (5y) | ||
| Esther Wintner | Registered representative | Oct 2021 (5y) | ||
| Edward Crary Lord | Registered representative | Oct 2021 (5y) | ||
| Elizabeth Rabii Cribbs | Registered representative | Oct 2021 (5y) | ||
| Fanny Hiufun Man | Registered representative | Oct 2021 (5y) | ||
| Francis Christopher Wacenske | Registered representative | Oct 2021 (5y) | ||
| Frank Peter Koenig | Registered representative | Oct 2021 (5y) | ||
| Frank Peter Tortorici | Registered representative | Oct 2021 (5y) | ||
| Frederick Joseph Smith | Registered representative | Oct 2021 (5y) | ||
| Gail Patricia Hefferen | Registered representative | Oct 2021 (5y) | ||
| Giuseppina Vitetta Geissbuhler | Registered representative | Oct 2021 (5y) | ||
| Graziella Marie Ruffo | Registered representative | Oct 2021 (5y) | ||
| Gwen Lynn Jordan | Registered representative | Oct 2021 (5y) | ||
| Hilda De Bara Kulkarni | Registered representative | Oct 2021 (5y) | ||
| Hugh Arthur Hamlin | Registered representative | Oct 2021 (5y) | ||
| Iliana Martinez | Registered representative | Oct 2021 (5y) | ||
| Ivonne Rivera | Registered representative | Oct 2021 (5y) | ||
| James Edward Krug | Registered representative | Oct 2021 (5y) | ||
| James L. Fernandez | Registered representative | Oct 2021 (5y) | ||
| James Lane Dobson | Registered representative | CFA | Oct 2021 (5y) | |
| James Mcdade | Registered representative | Oct 2021 (5y) | ||
| James Richard Augir | Registered representative | Oct 2021 (5y) | ||
| Jamie I Caceres | Registered representative | Oct 2021 (5y) | ||
| Jason Herman Pierce | Registered representative | Oct 2021 (5y) | ||
| Jason Kurz | Registered representative | Oct 2021 (5y) | ||
| Javier Caselles | Registered representative | Oct 2021 (5y) | ||
| Jena Grace Kole | Registered representative | Oct 2021 (5y) | ||
| Jennifer Bradley Barry | Registered representative | Oct 2021 (5y) | ||
| Jennifer Lynn Drewniak | Registered representative | Oct 2021 (5y) | ||
| Jennifer Marie Fragetti | Registered representative | Oct 2021 (5y) | ||
| Jennifer N Gusz | Registered representative | Oct 2021 (5y) | ||
| Jillian Leila Wilson | Registered representative | Oct 2021 (5y) | ||
| Joel Ira Rogovin | Registered representative | Oct 2021 (5y) | ||
| Johanna M Delatorre Finkelstein | Registered representative | Oct 2021 (5y) | ||
| John David Reinhold | Registered representative | Oct 2021 (5y) | ||
| John Joseph Boselli | Registered representative | Oct 2021 (5y) | ||
| John M Sagliano | Registered representative | Oct 2021 (5y) | ||
| John P Collura | Registered representative | Oct 2021 (5y) | ||
| John Paul Luciano | Registered representative | Oct 2021 (5y) | ||
| Joi Lynn Generazio | Registered representative | Oct 2021 (5y) | ||
| Jon S. Stephen Roy | Registered representative | Oct 2021 (5y) | ||
| Jonathan Neil Woloshin | Registered representative | Oct 2021 (5y) | ||
| Jorge Fernando Arias | Registered representative | Oct 2021 (5y) | ||
| Joseph Robert Carrino | Registered representative | CFP | Oct 2021 (5y) | |
| Joseph Wiesenfeld | Registered representative | Oct 2021 (5y) | ||
| Joy Jovet Christian | Registered representative | Oct 2021 (5y) | ||
| Judith Anne Spalthoff | Registered representative | Oct 2021 (5y) | ||
| Judy Y.C. Lee | Registered representative | Oct 2021 (5y) | ||
| Julian Marc Frank | Registered representative | Oct 2021 (5y) | ||
| Justin Scott Boyer | Registered representative | Oct 2021 (5y) | ||
| Jeffrey Clayton Zaffino | Registered representative | Oct 2021 (5y) | ||
| Joshua Shute | Registered representative | Oct 2021 (5y) | ||
| Kaitlyn M Stagnitta | Registered representative | Oct 2021 (5y) | ||
| Kathleen K Kumm | Registered representative | Oct 2021 (5y) | ||
| Kelly Molter | Registered representative | Oct 2021 (5y) | ||
| Kenneth Matthew White | Registered representative | Oct 2021 (5y) | ||
| Kevin Dean Elmore | Registered representative | Oct 2021 (5y) | ||
| Kevin Whitfield Wells | Registered representative | Oct 2021 (5y) | ||
| Kimberly Attridge | Registered representative | Oct 2021 (5y) | ||
| Kyle Steven Ritchie | Registered representative | Oct 2021 (5y) | ||
| Laura Eileen Harlow | Registered representative | Oct 2021 (5y) | ||
| Laurie Ann O'connor | Registered representative | Oct 2021 (5y) | ||
| Leba Eshaghoff | Registered representative | Oct 2021 (5y) | ||
| Leslie A Falconio | Registered representative | Oct 2021 (5y) | ||
| Lina Ludwicki | Registered representative | Oct 2021 (5y) | ||
| Lisa Ann Angeline | Registered representative | Oct 2021 (5y) | ||
| Loren Paul Weiss | Registered representative | Oct 2021 (5y) | ||
| Lori Anne Digangi | Registered representative | Oct 2021 (5y) | ||
| Luis E Serrano | Registered representative | Oct 2021 (5y) | ||
| Luiz Silveira Dos Santos Junior | Registered representative | Oct 2021 (5y) | ||
| Lynn Carol Baker | Registered representative | Oct 2021 (5y) | ||
| Loren Andreo | Registered representative | Oct 2021 (5y) | ||
| Mabel Lee | Registered representative | Oct 2021 (5y) | ||
| Marc Anthony Acosta | Registered representative | Oct 2021 (5y) | ||
| Marc David Hurwitz | Registered representative | Oct 2021 (5y) | ||
| Marc Wong | Registered representative | Oct 2021 (5y) | ||
| Margaret Beal Rabito | Registered representative | Oct 2021 (5y) | ||
| Margo Wilkinson | Registered representative | Oct 2021 (5y) | ||
| Maria Concilio | Registered representative | Oct 2021 (5y) | ||
| Mariann Ashley Cheung Lee | Registered representative | Oct 2021 (5y) | ||
| Marianne H Minio | Registered representative | Oct 2021 (5y) | ||
| Marie Elizabeth Errico | Registered representative | Oct 2021 (5y) | ||
| Martha I Knauth | Registered representative | Oct 2021 (5y) | ||
| Matthew Ben Dresnick | Registered representative | CFP | Oct 2021 (5y) | |
| Matthew David Walsh | Registered representative | Oct 2021 (5y) | ||
| Matthew James Masseo | Registered representative | Oct 2021 (5y) | ||
| Matthew Philip Santini | Registered representative | Oct 2021 (5y) | ||
| Matthew Robert Mariano | Registered representative | Oct 2021 (5y) | ||
| Maureen Evelyn Kelly | Registered representative | Oct 2021 (5y) | ||
| Meverette L Smith | Registered representative | Oct 2021 (5y) | ||
| Michael A Chandiramani | Registered representative | Oct 2021 (5y) | ||
| Michael A. Beyers | Registered representative | Oct 2021 (5y) | ||
| Michael Anthony Foggia | Registered representative | Oct 2021 (5y) | ||
| Michael Christian Abraham | Registered representative | Oct 2021 (5y) | ||
| Michael James Mcvicker | Registered representative | Oct 2021 (5y) | ||
| Michael Patrick Ryan | Registered representative | Oct 2021 (5y) | ||
| Michael Von Essen | Registered representative | Oct 2021 (5y) | ||
| Michele Nicole Tuzzolo | Registered representative | Oct 2021 (5y) | ||
| Monica F Loretto | Registered representative | Oct 2021 (5y) | ||
| Marcos V Takeda | Registered representative | Oct 2021 (5y) | ||
| Michael Christopher Giacone | Registered representative | Oct 2021 (5y) | ||
| Michael Ury | Registered representative | Oct 2021 (5y) | ||
| Nancy Gargiulo | Registered representative | Oct 2021 (5y) | ||
| Natalie Ann Mack | Registered representative | Oct 2021 (5y) | ||
| Natalya Glushakova | Registered representative | Oct 2021 (5y) | ||
| Natella Zabarskiy | Registered representative | Oct 2021 (5y) | ||
| Neal J Cooper | Registered representative | Oct 2021 (5y) | ||
| Nicholas F. Carlisto | Registered representative | Oct 2021 (5y) | ||
| Nichole E. Chiusano | Registered representative | Oct 2021 (5y) | ||
| Nicole Sebastian | Registered representative | Oct 2021 (5y) | ||
| Olivier Diaz | Registered representative | Oct 2021 (5y) | ||
| Pamela Ann Agostinelli | Registered representative | Oct 2021 (5y) | ||
| Patricia M. Marinello | Registered representative | Oct 2021 (5y) | ||
| Patricia Mary Flanagan | Registered representative | Oct 2021 (5y) | ||
| Paul Rocco D'aiutolo | Registered representative | Oct 2021 (5y) | ||
| Paula M Rohr | Registered representative | Oct 2021 (5y) | ||
| Peter Anthony Bishop | Registered representative | Oct 2021 (5y) | ||
| Rafael Soler Comba | Registered representative | Oct 2021 (5y) | ||
| Ralph Stephen Lemme | Registered representative | Oct 2021 (5y) | ||
| Ray Raymond Marquette | Registered representative | Oct 2021 (5y) | ||
| Richard Charles Meyers | Registered representative | Oct 2021 (5y) | ||
| Robert F Kennedy | Registered representative | Oct 2021 (5y) | ||
| Robert Jay Schiff | Registered representative | Oct 2021 (5y) | ||
| Robert Lane Mcbride | Registered representative | Oct 2021 (5y) | ||
| Robert Phillip Snyder | Registered representative | Oct 2021 (5y) | ||
| Rosa Amelia Cherrie | Registered representative | Oct 2021 (5y) | ||
| Ryan Emmet Pratt | Registered representative | CFP | Oct 2021 (5y) | |
| Ryan J Svatora | Registered representative | Oct 2021 (5y) | ||
| Ryan M. Michael O'malley | Registered representative | Oct 2021 (5y) | ||
| Richard G. Leone | Registered representative | Oct 2021 (5y) | ||
| Sally Ann Allen | Registered representative | Oct 2021 (5y) | ||
| Salvatore Philip Baio | Registered representative | Oct 2021 (5y) | ||
| Sandra Jagrut Bhatt | Registered representative | Oct 2021 (5y) | ||
| Sangeeta B. Marfatia | Registered representative | Oct 2021 (5y) | ||
| Sarah Elizabeth Wilson | Registered representative | Oct 2021 (5y) | ||
| Scott Owen Stimac | Registered representative | Oct 2021 (5y) | ||
| Sean C Carmichael | Registered representative | CFP CFA | Oct 2021 (5y) | |
| Sean Edward Hattrick | Registered representative | Oct 2021 (5y) | ||
| Shari Fran Eidlitz | Registered representative | Oct 2021 (5y) | ||
| Sherezada G Polanco | Registered representative | Oct 2021 (5y) | ||
| Shlomo Mizrahi | Registered representative | Oct 2021 (5y) | ||
| Siobhan Brady | Registered representative | Oct 2021 (5y) | ||
| Solita Marcelli | Registered representative | Oct 2021 (5y) | ||
| Sunita Gill | Registered representative | Oct 2021 (5y) | ||
| Susan Perlaki | Registered representative | Oct 2021 (5y) | ||
| Susan Z Jenkins | Registered representative | Oct 2021 (5y) | ||
| Teresa E Venesina | Registered representative | Oct 2021 (5y) | ||
| Thomas John Mcgivern | Registered representative | Oct 2021 (5y) | ||
| Thomas Joseph Mckelvey | Registered representative | CFP | Oct 2021 (5y) | |
| Tina Somma | Registered representative | Oct 2021 (5y) | ||
| Todd Michael Ziogas | Registered representative | Oct 2021 (5y) | ||
| Todd S Kraska | Registered representative | Oct 2021 (5y) | ||
| Tommy Karavas Jr | Registered representative | Oct 2021 (5y) | ||
| Tyler Blaisdell | Registered representative | Oct 2021 (5y) | ||
| Taylor Nicole Chaplin | Registered representative | CFP | Oct 2021 (5y) | |
| Tonie Lee Lee D'angelo | Registered representative | Oct 2021 (5y) | ||
| Tyler John Kunkel | Registered representative | Oct 2021 (5y) | ||
| Vanessa Wagner | Registered representative | Oct 2021 (5y) | ||
| Victor Hugo Gomez | Registered representative | Oct 2021 (5y) | ||
| Vilma Iris Vazquez | Registered representative | Oct 2021 (5y) | ||
| Virginia May Gerstley | Registered representative | Oct 2021 (5y) | ||
| William David Lezama | Registered representative | Oct 2021 (5y) | ||
| William Feuerman | Registered representative | Oct 2021 (5y) | ||
| William Whitman Mittlefehldt | Registered representative | Oct 2021 (5y) | ||
| Zachary Filip Mazur | Registered representative | Oct 2021 (5y) | ||
| Donnell Erik Scott | Registered representative | Oct 2021 (5y) | ||
| Jill Faherty Lloyd | Registered representative | Oct 2021 (5y) | ||
| Annette Rumas | Registered representative | Oct 2021 (5y) | ||
| Arturo Alejandro Bravo | Registered representative | Oct 2021 (5y) | ||
| Harris Grodin | Registered representative | Oct 2021 (5y) | ||
| Jack Andrew Chiate | Registered representative | Oct 2021 (5y) | ||
| Monica Lashawn Payne | Registered representative | Oct 2021 (5y) | ||
| Philip Edward Ochs | Registered representative | Oct 2021 (5y) | ||
| Rainey Lorraine Miller | Registered representative | CFP | Oct 2021 (5y) | |
| David H. Howard Savetz | Registered representative | Nov 2021 (5y) | ||
| Jenny Sue Sukup | Registered representative | Nov 2021 (5y) | ||
| Matthew Fitzgerald Dunn | Registered representative | Nov 2021 (5y) | ||
| Robin Lott | Registered representative | Nov 2021 (5y) | ||
| Stephen Anthony Cucchiarelli | Registered representative | Nov 2021 (5y) | ||
| Liam Fanola | Registered representative | Nov 2021 (5y) | ||
| Matthew Steven Conant | Registered representative | Nov 2021 (5y) | ||
| Allen Ira Saunders | Registered representative | Nov 2021 (5y) | ||
| Kirstie Alyssa Madsen | Registered representative | Nov 2021 (5y) | ||
| Aaron Michael Hanson | Registered representative | Nov 2021 (5y) | ||
| Juliana Villagran | Registered representative | Nov 2021 (5y) | ||
| Marc C Brondon | Registered representative | Nov 2021 (5y) | ||
| Laura Morton Moore | Registered representative | Nov 2021 (5y) | ||
| Stephen N Sorensen | Registered representative | Nov 2021 (5y) | ||
| Valorie P Warth | Registered representative | Nov 2021 (5y) | ||
| Elizabeth Ann Sweetra | Registered representative | Nov 2021 (5y) | ||
| Joseph Roberts Jr. | Registered representative | Nov 2021 (5y) | ||
| Megan E D'amelio | Registered representative | Nov 2021 (5y) | ||
| Manda Catherine Cash | Registered representative | Nov 2021 (5y) | ||
| Matthew Harris Tantleff | Registered representative | Nov 2021 (5y) | ||
| Yazan Khatib | Registered representative | Nov 2021 (5y) | ||
| Samuel Zinn | Registered representative | Nov 2021 (5y) | ||
| Grace E. Ku | Registered representative | Nov 2021 (5y) | ||
| Julie Kathleen Mize | Registered representative | Nov 2021 (5y) | ||
| Luis Tavares | Registered representative | Nov 2021 (5y) | ||
| James Edward Condolff | Registered representative | Nov 2021 (5y) | ||
| Francis Joseph Giordano | Registered representative | Nov 2021 (5y) | ||
| Reid Anthony Moreschi | Registered representative | Nov 2021 (5y) | ||
| David A Schmitz | Registered representative | Nov 2021 (5y) | ||
| Dorian Lisa Waserman | Registered representative | Nov 2021 (5y) | ||
| Mary Marguertie Galemmo | Registered representative | Nov 2021 (5y) | ||
| Emily Huynh | Registered representative | Nov 2021 (5y) | ||
| Christopher Morley Balcerek | Registered representative | CFP | Nov 2021 (5y) | |
| Derek C Smith | Registered representative | Nov 2021 (5y) | ||
| Nicholas Gerard Frank | Registered representative | Nov 2021 (5y) | ||
| Alexander J Lopez | Registered representative | Nov 2021 (5y) | ||
| Anthony Juliano Trocchio | Registered representative | CFP | Nov 2021 (5y) | |
| Graham Gracen Holt | Registered representative | Nov 2021 (5y) | ||
| Jeanine Sclafani | Registered representative | Nov 2021 (5y) | ||
| Joseph Anthony Trocchio | Registered representative | Nov 2021 (5y) | ||
| Karina Rodriguez | Registered representative | Nov 2021 (5y) | ||
| Krista Elise Schiavi | Registered representative | Nov 2021 (5y) | ||
| Lorri P Mabee | Registered representative | Nov 2021 (5y) | ||
| Andrea M Sieben | Registered representative | Nov 2021 (5y) | ||
| Genna Rachel Kranis | Registered representative | Nov 2021 (5y) | ||
| Mica Tieu Lam | Registered representative | Nov 2021 (5y) | ||
| Sergio Suppion Kokubo | Registered representative | Nov 2021 (5y) | ||
| Drew Steven Kinney | Registered representative | Nov 2021 (5y) | ||
| Eric Gioia | Registered representative | Nov 2021 (5y) | ||
| Orly Leah Elliott | Registered representative | Nov 2021 (5y) | ||
| Juan Antonio Castaneda | Registered representative | Nov 2021 (5y) | ||
| James Eugene Lewis | Registered representative | Nov 2021 (5y) | ||
| Diane Johnston | Registered representative | Dec 2021 (5y) | ||
| Troy Stetson Starrett | Registered representative | Dec 2021 (5y) | ||
| Brett Crawford Moore | Registered representative | Dec 2021 (5y) | ||
| Brian Thomas Clancy | Registered representative | Dec 2021 (5y) | ||
| James J Foehr | Registered representative | Dec 2021 (5y) | ||
| Brigid Mc Grath | Registered representative | Dec 2021 (5y) | ||
| Franco Ariel Sciamarelli | Registered representative | Dec 2021 (5y) | ||
| Sophie Rose Abrams | Registered representative | Dec 2021 (5y) | ||
| Jamicia Siree Ware | Registered representative | Dec 2021 (5y) | ||
| Laura Schaefer | Registered representative | Dec 2021 (5y) | ||
| Nancy Y Ly | Registered representative | Dec 2021 (5y) | ||
| Rebecca Meryl Sterling | Registered representative | Dec 2021 (5y) | ||
| Brice Heilman | Registered representative | Dec 2021 (5y) | ||
| James Brice | Registered representative | Dec 2021 (5y) | ||
| Laura Michelle Pechfelder | Registered representative | Dec 2021 (5y) | ||
| Cristina F Debrito | Registered representative | Dec 2021 (5y) | ||
| Jeffrey S Houdlette | Registered representative | Dec 2021 (5y) | ||
| Krishna Sasha Gall | Registered representative | Dec 2021 (5y) | ||
| Joshua Tyler Heard | Registered representative | Dec 2021 (5y) | ||
| Bradley Kevin Reis | Registered representative | Dec 2021 (5y) | ||
| Angelina Marie Jong | Registered representative | Dec 2021 (5y) | ||
| Michael Oakley | Registered representative | Dec 2021 (5y) | ||
| Jackson David Cobb | Registered representative | Dec 2021 (5y) | ||
| Curtis Paul Brown | Registered representative | Dec 2021 (5y) | ||
| Jenny Do | Registered representative | Jan 2022 (5y) | ||
| Ryann N Kilgore | Registered representative | Jan 2022 (5y) | ||
| Conan Danilo Ayala | Registered representative | Jan 2022 (5y) | ||
| Daniel Esparza | Registered representative | Jan 2022 (5y) | ||
| Andrew Stephen Dilbone | Registered representative | Jan 2022 (5y) | ||
| Brayden Neeser | Registered representative | Jan 2022 (5y) | ||
| Melissa Dincher | Registered representative | Jan 2022 (5y) | ||
| Miriam Donahue Fuerst | Registered representative | Jan 2022 (5y) | ||
| D'carla De Oliveira Antunes | Registered representative | Jan 2022 (5y) | ||
| Dominick Edward Daniele | Registered representative | CFP | Jan 2022 (5y) | |
| Aiko Yamamoto Leong | Registered representative | Jan 2022 (5y) | ||
| Bradley Burke Toth | Registered representative | Jan 2022 (5y) | ||
| Elias Paul Weber | Registered representative | Jan 2022 (5y) | ||
| Ingrid Grace Hession | Registered representative | Jan 2022 (5y) | ||
| Kristan Michelle Rowland | Registered representative | CFA | Jan 2022 (5y) | |
| Peter Belden | Registered representative | Jan 2022 (5y) | ||
| Shpend Sabani | Registered representative | Jan 2022 (5y) | ||
| Alec R Fendrick | Registered representative | Jan 2022 (5y) | ||
| Garrett John Pringle | Registered representative | CFP | Jan 2022 (5y) | |
| Ryan David Shippy | Registered representative | Jan 2022 (5y) | ||
| Lauren Moreng | Registered representative | Jan 2022 (5y) | ||
| Mary Hellen Mizzell | Registered representative | Jan 2022 (5y) | ||
| Dustin Robert Mc Connell | Registered representative | Jan 2022 (5y) | ||
| Maren Dael Boudra | Registered representative | Jan 2022 (5y) | ||
| Owen Yiran Xie | Registered representative | Jan 2022 (5y) | ||
| Robert Phillip Schilling | Registered representative | Jan 2022 (5y) | ||
| Hamid O Danmole | Registered representative | Jan 2022 (5y) | ||
| Matthew Hamillton Mc Mahon | Registered representative | Jan 2022 (5y) | ||
| Chelsea Kavanaugh Anne Lazarus | Registered representative | Jan 2022 (5y) | ||
| Parker Ray Joffrion | Registered representative | Jan 2022 (5y) | ||
| Ann Elisa Fredlin | Registered representative | Jan 2022 (5y) | ||
| Francesco Antonio Fevola | Registered representative | Jan 2022 (5y) | ||
| Herminio Jose Frontera Biamon | Registered representative | CFA | Jan 2022 (5y) | |
| Michael Christopher Sciortino | Registered representative | Jan 2022 (5y) | ||
| Serina X Yuan | Registered representative | CFA | Jan 2022 (5y) | |
| Andrew Joseph Veilleux | Registered representative | Jan 2022 (5y) | ||
| Alexander Tyson Wolff | Registered representative | Jan 2022 (5y) | ||
| Daniel Edmund Mc Laughlin | Registered representative | Jan 2022 (5y) | ||
| Jeremy Cole Doyle | Registered representative | Jan 2022 (5y) | ||
| Stephanie Lynn Evenson | Registered representative | Jan 2022 (5y) | ||
| Brittany Constance Ormondroyd | Registered representative | Jan 2022 (5y) | ||
| Ryan Lee Sheppard | Registered representative | Jan 2022 (5y) | ||
| Shouquan Huang | Registered representative | Jan 2022 (5y) | ||
| Christopher Stephen Cameron | Registered representative | Jan 2022 (5y) | ||
| Jonathan A Oakes | Registered representative | Jan 2022 (5y) | ||
| Joshua R Carter | Registered representative | Jan 2022 (5y) | ||
| Payton Dougherty | Registered representative | Jan 2022 (5y) | ||
| Brianna Kathryn Lundy | Registered representative | Jan 2022 (5y) | ||
| Michael Ravosa | Registered representative | Jan 2022 (5y) | ||
| Tara Scott Flax | Registered representative | Jan 2022 (5y) | ||
| Maria Annunziata Robbins | Registered representative | Jan 2022 (5y) | ||
| Jenna Margolis Kraczek | Registered representative | Jan 2022 (5y) | ||
| Mackenzie Fox Draganchuk | Registered representative | Jan 2022 (5y) | ||
| Mateo Borja | Registered representative | Jan 2022 (5y) | ||
| Sydney E Kimball | Registered representative | Jan 2022 (5y) | ||
| Jenna Rene Schulz | Registered representative | Feb 2022 (5y) | ||
| Paul Anthony Carl | Registered representative | Feb 2022 (4y) | ||
| Beining Zhang | Registered representative | Feb 2022 (4y) | ||
| Dakota Jones | Registered representative | Feb 2022 (4y) | ||
| Dominique Clements | Registered representative | Feb 2022 (4y) | ||
| Edward Lawrence Scheingold | Registered representative | Feb 2022 (4y) | ||
| Thomas Francis Cooke | Registered representative | CFA | Feb 2022 (4y) | |
| Cassidy Diane Kendzior | Registered representative | Feb 2022 (4y) | ||
| Shannon Leigh Hogan | Registered representative | Feb 2022 (4y) | ||
| Julie Christine Klimp | Registered representative | Feb 2022 (4y) | ||
| Lauren Hope Mirman | Registered representative | Feb 2022 (4y) | ||
| Nick J Izzi | Registered representative | Feb 2022 (4y) | ||
| Anne Katherine Sun | Registered representative | Feb 2022 (4y) | ||
| Nicole Masey Ayub | Registered representative | Feb 2022 (4y) | ||
| Elaine Del C Flores | Registered representative | Feb 2022 (4y) | ||
| Jay Daniel Travers | Registered representative | Feb 2022 (4y) | ||
| John Joseph Mc Garry | Registered representative | Feb 2022 (4y) | ||
| Teresa Ilene Cano | Registered representative | Feb 2022 (4y) | ||
| Andres I Betancourt | Registered representative | Feb 2022 (4y) | ||
| Nellie Harkins | Registered representative | Feb 2022 (4y) | ||
| David Kido Paek | Registered representative | Feb 2022 (4y) | ||
| Ricardo Alvidrez Rosas | Registered representative | Feb 2022 (4y) | ||
| Vu D Chung | Registered representative | Feb 2022 (4y) | ||
| Nicole T Jenkins | Registered representative | Feb 2022 (4y) | ||
| Angela Rita Dipalermo | Registered representative | Feb 2022 (4y) | ||
| John Carl Wehner | Registered representative | Feb 2022 (4y) | ||
| Julie Miranda Gilewicz | Registered representative | Feb 2022 (4y) | ||
| Kasi K Darby | Registered representative | Feb 2022 (4y) | ||
| Lawrence Andrew Toriello | Registered representative | Feb 2022 (4y) | ||
| Mallory Blair Capenhurst | Registered representative | Feb 2022 (4y) | ||
| Mark T Gregory | Registered representative | Feb 2022 (4y) | ||
| Nick Calegari | Registered representative | Feb 2022 (4y) | ||
| Scott A Coyner | Registered representative | Feb 2022 (4y) | ||
| Jesus Adrian Plascencia | Registered representative | Feb 2022 (4y) | ||
| Jaimie C Shrieve | Registered representative | Feb 2022 (4y) | ||
| Tess Marianna Cusate | Registered representative | Feb 2022 (4y) | ||
| James Dillon | Registered representative | Feb 2022 (4y) | ||
| Mary Kennon | Registered representative | Feb 2022 (4y) | ||
| Richard Victor Uva | Registered representative | Feb 2022 (4y) | ||
| Grant W Schenk | Registered representative | Feb 2022 (4y) | ||
| Andrea Lozano | Registered representative | Feb 2022 (4y) | ||
| Bryan Sanchez | Registered representative | Feb 2022 (4y) | ||
| Cynthia Marie Johnson | Registered representative | Feb 2022 (4y) | ||
| Janie Weber | Registered representative | Mar 2022 (4y) | ||
| Dimosthenis Tsakiris | Registered representative | Mar 2022 (4y) | ||
| Laura Fernandez Stahlhut | Registered representative | Mar 2022 (4y) | ||
| Michael Stubbs | Registered representative | Mar 2022 (4y) | ||
| Maria Torrent Caldas | Registered representative | CFA | Mar 2022 (4y) | |
| Tanja Ivovic | Registered representative | Mar 2022 (4y) | ||
| Taylor Theodor Gray | Registered representative | Mar 2022 (4y) | ||
| David A Lachowski | Registered representative | Mar 2022 (4y) | ||
| Douglas Jenkins | Registered representative | Mar 2022 (4y) | ||
| Ruth M Lazarski | Registered representative | Mar 2022 (4y) | ||
| Abel Roberto Scilingo | Registered representative | Mar 2022 (4y) | ||
| Hampton Powell Clark | Registered representative | Mar 2022 (4y) | ||
| Jason Wayne Gibilterra | Registered representative | Mar 2022 (4y) | ||
| Lauren Alexandra Alexandra Hrynyshyn | Registered representative | Mar 2022 (4y) | ||
| Nicole Susanne Mc Clure | Registered representative | Mar 2022 (4y) | ||
| Robyn Barger | Registered representative | Mar 2022 (4y) | ||
| Christian Javier Lloreda Garraton | Registered representative | Mar 2022 (4y) | ||
| Darrell Smith | Registered representative | Mar 2022 (4y) | ||
| Ivy X Zhang | Registered representative | Mar 2022 (4y) | ||
| Madeline Thomas Gentempo | Registered representative | Mar 2022 (4y) | ||
| Heather Nicole Chandler | Registered representative | Mar 2022 (4y) | ||
| Spencer Tabor | Registered representative | Mar 2022 (4y) | ||
| Benjamin Caleb Hollis | Registered representative | Mar 2022 (4y) | ||
| Chad Brian Saclolo | Registered representative | Mar 2022 (4y) | ||
| James Frederick Largen | Registered representative | Mar 2022 (4y) | ||
| Joshua Thomas Brown | Registered representative | Mar 2022 (4y) | ||
| Sidney Thompson | Registered representative | Mar 2022 (4y) | ||
| Jared Crowe | Registered representative | Mar 2022 (4y) | ||
| Matthew Anderson | Registered representative | Mar 2022 (4y) | ||
| Sarah Michelle Harris | Registered representative | CFP | Mar 2022 (4y) | |
| Lindsey E Morris | Registered representative | Mar 2022 (4y) | ||
| Nicholas Macia | Registered representative | Mar 2022 (4y) | ||
| Eric S Ferrara | Registered representative | Mar 2022 (4y) | ||
| Kyle Baldasso | Registered representative | Mar 2022 (4y) | ||
| Lauren Ashley Truman | Registered representative | Mar 2022 (4y) | ||
| Lawrence Bart Frankel | Registered representative | Mar 2022 (4y) | ||
| Annette Lynn Winters | Registered representative | Mar 2022 (4y) | ||
| Jing Guo | Registered representative | Mar 2022 (4y) | ||
| Joel Posligua | Registered representative | Mar 2022 (4y) | ||
| Benjamin Shrewsbury Smithers | Registered representative | Mar 2022 (4y) | ||
| Caleb Sharp | Registered representative | Apr 2022 (4y) | ||
| Matthew Thomas Ryan | Registered representative | Apr 2022 (4y) | ||
| Michael Pear | Registered representative | Apr 2022 (4y) | ||
| Richard Panchery | Registered representative | Apr 2022 (4y) | ||
| Nathaniel Robert Gabriel | Registered representative | CFA | Apr 2022 (4y) | |
| Bonnie Huan Yan | Registered representative | Apr 2022 (4y) | ||
| Gina Lauren Liberto | Registered representative | Apr 2022 (4y) | ||
| Geoffrey Todd Meyer | Registered representative | Apr 2022 (4y) | ||
| Michael Bockner | Registered representative | Apr 2022 (4y) | ||
| Daphne Wightman | Registered representative | Apr 2022 (4y) | ||
| Tamara Scheinman Attali | Registered representative | Apr 2022 (4y) | ||
| Jose Munoz | Registered representative | Apr 2022 (4y) | ||
| Robert Frank Gollnick | Registered representative | Apr 2022 (4y) | ||
| Anthony Joseph Di Perri | Registered representative | Apr 2022 (4y) | ||
| Christopher James Nugent | Registered representative | Apr 2022 (4y) | ||
| Isabel Cristina Haigler | Registered representative | Apr 2022 (4y) | ||
| Noah Matthew Buchwald | Registered representative | Apr 2022 (4y) | ||
| Michelle Anne Travers | Registered representative | Apr 2022 (4y) | ||
| Clark Alexander Sui Wonders | Registered representative | Apr 2022 (4y) | ||
| Emma Messenger | Registered representative | Apr 2022 (4y) | ||
| Kyle R Garrison | Registered representative | Apr 2022 (4y) | ||
| Rochelle Miranda O'rarden | Registered representative | Apr 2022 (4y) | ||
| Gregory W Hohenstein | Registered representative | Apr 2022 (4y) | ||
| Elizabeth Susan Hodgman | Registered representative | Apr 2022 (4y) | ||
| Jorge Javier Aresti Rodriguez | Registered representative | Apr 2022 (4y) | ||
| Lindsi Clayton | Registered representative | Apr 2022 (4y) | ||
| Lauren Madia | Registered representative | Apr 2022 (4y) | ||
| William A Grillo | Registered representative | Apr 2022 (4y) | ||
| Zachary Donovan Werner | Registered representative | Apr 2022 (4y) | ||
| Corinne Klitzke | Registered representative | Apr 2022 (4y) | ||
| Angela Renee Doud | Registered representative | Apr 2022 (4y) | ||
| Annette Kaszubski | Registered representative | Apr 2022 (4y) | ||
| Dylan Joseph Alagood | Registered representative | Apr 2022 (4y) | ||
| Erika Meggan Clum | Registered representative | Apr 2022 (4y) | ||
| James Wesley Carrington | Registered representative | Apr 2022 (4y) | ||
| Olivia C Eckstein | Registered representative | Apr 2022 (4y) | ||
| Paul K Addo | Registered representative | Apr 2022 (4y) | ||
| Rishi Sirichand Oad | Registered representative | Apr 2022 (4y) | ||
| Stephen Andrew Bannon | Registered representative | Apr 2022 (4y) | ||
| Alexandra Julia Julia Nemeroff | Registered representative | Apr 2022 (4y) | ||
| Beatriz L. Keeney | Registered representative | Apr 2022 (4y) | ||
| Brian Thomas Tomaska | Registered representative | Apr 2022 (4y) | ||
| John H Klaasen | Registered representative | Apr 2022 (4y) | ||
| Brian Breitenstein | Registered representative | Apr 2022 (4y) | ||
| Michael A.K. O'brien | Registered representative | May 2022 (4y) | ||
| Antonella Barrero Hudson | Registered representative | May 2022 (4y) | ||
| Kate Sarah Freeman | Registered representative | CFP CFA | May 2022 (4y) | |
| Thaddeus Andrew Niemiec | Registered representative | CFP | May 2022 (4y) | |
| Steven Williams | Registered representative | May 2022 (4y) | ||
| Bindi Swammi | Registered representative | May 2022 (4y) | ||
| Daniella Diquez | Registered representative | May 2022 (4y) | ||
| Heather M Winslow | Registered representative | May 2022 (4y) | ||
| Luke Michael Stapleton | Registered representative | May 2022 (4y) | ||
| Brendon R Reese | Registered representative | May 2022 (4y) | ||
| Christy Allison Lederer | Registered representative | May 2022 (4y) | ||
| Eric John Stephenson | Registered representative | May 2022 (4y) | ||
| Michael C Karlewicz | Registered representative | CFP | May 2022 (4y) | |
| Jason Howard Levine | Registered representative | CFA | May 2022 (4y) | |
| Michael Scott Anderson | Registered representative | CFA | May 2022 (4y) | |
| Neal Brian Engesetter | Registered representative | May 2022 (4y) | ||
| Susan Amy Howard | Registered representative | May 2022 (4y) | ||
| Jeffrey Lawrence Rotsky | Registered representative | May 2022 (4y) | ||
| Jennifer Grullon Tomasino | Registered representative | May 2022 (4y) | ||
| Jack Steadman Delgado | Registered representative | May 2022 (4y) | ||
| Jeffrey Harris | Registered representative | May 2022 (4y) | ||
| Laura Lamond | Registered representative | May 2022 (4y) | ||
| Mark Russell Tepsich | Registered representative | May 2022 (4y) | ||
| Sharon Lynn Lafever | Registered representative | May 2022 (4y) | ||
| Yueh Ling Hsiung | Registered representative | May 2022 (4y) | ||
| Harrison George Rottman | Registered representative | May 2022 (4y) | ||
| Lauren Kate Snowden | Registered representative | May 2022 (4y) | ||
| Christopher Riley Marshall | Registered representative | May 2022 (4y) | ||
| David Layne Reynolds | Registered representative | May 2022 (4y) | ||
| Susan Lee Patchen | Registered representative | May 2022 (4y) | ||
| Morgan Dawn Cartledge | Registered representative | May 2022 (4y) | ||
| Alexander Jay Gaus | Registered representative | May 2022 (4y) | ||
| Rachelle Marie Miguel | Registered representative | May 2022 (4y) | ||
| Anthony Du Bose | Registered representative | CFP | May 2022 (4y) | |
| Curtis Rex Hanson | Registered representative | May 2022 (4y) | ||
| Dolores Alcaide Mendez | Registered representative | May 2022 (4y) | ||
| Ivy R Leggero | Registered representative | May 2022 (4y) | ||
| Jillian L Godoy | Registered representative | May 2022 (4y) | ||
| Jean Beaudoin | Registered representative | May 2022 (4y) | ||
| John W Schmitt | Registered representative | May 2022 (4y) | ||
| Matthew Chavis | Registered representative | May 2022 (4y) | ||
| Meghan Blair Blair Juedes | Registered representative | May 2022 (4y) | ||
| Patrick Joseph Coyle | Registered representative | May 2022 (4y) | ||
| Jason Robert Tulley | Registered representative | May 2022 (4y) | ||
| Paul Serio | Registered representative | May 2022 (4y) | ||
| Sarah M. Marie Bell | Registered representative | May 2022 (4y) | ||
| Vincent Phillip Brigagliano | Registered representative | May 2022 (4y) | ||
| Arthur Joseph Cahill | Registered representative | May 2022 (4y) | ||
| Stefen Joseph Benincasa | Registered representative | May 2022 (4y) | ||
| Steven Michalkowski | Registered representative | May 2022 (4y) | ||
| Curtis S Young | Registered representative | May 2022 (4y) | ||
| Jennifer Christoffel Mcgrath | Registered representative | May 2022 (4y) | ||
| Dylan John Thomas | Registered representative | May 2022 (4y) | ||
| Ryan Putra Kimiadi | Registered representative | May 2022 (4y) | ||
| Christopher Cody Smith | Registered representative | May 2022 (4y) | ||
| Kelly Noel Burden | Registered representative | May 2022 (4y) | ||
| Diana Espinel | Registered representative | May 2022 (4y) | ||
| Jared Vincent Ibelli | Registered representative | Jun 2022 (4y) | ||
| Shadan Kasiri | Registered representative | Jun 2022 (4y) | ||
| Christopher Frank Palamara | Registered representative | CFA | Jun 2022 (4y) | |
| Jasmine Guerra | Registered representative | Jun 2022 (4y) | ||
| Traci Ann Miller | Registered representative | Jun 2022 (4y) | ||
| Riley William Robinson | Registered representative | Jun 2022 (4y) | ||
| Solomon Gamertsfelder | Registered representative | Jun 2022 (4y) | ||
| Craig Joseph Haddock | Registered representative | Jun 2022 (4y) | ||
| Sophia Romano | Registered representative | Jun 2022 (4y) | ||
| Taimur Khalid | Registered representative | Jun 2022 (4y) | ||
| Yan Yan Dong | Registered representative | Jun 2022 (4y) | ||
| Brandon Russell Smoot | Registered representative | Jun 2022 (4y) | ||
| Jodi Lynn Weber | Registered representative | Jun 2022 (4y) | ||
| Craig Allan Pytleski | Registered representative | Jun 2022 (4y) | ||
| Lisa Wells | Registered representative | Jun 2022 (4y) | ||
| Stephen Ninow | Registered representative | Jun 2022 (4y) | ||
| Austin Stoll | Registered representative | Jun 2022 (4y) | ||
| Carolin Botzenhardt | Registered representative | Jun 2022 (4y) | ||
| Jessica M Friedhoff | Registered representative | Jun 2022 (4y) | ||
| Lucas John De Pofi | Registered representative | Jun 2022 (4y) | ||
| Louis Patrick Carberry | Registered representative | Jun 2022 (4y) | ||
| Nathan Glen Laidig | Registered representative | Jun 2022 (4y) | ||
| Shanya Yallaly | Registered representative | Jun 2022 (4y) | ||
| Mikail Khan Qazi | Registered representative | Jun 2022 (4y) | ||
| Timothy J Martin | Registered representative | Jun 2022 (4y) | ||
| Andrew D Baumgartner | Registered representative | Jun 2022 (4y) | ||
| Matthew Dunn | Registered representative | Jun 2022 (4y) | ||
| James Paolucci | Registered representative | Jun 2022 (4y) | ||
| Jennifer Nichol Payer | Registered representative | Jun 2022 (4y) | ||
| Kathryn Marit Ripley | Registered representative | Jun 2022 (4y) | ||
| Emily Elizabeth Titus | Registered representative | Jun 2022 (4y) | ||
| Evan Coulter Erickson | Registered representative | Jun 2022 (4y) | ||
| Marcela Galvan | Registered representative | Jun 2022 (4y) | ||
| Craig S Kinard | Registered representative | Jul 2022 (4y) | ||
| Cyndee Jayne Whitmarsh | Registered representative | Jul 2022 (4y) | ||
| Hunter Rowland | Registered representative | Jul 2022 (4y) | ||
| James Edward Chapman | Registered representative | Jul 2022 (4y) | ||
| Louise Henne Wood | Registered representative | Jul 2022 (4y) | ||
| Michael E Prewitt | Registered representative | Jul 2022 (4y) | ||
| Sherrie Spitz | Registered representative | Jul 2022 (4y) | ||
| Tyler Reese Chapman | Registered representative | Jul 2022 (4y) | ||
| Giancarlo A Villanella | Registered representative | Jul 2022 (4y) | ||
| George John Krohn | Registered representative | Jul 2022 (4y) | ||
| Lisa R Long Margolis | Registered representative | Jul 2022 (4y) | ||
| Michelle A Fenske | Registered representative | Jul 2022 (4y) | ||
| Shane Austin Bryan | Registered representative | CFP | Jul 2022 (4y) | |
| Barbara Ann Alton | Registered representative | Jul 2022 (4y) | ||
| Cooper Schneider | Registered representative | Jul 2022 (4y) | ||
| Kerry Rose Witterschein | Registered representative | Jul 2022 (4y) | ||
| Matthew David Mersman | Registered representative | Jul 2022 (4y) | ||
| Brandt B Wagley | Registered representative | Jul 2022 (4y) | ||
| Emma Grace Winson | Registered representative | Jul 2022 (4y) | ||
| Brandon Anthony Seanez | Registered representative | Jul 2022 (4y) | ||
| Jessica Anne Hays | Registered representative | Jul 2022 (4y) | ||
| Michael O Donnell | Registered representative | Jul 2022 (4y) | ||
| Lily Alexandria Xuan Gong | Registered representative | Jul 2022 (4y) | ||
| Melanie Jo Pearson | Registered representative | Jul 2022 (4y) | ||
| Rashead Eric Harper | Registered representative | Jul 2022 (4y) | ||
| Audra Mae Vetzel | Registered representative | Jul 2022 (4y) | ||
| John Francis Considine | Registered representative | Jul 2022 (4y) | ||
| Kaveh Gilanshah | Registered representative | Jul 2022 (4y) | ||
| Lindajane Cofield | Registered representative | Jul 2022 (4y) | ||
| Danelle Alyne Heal | Registered representative | Jul 2022 (4y) | ||
| Katherine Edelen Robinson | Registered representative | Jul 2022 (4y) | ||
| Kevin Patrick Gavey | Registered representative | Jul 2022 (4y) | ||
| Carly Flanagan | Registered representative | Jul 2022 (4y) | ||
| Joseph Jensen Solan | Registered representative | Jul 2022 (4y) | ||
| Trevor Howard | Registered representative | Jul 2022 (4y) | ||
| Kristin Ariana Bateman | Registered representative | CFA | Jul 2022 (4y) | |
| Jacob Dowd | Registered representative | Jul 2022 (4y) | ||
| Alexander Butler | Registered representative | Jul 2022 (4y) | ||
| Jack Dowling | Registered representative | Jul 2022 (4y) | ||
| Jennifer Glenn | Registered representative | Jul 2022 (4y) | ||
| Joanna Morrison | Registered representative | Jul 2022 (4y) | ||
| Stephen F. Mc Cashin | Registered representative | Jul 2022 (4y) | ||
| Kamilla Collins | Registered representative | Jul 2022 (4y) | ||
| Orketa Meta | Registered representative | Jul 2022 (4y) | ||
| Sandra L Kopanos | Registered representative | Jul 2022 (4y) | ||
| Nicole Kristen Johnson | Registered representative | CFP | Aug 2022 (4y) | |
| Jacob Michael Richmond | Registered representative | Aug 2022 (4y) | ||
| Sara Dominica Cebas Mc Bride | Registered representative | Aug 2022 (4y) | ||
| Robert Alan Martin | Registered representative | Aug 2022 (4y) | ||
| Jason A Checksfield | Registered representative | Aug 2022 (4y) | ||
| Richard Dante Galgano | Registered representative | Aug 2022 (4y) | ||
| Yu Zhang | Registered representative | Aug 2022 (4y) | ||
| Ann M Graef | Registered representative | Aug 2022 (4y) | ||
| John P Yohannan | Registered representative | Aug 2022 (4y) | ||
| Justin Patrick Furstenburg | Registered representative | Aug 2022 (4y) | ||
| Karrin Michelle Ryan | Registered representative | Aug 2022 (4y) | ||
| Thomas W Fischer | Registered representative | Aug 2022 (4y) | ||
| Yi Jessie Lu | Registered representative | Aug 2022 (4y) | ||
| Krystle Joyce Mariano | Registered representative | Aug 2022 (4y) | ||
| Anthony Raieta | Registered representative | Aug 2022 (4y) | ||
| Kevin Reinstein | Registered representative | CFA | Aug 2022 (4y) | |
| Ryan David Wilkinson | Registered representative | Aug 2022 (4y) | ||
| Antonio Llach Mena | Registered representative | Aug 2022 (4y) | ||
| Kyle Charles Williams | Registered representative | Aug 2022 (4y) | ||
| William Willis Morton | Registered representative | Aug 2022 (4y) | ||
| Erin Theresa Distler Zuckerman | Registered representative | Aug 2022 (4y) | ||
| Kyle Robert Kendall | Registered representative | Aug 2022 (4y) | ||
| Ashley P Nader | Registered representative | Aug 2022 (4y) | ||
| Dean Michael Simmons | Registered representative | Aug 2022 (4y) | ||
| Sherry Lynn Richards | Registered representative | Aug 2022 (4y) | ||
| Maritza Cardenas | Registered representative | Aug 2022 (4y) | ||
| Edith Bethany Yates | Registered representative | Aug 2022 (4y) | ||
| Katherine Gossard | Registered representative | Aug 2022 (4y) | ||
| Tanya Marion Cutrone | Registered representative | Aug 2022 (4y) | ||
| Philip Talamo | Registered representative | Aug 2022 (4y) | ||
| Suresh Attal | Registered representative | CFA | Aug 2022 (4y) | |
| Matthew B Seukunian | Registered representative | Sep 2022 (4y) | ||
| Olivia Howell | Registered representative | Sep 2022 (4y) | ||
| Roshan Ghaznavi | Registered representative | Sep 2022 (4y) | ||
| Katherine Ann Cook Maki | Registered representative | Sep 2022 (4y) | ||
| Mark William Broughton | Registered representative | CFA | Sep 2022 (4y) | |
| Omair Kawoosa | Registered representative | Sep 2022 (4y) | ||
| Sharon Harkinson | Registered representative | CFP | Sep 2022 (4y) | |
| Andrew Kevin Powell | Registered representative | Sep 2022 (4y) | ||
| Brian Daniel Torbeck | Registered representative | CFA | Sep 2022 (4y) | |
| Francis Patrick Connolly | Registered representative | Sep 2022 (4y) | ||
| Jill M Moulson | Registered representative | Sep 2022 (4y) | ||
| Matthew Reimann | Registered representative | Sep 2022 (4y) | ||
| Patrick W. Bowler | Registered representative | Sep 2022 (4y) | ||
| Samuel Patton Sullivan | Registered representative | CFP | Sep 2022 (4y) | |
| Lauren Alexandra Kinch | Registered representative | Sep 2022 (4y) | ||
| Logan P Dooley | Registered representative | Sep 2022 (4y) | ||
| Maureen Lenore Patterson | Registered representative | Sep 2022 (4y) | ||
| Kara Louise Goetz | Registered representative | Sep 2022 (4y) | ||
| Scott Adrian Malone | Registered representative | Sep 2022 (4y) | ||
| Sandra J Griffin | Registered representative | Sep 2022 (4y) | ||
| Carl Vernon Ceder | Registered representative | Sep 2022 (4y) | ||
| Howard L Woo | Registered representative | Sep 2022 (4y) | ||
| Luke Charles Schell | Registered representative | Sep 2022 (4y) | ||
| Rachel Tori Cain | Registered representative | Sep 2022 (4y) | ||
| Russell Ude | Registered representative | Sep 2022 (4y) | ||
| Daniela Najar Robles | Registered representative | Sep 2022 (4y) | ||
| Ishan Modi | Registered representative | Sep 2022 (4y) | ||
| Angela Jeanne Spears | Registered representative | Sep 2022 (4y) | ||
| Carter Stanley | Registered representative | Sep 2022 (4y) | ||
| Andrew V Dipaola | Registered representative | Sep 2022 (4y) | ||
| Alejandro Carlos Cabezas | Registered representative | Sep 2022 (4y) | ||
| Alix Talkow | Registered representative | Sep 2022 (4y) | ||
| David W Peeler | Registered representative | Sep 2022 (4y) | ||
| Drew Hanff | Registered representative | Sep 2022 (4y) | ||
| Gregory John Amerkanian | Registered representative | Sep 2022 (4y) | ||
| Hunter Garlasco | Registered representative | Sep 2022 (4y) | ||
| Jessica Maria Pegueros | Registered representative | Sep 2022 (4y) | ||
| Joel Guzman | Registered representative | Sep 2022 (4y) | ||
| Justin David Levsky | Registered representative | Sep 2022 (4y) | ||
| Michael Charles Gogliormella | Registered representative | Sep 2022 (4y) | ||
| Peter Edward Murray | Registered representative | Sep 2022 (4y) | ||
| Ashley S Carney | Registered representative | Sep 2022 (4y) | ||
| Christine Matos | Registered representative | Sep 2022 (4y) | ||
| Guoan Liu | Registered representative | Sep 2022 (4y) | ||
| Joseph Todd Emily | Registered representative | Sep 2022 (4y) | ||
| Preston Michel | Registered representative | Sep 2022 (4y) | ||
| Ronald F Grasso | Registered representative | CFP | Sep 2022 (4y) | |
| Zoe Williams | Registered representative | Sep 2022 (4y) | ||
| Dirk Allen Stribrny | Registered representative | CFP | Sep 2022 (4y) | |
| David Meagher | Registered representative | Sep 2022 (4y) | ||
| Joseph Richard Croll | Registered representative | CFP | Sep 2022 (4y) | |
| Kevin A Mccoy | Registered representative | Sep 2022 (4y) | ||
| Lorena Soledad Garza | Registered representative | Sep 2022 (4y) | ||
| Merillyn Alisha Caracciolo | Registered representative | Sep 2022 (4y) | ||
| Rose Julie Defalco | Registered representative | Sep 2022 (4y) | ||
| Adam Baird Roberts | Registered representative | Sep 2022 (4y) | ||
| Angela C Peterson | Registered representative | Sep 2022 (4y) | ||
| Amanda Christine Mc Kenna | Registered representative | Sep 2022 (4y) | ||
| Carey M Greenauer | Registered representative | Sep 2022 (4y) | ||
| Daniel Joseph Shannahan | Registered representative | Sep 2022 (4y) | ||
| Gregory Louis Porter | Registered representative | Sep 2022 (4y) | ||
| James Reed Ball | Registered representative | Sep 2022 (4y) | ||
| John Vincent Green | Registered representative | Sep 2022 (4y) | ||
| James J King | Registered representative | Sep 2022 (4y) | ||
| Kelly Lynn Weyer | Registered representative | Sep 2022 (4y) | ||
| Michael K Brennan | Registered representative | Sep 2022 (4y) | ||
| Ryan J Shuler | Registered representative | Sep 2022 (4y) | ||
| Scott Dennis Fitzenreiter | Registered representative | Sep 2022 (4y) | ||
| Tonia Mary Dillon | Registered representative | Sep 2022 (4y) | ||
| William R Slater | Registered representative | Sep 2022 (4y) | ||
| William Elliott Warren | Registered representative | Sep 2022 (4y) | ||
| Jordan Daniel Gersch | Registered representative | Sep 2022 (4y) | ||
| Kim Lien Le | Registered representative | Sep 2022 (4y) | ||
| Bradley Ellis Nassar | Registered representative | Sep 2022 (4y) | ||
| Christine Anne Somers | Registered representative | Sep 2022 (4y) | ||
| David Michael Hunt | Registered representative | Sep 2022 (4y) | ||
| Gerard Michael Silberman | Registered representative | CFP | Sep 2022 (4y) | |
| James Douglas Mccoll | Registered representative | CFP | Sep 2022 (4y) | |
| Sze Cheung Albert Leung | Registered representative | Sep 2022 (4y) | ||
| Daniel J. Rosenstein | Registered representative | Sep 2022 (4y) | ||
| David K. Powers | Registered representative | Sep 2022 (4y) | ||
| Douglas Omar Brady | Registered representative | Sep 2022 (4y) | ||
| Hayden Jervis Dieterle | Registered representative | Sep 2022 (4y) | ||
| John Edward Giacinto | Registered representative | Sep 2022 (4y) | ||
| Jonathan David Rothman | Registered representative | Sep 2022 (4y) | ||
| Marsha Frances Stevens | Registered representative | Sep 2022 (4y) | ||
| Michael Nazarian | Registered representative | Sep 2022 (4y) | ||
| Nancy Carol Bernstein | Registered representative | Sep 2022 (4y) | ||
| Susan Jennifer Markham | Registered representative | Sep 2022 (4y) | ||
| Amy N Oliver | Registered representative | Sep 2022 (4y) | ||
| Brett Riley | Registered representative | Sep 2022 (4y) | ||
| Catherine Watson Rusk | Registered representative | Sep 2022 (4y) | ||
| David Powers | Registered representative | Sep 2022 (4y) | ||
| David Reynolds Avery | Registered representative | Sep 2022 (4y) | ||
| Garth Allan | Registered representative | Sep 2022 (4y) | ||
| Joshua Steuerman | Registered representative | Sep 2022 (4y) | ||
| Kirsten Elizabeth Gabbett | Registered representative | Sep 2022 (4y) | ||
| Laure Raymonde Mendoza | Registered representative | Sep 2022 (4y) | ||
| Martin Adam Schwartz | Registered representative | Sep 2022 (4y) | ||
| Matthew Scott Tashjian | Registered representative | Sep 2022 (4y) | ||
| Michael Grant Matthews | Registered representative | Sep 2022 (4y) | ||
| Michael Stephen Branigan | Registered representative | Sep 2022 (4y) | ||
| Shirley Chen | Registered representative | Sep 2022 (4y) | ||
| Tiffani N Lee Kumabe | Registered representative | Sep 2022 (4y) | ||
| Brett Moore | Registered representative | Oct 2022 (4y) | ||
| Jason Farkas | Registered representative | Oct 2022 (4y) | ||
| Jeffrey R Brecht | Registered representative | Oct 2022 (4y) | ||
| Shelly Ann Ritchie | Registered representative | Oct 2022 (4y) | ||
| Christopher Michael Slowey | Registered representative | Oct 2022 (4y) | ||
| Charles M Lovell | Registered representative | Oct 2022 (4y) | ||
| Keith Thomas Householder | Registered representative | Oct 2022 (4y) | ||
| Melissa Ann Lewis | Registered representative | Oct 2022 (4y) | ||
| Michael Jason Haberman | Registered representative | Oct 2022 (4y) | ||
| Amber J Golay | Registered representative | Oct 2022 (4y) | ||
| Amy Elizabeth West | Registered representative | Oct 2022 (4y) | ||
| Bao Tran Nguyen Do | Registered representative | Oct 2022 (4y) | ||
| Derek Farnlacher | Registered representative | Oct 2022 (4y) | ||
| Bonita Jeanette Rodriguez | Registered representative | Oct 2022 (4y) | ||
| Christopher Kelley Hicks | Registered representative | Oct 2022 (4y) | ||
| Courtney A Schlaich | Registered representative | Oct 2022 (4y) | ||
| Laura Regina Michael | Registered representative | Oct 2022 (4y) | ||
| Meghan Elizabeth Mac Kinnon | Registered representative | Oct 2022 (4y) | ||
| Olga Zapolska | Registered representative | Oct 2022 (4y) | ||
| Roger Alan Feldman | Registered representative | Oct 2022 (4y) | ||
| Daniel Hugh White | Registered representative | CFP | Oct 2022 (4y) | |
| John Joseph Letizia | Registered representative | Oct 2022 (4y) | ||
| Jack M Payne | Registered representative | Oct 2022 (4y) | ||
| Samuel Robert Davidson | Registered representative | Oct 2022 (4y) | ||
| Monika M Nemeth | Registered representative | Oct 2022 (4y) | ||
| Mayra Lopez Venegas | Registered representative | Oct 2022 (4y) | ||
| Paul Enrique Camacho | Registered representative | Oct 2022 (4y) | ||
| Irene M Intriago | Registered representative | Oct 2022 (4y) | ||
| Sara Ashly Cassidy | Registered representative | Oct 2022 (4y) | ||
| April Lyne Rice | Registered representative | Oct 2022 (4y) | ||
| Christopher S Jensen | Registered representative | Oct 2022 (4y) | ||
| Gregory Jonathan Kight | Registered representative | Oct 2022 (4y) | ||
| Jennifer E Hickney | Registered representative | Oct 2022 (4y) | ||
| Joseph Pasquale Tamburini | Registered representative | Oct 2022 (4y) | ||
| Martin Edward Shea | Registered representative | Oct 2022 (4y) | ||
| Nancy Ann Pasquariello | Registered representative | Oct 2022 (4y) | ||
| Nathan James Hickney | Registered representative | Oct 2022 (4y) | ||
| Ryan Tacher | Registered representative | Oct 2022 (4y) | ||
| William Webber Mc Collam | Registered representative | Oct 2022 (4y) | ||
| Deborah Diane Davidson | Registered representative | Oct 2022 (4y) | ||
| Lora Anne Cicconi | Registered representative | Oct 2022 (4y) | ||
| Michael S Rolfes | Registered representative | CFP | Oct 2022 (4y) | |
| Michael John Stephen Tabrizi | Registered representative | CFP | Oct 2022 (4y) | |
| Bruce Poshou Lin | Registered representative | Oct 2022 (4y) | ||
| Dagmarie Feliciano Quinones | Registered representative | Oct 2022 (4y) | ||
| Erika Chan | Registered representative | Oct 2022 (4y) | ||
| Jesus Carlos | Registered representative | Oct 2022 (4y) | ||
| Michael John Hartmeyer | Registered representative | Oct 2022 (4y) | ||
| Mason Trippe | Registered representative | Oct 2022 (4y) | ||
| Matthew J Costa | Registered representative | Oct 2022 (4y) | ||
| Sennai Haile Abbay | Registered representative | Oct 2022 (4y) | ||
| Tammy Lynn Lester | Registered representative | Oct 2022 (4y) | ||
| Denise Marie Corsetti | Registered representative | Oct 2022 (4y) | ||
| Enrique Omar Torrens | Registered representative | Oct 2022 (4y) | ||
| Edward Poggi | Registered representative | Oct 2022 (4y) | ||
| Milenia James | Registered representative | Oct 2022 (4y) | ||
| Rory Bobigan | Registered representative | Oct 2022 (4y) | ||
| Sean Robert Sanborn | Registered representative | Oct 2022 (4y) | ||
| Felipe Sanchez | Registered representative | Oct 2022 (4y) | ||
| Gianna Ruffino | Registered representative | Oct 2022 (4y) | ||
| Scott Michael Schwalbert | Registered representative | Oct 2022 (4y) | ||
| Kevin Robson | Registered representative | Oct 2022 (4y) | ||
| Benjamin Charles Pieper | Registered representative | Oct 2022 (4y) | ||
| Duane Blische | Registered representative | Oct 2022 (4y) | ||
| Heather Nicole Green | Registered representative | Oct 2022 (4y) | ||
| Jarrod Edward Byers | Registered representative | Oct 2022 (4y) | ||
| Andrew Thomas Eckhardt | Registered representative | Oct 2022 (4y) | ||
| John Michael Vinci | Registered representative | Oct 2022 (4y) | ||
| Jennifer Liu | Registered representative | Oct 2022 (4y) | ||
| Michael Ryan Visciano | Registered representative | Oct 2022 (4y) | ||
| John Michael Errico | Registered representative | Nov 2022 (4y) | ||
| Alexandra Harris | Registered representative | Nov 2022 (4y) | ||
| Dimitri Rassias | Registered representative | Nov 2022 (4y) | ||
| Matthew John Mrazik | Registered representative | CFP | Nov 2022 (4y) | |
| Sara V Mccue | Registered representative | Nov 2022 (4y) | ||
| Komala Jakkur Patalappa | Registered representative | Nov 2022 (4y) | ||
| Christian Michael Murphy | Registered representative | Nov 2022 (4y) | ||
| Daniel Patrick Sullivan | Registered representative | Nov 2022 (4y) | ||
| Katie Linhart | Registered representative | Nov 2022 (4y) | ||
| Angela Rullo | Registered representative | Nov 2022 (4y) | ||
| Carl Emmanuel Pierre Louis | Registered representative | Nov 2022 (4y) | ||
| Garrett Hunter Ruth | Registered representative | Nov 2022 (4y) | ||
| Luke E Madden | Registered representative | Nov 2022 (4y) | ||
| Lisa A Villarreal | Registered representative | Nov 2022 (4y) | ||
| Rashell K Miszanczuk | Registered representative | Nov 2022 (4y) | ||
| Brittany Sherie Dohrwardt | Registered representative | Nov 2022 (4y) | ||
| Kathleen Mcelaney | Registered representative | Nov 2022 (4y) | ||
| Nicholas Robert Arnone | Registered representative | Nov 2022 (4y) | ||
| Alessandra Annamaria Marciano | Registered representative | Nov 2022 (4y) | ||
| Harrison Hunter | Registered representative | Nov 2022 (4y) | ||
| Luis Felipe Jarrin Rueda | Registered representative | Nov 2022 (4y) | ||
| Luke Robert Holbritter | Registered representative | Nov 2022 (4y) | ||
| Sean Heckler | Registered representative | Nov 2022 (4y) | ||
| Stacey Roseman | Registered representative | Nov 2022 (4y) | ||
| Benjamin Thomas Tavenner | Registered representative | CFP | Nov 2022 (4y) | |
| Justin Bruce Hanke | Registered representative | Nov 2022 (4y) | ||
| Christopher Burns Mc Cullough | Registered representative | Nov 2022 (4y) | ||
| Ian Andrew Eklin | Registered representative | Nov 2022 (4y) | ||
| Sophia Tashie Grace Williams | Registered representative | Nov 2022 (4y) | ||
| Jacob Buchbinder | Registered representative | Nov 2022 (4y) | ||
| Jessica Jingting Lin | Registered representative | Nov 2022 (4y) | ||
| Thomas James Bernstein | Registered representative | Nov 2022 (4y) | ||
| Clark Lacerda | Registered representative | Nov 2022 (4y) | ||
| John W Scoville | Registered representative | Nov 2022 (4y) | ||
| Sheren Cheng | Registered representative | Nov 2022 (4y) | ||
| Jack Douglas Kraay | Registered representative | Dec 2022 (4y) | ||
| Jennifer N Colvin | Registered representative | Dec 2022 (4y) | ||
| Taylor Jean Mc Gauley | Registered representative | Dec 2022 (4y) | ||
| Gabriel Christian Lajeunesse | Registered representative | Dec 2022 (4y) | ||
| John P. Casey | Registered representative | Dec 2022 (4y) | ||
| Zachary Mccaskill | Registered representative | Dec 2022 (4y) | ||
| Melissa Caprice | Registered representative | Dec 2022 (4y) | ||
| Nikolaos Leigh Papadopoulos | Registered representative | Dec 2022 (4y) | ||
| Stephanie Fleser | Registered representative | Dec 2022 (4y) | ||
| Jeanne Perkins Varwig | Registered representative | Dec 2022 (4y) | ||
| Margarita Elena Martinez | Registered representative | Dec 2022 (4y) | ||
| Allen Jay Van Maanen | Registered representative | Dec 2022 (4y) | ||
| Elizabeth Gardinier | Registered representative | Dec 2022 (4y) | ||
| John Michael Hatton | Registered representative | Dec 2022 (4y) | ||
| Irving Tochez Salinas | Registered representative | Dec 2022 (4y) | ||
| Justin Peter Stankewicz | Registered representative | Dec 2022 (4y) | ||
| Mark Alan Siegel | Registered representative | Dec 2022 (4y) | ||
| Michael C Carrig | Registered representative | Dec 2022 (4y) | ||
| Matthew Joseph Trencheny | Registered representative | Dec 2022 (4y) | ||
| Patrick Michael Martin | Registered representative | Dec 2022 (4y) | ||
| Tyra Elizabeth Olson | Registered representative | Dec 2022 (4y) | ||
| Natalie Rose Taylor | Registered representative | Dec 2022 (4y) | ||
| Christopher Moore | Registered representative | Dec 2022 (4y) | ||
| Michael Eugene Smith | Registered representative | Dec 2022 (4y) | ||
| Caitlin Ladd Brady | Registered representative | Dec 2022 (4y) | ||
| Carrera Shelby Santiago | Registered representative | Dec 2022 (4y) | ||
| Austin Philip Gilbertson | Registered representative | Dec 2022 (4y) | ||
| Carrie Lee Katzaroff Hennessey | Registered representative | Dec 2022 (4y) | ||
| Aitor Mesones Acosta | Registered representative | CFA | Dec 2022 (4y) | |
| Victoria Lynn Phrydas | Registered representative | Dec 2022 (4y) | ||
| Alexis Emilie Mungioli | Registered representative | Jan 2023 (4y) | ||
| Elizabeth Carroll Weyel | Registered representative | Jan 2023 (4y) | ||
| Emily Kurczyk | Registered representative | Jan 2023 (4y) | ||
| Pierre Andre Sotero Cabahug Volpe | Registered representative | Jan 2023 (4y) | ||
| Guillermo Agustin Eiben | Registered representative | Jan 2023 (4y) | ||
| John Martin Murtagh | Registered representative | Jan 2023 (4y) | ||
| Nestor Emiliano Mendez Gallione | Registered representative | Jan 2023 (4y) | ||
| Blen B Gebrehiwot | Registered representative | Jan 2023 (4y) | ||
| Dean Edward Hoeger | Registered representative | Jan 2023 (4y) | ||
| Shayla R Davis | Registered representative | Jan 2023 (4y) | ||
| Kaiako Kala Kaaumoana | Registered representative | Jan 2023 (4y) | ||
| Lillian Gallagher Johnston | Registered representative | Jan 2023 (4y) | ||
| Talon Joseph Van Wert | Registered representative | Jan 2023 (4y) | ||
| Amanda Lynn Barnes | Registered representative | Jan 2023 (4y) | ||
| Esther Berger | Registered representative | Jan 2023 (4y) | ||
| Heidi R Reyes | Registered representative | Jan 2023 (4y) | ||
| Jenny Osiris | Registered representative | Jan 2023 (4y) | ||
| Kieran Sean Varga | Registered representative | Jan 2023 (4y) | ||
| Emily Decicco | Registered representative | Jan 2023 (4y) | ||
| Eduardo De Lara Martin | Registered representative | Jan 2023 (4y) | ||
| Matthew Christopher Morris | Registered representative | CFA | Jan 2023 (4y) | |
| Renaud Delapierre | Registered representative | Jan 2023 (4y) | ||
| Theodore Daniels | Registered representative | Jan 2023 (4y) | ||
| Colleen Stott | Registered representative | Jan 2023 (4y) | ||
| Francis James Nuzzolo | Registered representative | Jan 2023 (4y) | ||
| Alicia Ann Munukka | Registered representative | Jan 2023 (4y) | ||
| Annika K Lee | Registered representative | CFP | Jan 2023 (4y) | |
| Da Vonne Rechard Powers | Registered representative | Jan 2023 (4y) | ||
| Robert Hoeft | Registered representative | Jan 2023 (4y) | ||
| Ronald Don Bleza Costa | Registered representative | Jan 2023 (4y) | ||
| Susan D Hanney | Registered representative | Jan 2023 (4y) | ||
| Mia Elizabeth Mc Connell | Registered representative | Jan 2023 (4y) | ||
| Alexander Thomas Grace | Registered representative | Jan 2023 (4y) | ||
| Kendall Nicole Wilson | Registered representative | Jan 2023 (4y) | ||
| Paulo Alexandre Nunes | Registered representative | Jan 2023 (4y) | ||
| Charlotte Von Claparede Crola | Registered representative | Jan 2023 (4y) | ||
| Gabriel Vides | Registered representative | Jan 2023 (4y) | ||
| Qixuan Wu | Registered representative | Jan 2023 (4y) | ||
| Heather Marie Hilario | Registered representative | Jan 2023 (4y) | ||
| Matthew Gerard Hull | Registered representative | Jan 2023 (4y) | ||
| William Thompson | Registered representative | CFA | Jan 2023 (4y) | |
| Anusha Sriram | Registered representative | Jan 2023 (4y) | ||
| Bradley Quan | Registered representative | Jan 2023 (4y) | ||
| Clinton G Greene | Registered representative | Jan 2023 (4y) | ||
| Emily Brooke Waits | Registered representative | Jan 2023 (4y) | ||
| Jeffrey Mark Klinger | Registered representative | Jan 2023 (4y) | ||
| Rachel Quinn | Registered representative | Jan 2023 (4y) | ||
| Lauren Alexandra Hall | Registered representative | Jan 2023 (4y) | ||
| Christopher Charles Brenning | Registered representative | Jan 2023 (4y) | ||
| Joram B Jensen | Registered representative | Jan 2023 (4y) | ||
| Brett Baxter Davies | Registered representative | Jan 2023 (4y) | ||
| Max Livingston Lewin | Registered representative | Jan 2023 (4y) | ||
| Phebe Etchu | Registered representative | Jan 2023 (4y) | ||
| Christian Alexis Romero | Registered representative | Jan 2023 (4y) | ||
| David C Sacharko | Registered representative | Jan 2023 (4y) | ||
| Sean Siana | Registered representative | CFP | Jan 2023 (4y) | |
| William Cole Imeson | Registered representative | Jan 2023 (4y) | ||
| Brandon P Hertzberg | Registered representative | Jan 2023 (4y) | ||
| Dipen Gordhan Patel | Registered representative | CFP | Jan 2023 (4y) | |
| Roberto Teofilo | Registered representative | Jan 2023 (4y) | ||
| Derar Suleiman Damra | Registered representative | Feb 2023 (4y) | ||
| Brandon Kevin Marty | Registered representative | CFA | Feb 2023 (3y) | |
| Ivelisse Maldonado | Registered representative | Feb 2023 (3y) | ||
| Tennessee Jed Lee | Registered representative | Feb 2023 (3y) | ||
| Aaron Samuel Berger | Registered representative | Feb 2023 (3y) | ||
| Alexander Satish Devereaux | Registered representative | CFP | Feb 2023 (3y) | |
| Andrew David Kearns | Registered representative | Feb 2023 (3y) | ||
| Christina Jeanne Henderson | Registered representative | Feb 2023 (3y) | ||
| Hannah Bishop | Registered representative | Feb 2023 (3y) | ||
| Tracy Ann Meyer | Registered representative | Feb 2023 (3y) | ||
| Taylor Hoffman | Registered representative | Feb 2023 (3y) | ||
| Yijia Guan | Registered representative | Feb 2023 (3y) | ||
| Julie Therese Nagle | Registered representative | Feb 2023 (3y) | ||
| Juana Elizabeth Juarez | Registered representative | Feb 2023 (3y) | ||
| Kimberly Ann Martin | Registered representative | Feb 2023 (3y) | ||
| Emily Nance Lesher | Registered representative | Feb 2023 (3y) | ||
| Brendan P Black | Registered representative | Feb 2023 (3y) | ||
| Owen R Black | Registered representative | Feb 2023 (3y) | ||
| Peter Eugene Black | Registered representative | Feb 2023 (3y) | ||
| Chad Tanioka | Registered representative | Feb 2023 (3y) | ||
| Christina Kimball | Registered representative | Feb 2023 (3y) | ||
| Daniel Vieira | Registered representative | Feb 2023 (3y) | ||
| Sullivan Higson | Registered representative | Feb 2023 (3y) | ||
| Adam R Doubet | Registered representative | Feb 2023 (3y) | ||
| Matthew Lindsey Goward | Registered representative | CFP | Feb 2023 (3y) | |
| Madeleine Mae Thompson | Registered representative | Feb 2023 (3y) | ||
| Alias Masudi | Registered representative | Feb 2023 (3y) | ||
| Kate Halickman | Registered representative | Feb 2023 (3y) | ||
| Marcia Rumi Sato | Registered representative | Feb 2023 (3y) | ||
| Brian James Mariash | Registered representative | Feb 2023 (3y) | ||
| Carlos E Rosado | Registered representative | Feb 2023 (3y) | ||
| David Samuel Marshall | Registered representative | Feb 2023 (3y) | ||
| Ryan Dansby | Registered representative | Feb 2023 (3y) | ||
| Stephany Omote Swisher | Registered representative | Feb 2023 (3y) | ||
| Nicholas Guerra | Registered representative | Feb 2023 (3y) | ||
| Emily Rose Barno | Registered representative | Mar 2023 (3y) | ||
| Michael Gordon | Registered representative | Mar 2023 (3y) | ||
| Eden Joy Flores Tuplano | Registered representative | Mar 2023 (3y) | ||
| Joshua Christopher Millson Martula | Registered representative | Mar 2023 (3y) | ||
| Nicole Marie Di Tommaso | Registered representative | Mar 2023 (3y) | ||
| Abraham Alan Azar | Registered representative | Mar 2023 (3y) | ||
| Courtney Sommer Freed | Registered representative | Mar 2023 (3y) | ||
| James Barton Lowther | Registered representative | Mar 2023 (3y) | ||
| Matthew Sigcha | Registered representative | Mar 2023 (3y) | ||
| Zachariah Fatih Abiad | Registered representative | Mar 2023 (3y) | ||
| Grace Alexandra Pena | Registered representative | Mar 2023 (3y) | ||
| Katie Lynn Ranney | Registered representative | Mar 2023 (3y) | ||
| Matthew Joseph Mc Manus | Registered representative | Mar 2023 (3y) | ||
| Scott King | Registered representative | Mar 2023 (3y) | ||
| Thomas J Sheehan | Registered representative | Mar 2023 (3y) | ||
| Nicole Ann Zanetti | Registered representative | Mar 2023 (3y) | ||
| Gabriel Lyons | Registered representative | Mar 2023 (3y) | ||
| Alexis Zona | Registered representative | Mar 2023 (3y) | ||
| Jon Douglas Strieby | Registered representative | Mar 2023 (3y) | ||
| Thomas Ciambrone | Registered representative | Mar 2023 (3y) | ||
| Abby Harris | Registered representative | Mar 2023 (3y) | ||
| Edmur Ribeiro | Registered representative | Mar 2023 (3y) | ||
| John Small Watson | Registered representative | Mar 2023 (3y) | ||
| Ryan Kelley | Registered representative | Mar 2023 (3y) | ||
| Sarai Cortes | Registered representative | Mar 2023 (3y) | ||
| Christopher Joseph Agro | Registered representative | Mar 2023 (3y) | ||
| Vanessa Taylor | Registered representative | Mar 2023 (3y) | ||
| Haydee Chachamovits | Registered representative | Mar 2023 (3y) | ||
| Kaysha Jane Kogut | Registered representative | Mar 2023 (3y) | ||
| Renee Ann Johnson | Registered representative | Mar 2023 (3y) | ||
| Victor Hugo Guzman Lopez | Registered representative | Mar 2023 (3y) | ||
| Aspen Michelle Reid | Registered representative | Mar 2023 (3y) | ||
| John Hampton Hagy | Registered representative | Mar 2023 (3y) | ||
| Michael Patrick Norman | Registered representative | Mar 2023 (3y) | ||
| Stephen Eugene Hagy | Registered representative | Mar 2023 (3y) | ||
| Erika Balla | Registered representative | Mar 2023 (3y) | ||
| Heidi Waldmann | Registered representative | Mar 2023 (3y) | ||
| Erin O'neill | Registered representative | Mar 2023 (3y) | ||
| Cheng Hao Wang | Registered representative | CFA | Mar 2023 (3y) | |
| Alexander John Gumas | Registered representative | Mar 2023 (3y) | ||
| Dinh Nghia Truong | Registered representative | Mar 2023 (3y) | ||
| Aristea Selmani | Registered representative | Apr 2023 (3y) | ||
| Ludgenane Schmidt | Registered representative | Apr 2023 (3y) | ||
| Cameron Richardson | Registered representative | Apr 2023 (3y) | ||
| Phillip Tanner | Registered representative | CFP | Apr 2023 (3y) | |
| Danielle D'arcy | Registered representative | Apr 2023 (3y) | ||
| Andres Felipe Castro Rincon | Registered representative | Apr 2023 (3y) | ||
| Michael Kenneth Blau | Registered representative | Apr 2023 (3y) | ||
| Reid Thomas Wight | Registered representative | Apr 2023 (3y) | ||
| John Joseph Infante | Registered representative | Apr 2023 (3y) | ||
| Eric Michael Levine | Registered representative | CFA | Apr 2023 (3y) | |
| Jacob Aaron Pliner | Registered representative | Apr 2023 (3y) | ||
| Heather Dempsey | Registered representative | Apr 2023 (3y) | ||
| James Hugh Shannon | Registered representative | Apr 2023 (3y) | ||
| Roxanne Marie Lenfert | Registered representative | Apr 2023 (3y) | ||
| John Sterling Ubaldi | Registered representative | Apr 2023 (3y) | ||
| Sergio Maffettone | Registered representative | Apr 2023 (3y) | ||
| Eleni Woods | Registered representative | Apr 2023 (3y) | ||
| Robert Fraser Monaco | Registered representative | Apr 2023 (3y) | ||
| Dayna Santoro Moser | Registered representative | Apr 2023 (3y) | ||
| Dianne Funigiello | Registered representative | Apr 2023 (3y) | ||
| Tony Young | Registered representative | Apr 2023 (3y) | ||
| Declan Christopher Horan | Registered representative | Apr 2023 (3y) | ||
| Brian Joseph Zakrocki | Registered representative | Apr 2023 (3y) | ||
| Joseph W Wladyka | Registered representative | Apr 2023 (3y) | ||
| Jacob Michael Giannelli | Registered representative | Apr 2023 (3y) | ||
| Barton M Helfet | Registered representative | Apr 2023 (3y) | ||
| Kristen Elizabeth Fleischer | Registered representative | Apr 2023 (3y) | ||
| Armando Mendoza Ramirez | Registered representative | May 2023 (3y) | ||
| Courtney Nicole Prefontaine | Registered representative | May 2023 (3y) | ||
| Emily Helene Zubizarreta | Registered representative | May 2023 (3y) | ||
| James Bertrand | Registered representative | May 2023 (3y) | ||
| Sarah Miu Ying Chambers | Registered representative | May 2023 (3y) | ||
| Yee Ning Yip | Registered representative | May 2023 (3y) | ||
| Elisabeth Reilly O Connor | Registered representative | May 2023 (3y) | ||
| Kathryn M Miller | Registered representative | May 2023 (3y) | ||
| Paul Larosa Cuneo | Registered representative | May 2023 (3y) | ||
| Timothy M Denihan | Registered representative | May 2023 (3y) | ||
| Ute Lehmann | Registered representative | May 2023 (3y) | ||
| Kent Elliot Byrd | Registered representative | May 2023 (3y) | ||
| Sarah Nelson | Registered representative | May 2023 (3y) | ||
| Caitlin B Walsh | Registered representative | May 2023 (3y) | ||
| David Ahmed Najem | Registered representative | May 2023 (3y) | ||
| Nicole Victoria Orlowski | Registered representative | May 2023 (3y) | ||
| Adriana S. Molina | Registered representative | May 2023 (3y) | ||
| Samantha Lynn Lagasse | Registered representative | May 2023 (3y) | ||
| Jaede Alexandria Bristel | Registered representative | May 2023 (3y) | ||
| Jenny Brummer | Registered representative | May 2023 (3y) | ||
| Joseph M Glasby | Registered representative | May 2023 (3y) | ||
| Joshua Griffin | Registered representative | May 2023 (3y) | ||
| Ting Xie O'connor | Registered representative | May 2023 (3y) | ||
| Kostandinos Alexiou | Registered representative | May 2023 (3y) | ||
| Anna Joy Machin | Registered representative | May 2023 (3y) | ||
| Kendra Matthews Willis | Registered representative | May 2023 (3y) | ||
| Eva Rivka Tamar Agi | Registered representative | CFP | May 2023 (3y) | |
| Jack Krug | Registered representative | May 2023 (3y) | ||
| Mia G Scanlon | Registered representative | May 2023 (3y) | ||
| Christopher Tanaka | Registered representative | May 2023 (3y) | ||
| Matthew Boyd | Registered representative | May 2023 (3y) | ||
| Eliza Brygida Nuffer | Registered representative | May 2023 (3y) | ||
| Kevin Martin | Registered representative | May 2023 (3y) | ||
| Nicholas Laurence Manos | Registered representative | May 2023 (3y) | ||
| Andrew Joseph Hernandez | Registered representative | May 2023 (3y) | ||
| Armani Miller | Registered representative | May 2023 (3y) | ||
| Benjamin Krajnak | Registered representative | CFP | May 2023 (3y) | |
| Gregg Hobart Palmer | Registered representative | May 2023 (3y) | ||
| Jack Dennehy | Registered representative | May 2023 (3y) | ||
| Ryan Vincent Hetzer | Registered representative | May 2023 (3y) | ||
| Reeya H Shah | Registered representative | May 2023 (3y) | ||
| Sophia Bicks | Registered representative | May 2023 (3y) | ||
| Zachary Gallagher | Registered representative | May 2023 (3y) | ||
| Cedric Mc Clain | Registered representative | May 2023 (3y) | ||
| Mark Armstrong Clippinger | Registered representative | May 2023 (3y) | ||
| Michael Allen Crawford | Registered representative | May 2023 (3y) | ||
| John Lindley Spangler | Registered representative | May 2023 (3y) | ||
| Kornelia Potomska | Registered representative | May 2023 (3y) | ||
| Anthony Riina | Registered representative | Jun 2023 (3y) | ||
| Aaron Inkrote | Registered representative | Jun 2023 (3y) | ||
| Jay Richard Hargis | Registered representative | Jun 2023 (3y) | ||
| Leonard George Gabbidon | Registered representative | Jun 2023 (3y) | ||
| Viviana Marisa Coelho | Registered representative | Jun 2023 (3y) | ||
| Cathy C Lok | Registered representative | Jun 2023 (3y) | ||
| Craig S Weinstein | Registered representative | Jun 2023 (3y) | ||
| Daniel Andre Gerschel | Registered representative | Jun 2023 (3y) | ||
| Ignatius Sun Ting Liu | Registered representative | Jun 2023 (3y) | ||
| Joshua Ellner | Registered representative | Jun 2023 (3y) | ||
| Marie Ramirez | Registered representative | Jun 2023 (3y) | ||
| Michael Scott Bromberg | Registered representative | Jun 2023 (3y) | ||
| Nicolas Charles Donarski | Registered representative | Jun 2023 (3y) | ||
| Robert Mancino | Registered representative | Jun 2023 (3y) | ||
| Samuel H Green | Registered representative | Jun 2023 (3y) | ||
| Stavros Edward Chironis | Registered representative | Jun 2023 (3y) | ||
| Taylor Ridgway | Registered representative | Jun 2023 (3y) | ||
| David Weinstock | Registered representative | Jun 2023 (3y) | ||
| Mandy Sheau Huei Ho | Registered representative | CFA | Jun 2023 (3y) | |
| Adriana T Martinez Sarson | Registered representative | Jun 2023 (3y) | ||
| Breana Maurais Cole | Registered representative | Jun 2023 (3y) | ||
| Richard Barry Zins | Registered representative | Jun 2023 (3y) | ||
| Michael Zaccaro Jr | Registered representative | Jun 2023 (3y) | ||
| Laura Virginia Saborio | Registered representative | Jun 2023 (3y) | ||
| Maria Laura Caputto | Registered representative | Jun 2023 (3y) | ||
| Patrick Michael Sweeney | Registered representative | Jun 2023 (3y) | ||
| Carey White | Registered representative | Jun 2023 (3y) | ||
| Justin Michael Biggs | Registered representative | Jun 2023 (3y) | ||
| Silvia D. Duda | Registered representative | Jun 2023 (3y) | ||
| Stephen Joseph Ruef | Registered representative | Jun 2023 (3y) | ||
| Cole Jaksa | Registered representative | Jun 2023 (3y) | ||
| Hana Kurtz Ferrari | Registered representative | Jun 2023 (3y) | ||
| Jamie A Engelking | Registered representative | Jun 2023 (3y) | ||
| Elysia Truc Nhi Bui | Registered representative | Jun 2023 (3y) | ||
| Fred Carrolli | Registered representative | Jun 2023 (3y) | ||
| Jennifer Kathleen Dunn | Registered representative | Jun 2023 (3y) | ||
| Joseph Frederick Alibrandi | Registered representative | Jun 2023 (3y) | ||
| Mark Williams Alibrandi | Registered representative | Jun 2023 (3y) | ||
| Kimberly Ann Cristofoli | Registered representative | Jun 2023 (3y) | ||
| Stephen Alibrandi | Registered representative | Jun 2023 (3y) | ||
| Omid Sarmadi | Registered representative | Jun 2023 (3y) | ||
| Samuel Fink | Registered representative | Jun 2023 (3y) | ||
| Kevin G Noskowiak | Registered representative | Jun 2023 (3y) | ||
| John Donovan | Registered representative | Jun 2023 (3y) | ||
| Nyssa Lynn Milburn | Registered representative | Jun 2023 (3y) | ||
| Bethany Ann Thiesfeldt | Registered representative | CFP | Jun 2023 (3y) | |
| Patrick James Ryan | Registered representative | Jun 2023 (3y) | ||
| Barbara Yuenyee Yee | Registered representative | CFP | Jun 2023 (3y) | |
| Cole Patterson | Registered representative | Jun 2023 (3y) | ||
| Henry Carson Langham | Registered representative | Jun 2023 (3y) | ||
| Rita Karl | Registered representative | Jun 2023 (3y) | ||
| Singman Siu | Registered representative | Jun 2023 (3y) | ||
| Viktor Szucs | Registered representative | Jul 2023 (3y) | ||
| Jason Ciampaglia | Registered representative | Jul 2023 (3y) | ||
| Sara Alicia Reincke | Registered representative | Jul 2023 (3y) | ||
| William Richard Aulwes | Registered representative | Jul 2023 (3y) | ||
| Mary Elizabeth Johnson | Registered representative | Jul 2023 (3y) | ||
| Leah Jade Hughes | Registered representative | Jul 2023 (3y) | ||
| Eugene Henry Martino | Registered representative | Jul 2023 (3y) | ||
| Edmond Magdi Sayegh | Registered representative | Jul 2023 (3y) | ||
| Jake Tyler Zosulis | Registered representative | Jul 2023 (3y) | ||
| Coralia Maria Bonilla | Registered representative | Jul 2023 (3y) | ||
| Joshua Anthony Willen | Registered representative | Jul 2023 (3y) | ||
| Kristen Melendy | Registered representative | Jul 2023 (3y) | ||
| Samantha Roberts | Registered representative | Jul 2023 (3y) | ||
| Victoria Eugenia Cordoba Marin | Registered representative | Jul 2023 (3y) | ||
| Julie Ann Ann Isbey | Registered representative | Jul 2023 (3y) | ||
| Ryan Matthew Whitford | Registered representative | Jul 2023 (3y) | ||
| Crystalinda Renteria Ray | Registered representative | Jul 2023 (3y) | ||
| Sydney Joy Barker | Registered representative | Jul 2023 (3y) | ||
| Jonathan Lewis | Registered representative | Jul 2023 (3y) | ||
| Alena Valeriyevna Baranova | Registered representative | Jul 2023 (3y) | ||
| Danny Koh | Registered representative | Jul 2023 (3y) | ||
| Crystal Monique Cleare | Registered representative | Jul 2023 (3y) | ||
| Linda Xue | Registered representative | Jul 2023 (3y) | ||
| Megan Waters | Registered representative | Jul 2023 (3y) | ||
| Nicholas Lane Buglisi | Registered representative | Jul 2023 (3y) | ||
| David Matthew Cavicchio | Registered representative | Jul 2023 (3y) | ||
| James Mark Tuminello | Registered representative | Jul 2023 (3y) | ||
| Arrik Nelson Wilkins | Registered representative | Jul 2023 (3y) | ||
| James Wayne Wilson | Registered representative | Aug 2023 (3y) | ||
| Lisa M Bruce | Registered representative | Aug 2023 (3y) | ||
| Nathania Joy Allison | Registered representative | Aug 2023 (3y) | ||
| Chanan Bergman | Registered representative | Aug 2023 (3y) | ||
| Justine Samantha Greenwald | Registered representative | Aug 2023 (3y) | ||
| Lisa Marie Moavero | Registered representative | Aug 2023 (3y) | ||
| Maxwell J Sabel | Registered representative | Aug 2023 (3y) | ||
| Michael Patrick Rafferty | Registered representative | Aug 2023 (3y) | ||
| Cameron James Collins | Registered representative | Aug 2023 (3y) | ||
| Mason Lawrence | Registered representative | Aug 2023 (3y) | ||
| Thomas K Lowell | Registered representative | Aug 2023 (3y) | ||
| Ethan Cole Zager | Registered representative | Aug 2023 (3y) | ||
| Ning Liao | Registered representative | CFA | Aug 2023 (3y) | |
| Shane Benick | Registered representative | Aug 2023 (3y) | ||
| Julia A Makris | Registered representative | Aug 2023 (3y) | ||
| Maxwell Jennings Blalock | Registered representative | Aug 2023 (3y) | ||
| Arturo Enrique Reyes | Registered representative | Aug 2023 (3y) | ||
| Madeleine Noelle Jackson | Registered representative | Aug 2023 (3y) | ||
| David Scott Webb | Registered representative | Aug 2023 (3y) | ||
| Alvaro Andres Gomez Mena | Registered representative | Aug 2023 (3y) | ||
| Cassandra Lynn Hoberg | Registered representative | Aug 2023 (3y) | ||
| Carlos Emilio Arguello | Registered representative | Aug 2023 (3y) | ||
| Colin Noone | Registered representative | Aug 2023 (3y) | ||
| Luiz Augusto Teixeira | Registered representative | Aug 2023 (3y) | ||
| Philip Reid Kruger | Registered representative | Aug 2023 (3y) | ||
| Jake Phillips Long | Registered representative | Aug 2023 (3y) | ||
| Kevin Patrick Roe | Registered representative | CFP | Aug 2023 (3y) | |
| Mildred Lopez Legra | Registered representative | Aug 2023 (3y) | ||
| Daniel Trevor Ingraldi | Registered representative | Aug 2023 (3y) | ||
| Peter Steven Sullivan | Registered representative | Aug 2023 (3y) | ||
| Richard Leslie Terrill | Registered representative | CFP | Aug 2023 (3y) | |
| Aidan Javier Martinez | Registered representative | Aug 2023 (3y) | ||
| Chase Thomas Willauer | Registered representative | Aug 2023 (3y) | ||
| Morgan Ann Kane | Registered representative | Aug 2023 (3y) | ||
| Amy Brown | Registered representative | Aug 2023 (3y) | ||
| Danielle Lauren Libraty | Registered representative | Aug 2023 (3y) | ||
| Peter Michael Perdomo | Registered representative | Aug 2023 (3y) | ||
| Priscila Quiroz Royval | Registered representative | Aug 2023 (3y) | ||
| Jason Daniel Mayer | Registered representative | Aug 2023 (3y) | ||
| Jiaxing Huo | Registered representative | Aug 2023 (3y) | ||
| Patience Jane Rubyor | Registered representative | Aug 2023 (3y) | ||
| William Thomas | Registered representative | Aug 2023 (3y) | ||
| Zhujun Xing | Registered representative | Aug 2023 (3y) | ||
| Breanna Kay Lehman | Registered representative | Sep 2023 (3y) | ||
| Kristin Winfield Hovencamp | Registered representative | Sep 2023 (3y) | ||
| Rodrigo Guevara | Registered representative | Sep 2023 (3y) | ||
| Julie Haviland | Registered representative | Sep 2023 (3y) | ||
| Sara Jean Wiegert | Registered representative | Sep 2023 (3y) | ||
| Allison B Riotto | Registered representative | Sep 2023 (3y) | ||
| Heather V Phillips | Registered representative | Sep 2023 (3y) | ||
| Kristina Mairead Schafer | Registered representative | Sep 2023 (3y) | ||
| Thomas Eddy Hardenbergh | Registered representative | Sep 2023 (3y) | ||
| Alexander Roy | Registered representative | Sep 2023 (3y) | ||
| Amy Patricia Stebbins | Registered representative | Sep 2023 (3y) | ||
| Brent Douglas Roof | Registered representative | Sep 2023 (3y) | ||
| Chancelor R Strickland | Registered representative | Sep 2023 (3y) | ||
| Divina Eclavea Bundick | Registered representative | Sep 2023 (3y) | ||
| John Franklin Mccabe | Registered representative | Sep 2023 (3y) | ||
| Kenneth H Finley | Registered representative | Sep 2023 (3y) | ||
| Ladd Glenn Lumpkin | Registered representative | Sep 2023 (3y) | ||
| Larry Shuford Rowe | Registered representative | Sep 2023 (3y) | ||
| Luis Alejandro Lepervanche | Registered representative | Sep 2023 (3y) | ||
| Paula B Sabbagha | Registered representative | Sep 2023 (3y) | ||
| Summer S Cox | Registered representative | Sep 2023 (3y) | ||
| W M Velasco | Registered representative | Sep 2023 (3y) | ||
| William M Velasco | Registered representative | Sep 2023 (3y) | ||
| Zachary Taylor Brown | Registered representative | Sep 2023 (3y) | ||
| Tyler Vondrak | Registered representative | Sep 2023 (3y) | ||
| Jun Liao | Registered representative | Sep 2023 (3y) | ||
| Katherine Knutsen | Registered representative | Sep 2023 (3y) | ||
| Griselda Longoria | Registered representative | Sep 2023 (3y) | ||
| Scott Henry Winter | Registered representative | Sep 2023 (3y) | ||
| Khristopher Robert Hoopes | Registered representative | CFP | Sep 2023 (3y) | |
| Jordi Teixido Teixido | Registered representative | Sep 2023 (3y) | ||
| Richard Duarte | Registered representative | Sep 2023 (3y) | ||
| Ruben T Vildosola | Registered representative | Sep 2023 (3y) | ||
| Aaron Timothy Miller | Registered representative | Sep 2023 (3y) | ||
| Kristen R Quick | Registered representative | Sep 2023 (3y) | ||
| Keith Matthew Coutant | Registered representative | Sep 2023 (3y) | ||
| Kevin Michael Coutant | Registered representative | Sep 2023 (3y) | ||
| Igor V Fastov | Registered representative | Sep 2023 (3y) | ||
| Katherine Lynn Willoughby | Registered representative | Sep 2023 (3y) | ||
| Tyrell Ehigie Ehimwenma | Registered representative | Sep 2023 (3y) | ||
| Zachary Martin | Registered representative | Sep 2023 (3y) | ||
| Corey Vita | Registered representative | Sep 2023 (3y) | ||
| Aniella Angela Poppo | Registered representative | Sep 2023 (3y) | ||
| Jeffrey Tsegaye Love | Registered representative | Sep 2023 (3y) | ||
| Lori Beth Thompson | Registered representative | Sep 2023 (3y) | ||
| Monica A Mccartan | Registered representative | Sep 2023 (3y) | ||
| Olivia Katherine Marchese | Registered representative | Sep 2023 (3y) | ||
| Robert Daniel O Neill | Registered representative | Sep 2023 (3y) | ||
| Veronica Ramos Flores | Registered representative | Sep 2023 (3y) | ||
| Caroline Ann Fisher | Registered representative | Sep 2023 (3y) | ||
| Elizabeth Polizzi | Registered representative | Sep 2023 (3y) | ||
| Frederick F Gualario | Registered representative | Sep 2023 (3y) | ||
| Irina Ilina | Registered representative | Sep 2023 (3y) | ||
| Isabelle Anna Lipinski | Registered representative | Sep 2023 (3y) | ||
| Rebecca Luiza Filgueira De Andrade | Registered representative | Sep 2023 (3y) | ||
| Alissa Ciara Leno | Registered representative | Sep 2023 (3y) | ||
| Heather Jeanette Stephens | Registered representative | Sep 2023 (3y) | ||
| Dijana Jovevska | Registered representative | Sep 2023 (3y) | ||
| Samuel Ryan Harris | Registered representative | Sep 2023 (3y) | ||
| Caroline Pratt | Registered representative | Oct 2023 (3y) | ||
| George William Jilich | Registered representative | Oct 2023 (3y) | ||
| Ismael E. Gorra | Registered representative | Oct 2023 (3y) | ||
| Jaron Neal Dandridge | Registered representative | Oct 2023 (3y) | ||
| Daniel P. Moore | Registered representative | Oct 2023 (3y) | ||
| Jason S Kaimer | Registered representative | Oct 2023 (3y) | ||
| Caroline Corcoran Ryan | Registered representative | Oct 2023 (3y) | ||
| Jesus Zamarripa | Registered representative | Oct 2023 (3y) | ||
| Joanna M Franz | Registered representative | Oct 2023 (3y) | ||
| Joseph Michael Waldvogel | Registered representative | CFP | Oct 2023 (3y) | |
| Matthew Thomas Burton | Registered representative | Oct 2023 (3y) | ||
| Samantha Rose Bloom | Registered representative | Oct 2023 (3y) | ||
| Thomas Henry Healey | Registered representative | Oct 2023 (3y) | ||
| Xavier Feu Ricart | Registered representative | Oct 2023 (3y) | ||
| Dina Bongermino | Registered representative | Oct 2023 (3y) | ||
| Irving Betesh | Registered representative | Oct 2023 (3y) | ||
| Jose Guadalupe Campa | Registered representative | Oct 2023 (3y) | ||
| Morris I Betesh | Registered representative | Oct 2023 (3y) | ||
| Michael B Gallagher | Registered representative | Oct 2023 (3y) | ||
| Surina Sidhdharth Sheth | Registered representative | Oct 2023 (3y) | ||
| Jamie Lee Olhiser | Registered representative | Oct 2023 (3y) | ||
| Madeline Rose Kahn | Registered representative | Oct 2023 (3y) | ||
| Narayan S Pallavur | Registered representative | Oct 2023 (3y) | ||
| Timothy Grady Mcnutt | Registered representative | Oct 2023 (3y) | ||
| Analisa Marie Mcguffie | Registered representative | Oct 2023 (3y) | ||
| Ethan Wing | Registered representative | Oct 2023 (3y) | ||
| Lauren Gehrig | Registered representative | Oct 2023 (3y) | ||
| Mauricio David Dorfzaun | Registered representative | Oct 2023 (3y) | ||
| Natalya Tumanyan | Registered representative | Oct 2023 (3y) | ||
| Henry Podlaszewski Jr. | Registered representative | Oct 2023 (3y) | ||
| Paule Merveille Houngbeke | Registered representative | Oct 2023 (3y) | ||
| Avery Attridge Melville | Registered representative | Oct 2023 (3y) | ||
| Bennett J Kavlick | Registered representative | Oct 2023 (3y) | ||
| Beth Ann Marques | Registered representative | Oct 2023 (3y) | ||
| Charles Milton Drew | Registered representative | Oct 2023 (3y) | ||
| Derek Matos | Registered representative | Oct 2023 (3y) | ||
| Jose Manuel De Paz Cuevas | Registered representative | Oct 2023 (3y) | ||
| Padraig Kevin Mcbrien | Registered representative | Oct 2023 (3y) | ||
| Valentina Candiales Fortoul | Registered representative | Oct 2023 (3y) | ||
| William Alfred Hand | Registered representative | CFA | Oct 2023 (3y) | |
| Abiagil Grace Murphy | Registered representative | Oct 2023 (3y) | ||
| Julie Ann Shaw | Registered representative | Oct 2023 (3y) | ||
| Ryan Austin Breger | Registered representative | Oct 2023 (3y) | ||
| Sean Anthony Stamper | Registered representative | CFP | Oct 2023 (3y) | |
| Donte' Ricardo Moore | Registered representative | Oct 2023 (3y) | ||
| Ignacio Del Carril | Registered representative | Oct 2023 (3y) | ||
| Meagan Christina Calvert | Registered representative | Oct 2023 (3y) | ||
| Bryan Francis Scordino | Registered representative | Oct 2023 (3y) | ||
| Daniel Micah Stevens | Registered representative | Oct 2023 (3y) | ||
| Karen Pawlyk | Registered representative | Oct 2023 (3y) | ||
| Bethany Cichy | Registered representative | Oct 2023 (3y) | ||
| George Scott Marlow | Registered representative | Oct 2023 (3y) | ||
| Luke Matthew Sacco | Registered representative | Oct 2023 (3y) | ||
| Petra Fallaha | Registered representative | Oct 2023 (3y) | ||
| Alexander David Swatzell | Registered representative | CFP | Oct 2023 (3y) | |
| Helena Rebecca Stone | Registered representative | Oct 2023 (3y) | ||
| Neel Ghanshyam Patel | Registered representative | Oct 2023 (3y) | ||
| Scott Reynolds | Registered representative | Oct 2023 (3y) | ||
| Bruno Landscheck Guzzo | Registered representative | Nov 2023 (3y) | ||
| Michael Pasquale | Registered representative | Nov 2023 (3y) | ||
| James Rocco Tenaglia | Registered representative | CFP | Nov 2023 (3y) | |
| Kenneth Catanella | Registered representative | Nov 2023 (3y) | ||
| Charles James Kaufmann | Registered representative | Nov 2023 (3y) | ||
| Eric S Zimmerer | Registered representative | Nov 2023 (3y) | ||
| Haley Renee Jackson | Registered representative | Nov 2023 (3y) | ||
| Nicholas Tyler Favaro | Registered representative | Nov 2023 (3y) | ||
| Regina Stieglitz Ruiz | Registered representative | Nov 2023 (3y) | ||
| Laura Gurgel | Registered representative | Nov 2023 (3y) | ||
| Walker Wood Boyd | Registered representative | Nov 2023 (3y) | ||
| Andrea Michelon | Registered representative | Nov 2023 (3y) | ||
| Steven Andrew Schehl | Registered representative | Nov 2023 (3y) | ||
| Andrea Maria Randazzo | Registered representative | Nov 2023 (3y) | ||
| Armando Antonio Gonzalez | Registered representative | Nov 2023 (3y) | ||
| Andres Llanos | Registered representative | Nov 2023 (3y) | ||
| Benjamin Carrington | Registered representative | Nov 2023 (3y) | ||
| Jose Joaquin Figueroa | Registered representative | Nov 2023 (3y) | ||
| Jose Maria De Teran | Registered representative | Nov 2023 (3y) | ||
| Kristopher Stute Wright | Registered representative | Nov 2023 (3y) | ||
| Luis Zabala Hines | Registered representative | Nov 2023 (3y) | ||
| Nelson C Miles | Registered representative | Nov 2023 (3y) | ||
| Scott Walter Forsyth | Registered representative | CFP | Nov 2023 (3y) | |
| David James Cynkin | Registered representative | Nov 2023 (3y) | ||
| Erik Fielder | Registered representative | Nov 2023 (3y) | ||
| Alexis Nicole Lombardo | Registered representative | Nov 2023 (3y) | ||
| Antonio J Nogalo | Registered representative | Nov 2023 (3y) | ||
| Caroline Doran | Registered representative | Nov 2023 (3y) | ||
| Grace Catherine Concannon | Registered representative | Nov 2023 (3y) | ||
| Kirsten Ann Freer | Registered representative | Nov 2023 (3y) | ||
| Mike Francis Smith | Registered representative | Nov 2023 (3y) | ||
| William David Osman | Registered representative | Nov 2023 (3y) | ||
| Anderson Boursiquot | Registered representative | Nov 2023 (3y) | ||
| Christopher Cavanaugh Grennon | Registered representative | Nov 2023 (3y) | ||
| Ian Alekos Tovar Panteleeva | Registered representative | Nov 2023 (3y) | ||
| William Cole Anderson | Registered representative | CFA | Nov 2023 (3y) | |
| Matthew L Marques | Registered representative | Nov 2023 (3y) | ||
| Matthew Richard Mardirosian | Registered representative | Nov 2023 (3y) | ||
| Maureen C Keating | Registered representative | Nov 2023 (3y) | ||
| Michael Aram De Corleto | Registered representative | Nov 2023 (3y) | ||
| Kiley Rose Migliorini | Registered representative | Nov 2023 (3y) | ||
| Michaela Lavin O'connell | Registered representative | Nov 2023 (3y) | ||
| Frank Ruggiano | Registered representative | Nov 2023 (3y) | ||
| John Joseph Ramirez | Registered representative | Nov 2023 (3y) | ||
| Caitlyn Anna Craig | Registered representative | Nov 2023 (3y) | ||
| Danielle Brousseau Milam | Registered representative | Nov 2023 (3y) | ||
| Shawn W Rivers | Registered representative | Nov 2023 (3y) | ||
| Connor Hamilton | Registered representative | Nov 2023 (3y) | ||
| Gregoire Coudert | Registered representative | Nov 2023 (3y) | ||
| Isabelle Patricia Mullane | Registered representative | Nov 2023 (3y) | ||
| Jack Doney | Registered representative | Nov 2023 (3y) | ||
| Jonathan Mc Alister | Registered representative | Nov 2023 (3y) | ||
| Amritansh Tewary | Registered representative | CFA | Nov 2023 (3y) | |
| Andrew Reisfield | Registered representative | Nov 2023 (3y) | ||
| James Russell Morrison | Registered representative | Nov 2023 (3y) | ||
| Jose Antonio Opengo Castillo | Registered representative | Nov 2023 (3y) | ||
| Kristin Amber Landis | Registered representative | Nov 2023 (3y) | ||
| Steven Paul Nassau | Registered representative | Nov 2023 (3y) | ||
| Charles David Medelberg | Registered representative | Nov 2023 (3y) | ||
| Gabrielle Laing Du Bose | Registered representative | Nov 2023 (3y) | ||
| Nicholas Matzelle | Registered representative | Nov 2023 (3y) | ||
| Stacey B Koziatek | Registered representative | Nov 2023 (3y) | ||
| Charles B Lynch | Registered representative | Dec 2023 (3y) | ||
| Elijah Shems Dornstreich | Registered representative | Dec 2023 (3y) | ||
| Ryan Adam Depaul | Registered representative | CFP | Dec 2023 (3y) | |
| Angela Maria Brehm | Registered representative | Dec 2023 (3y) | ||
| Christian Yip To Ng | Registered representative | Dec 2023 (3y) | ||
| Andrea Juliana Freiman | Registered representative | CFP | Dec 2023 (3y) | |
| Carlos Canela | Registered representative | Dec 2023 (3y) | ||
| Nikolas Anthony Rakic | Registered representative | Dec 2023 (3y) | ||
| Joseph Michael Rosano | Registered representative | Dec 2023 (3y) | ||
| Robert Jr,Robert Moore Jr | Registered representative | Dec 2023 (3y) | ||
| Sanya Jolly | Registered representative | Dec 2023 (3y) | ||
| Christopher Hartnett | Registered representative | Dec 2023 (3y) | ||
| John W Little | Registered representative | Dec 2023 (3y) | ||
| Nicole Lauren Angelo | Registered representative | Dec 2023 (3y) | ||
| Wanda Elaine Brewster Harris | Registered representative | Dec 2023 (3y) | ||
| William Montgomery Kennon | Registered representative | Dec 2023 (3y) | ||
| Yasmin Lara | Registered representative | Dec 2023 (3y) | ||
| Daniel John Schurr | Registered representative | Dec 2023 (3y) | ||
| Tamika Riggins | Registered representative | Dec 2023 (3y) | ||
| Vinicius Medeiros Dos Santos | Registered representative | Dec 2023 (3y) | ||
| George Simon Miller | Registered representative | Dec 2023 (3y) | ||
| Sarah Louise Beam | Registered representative | Dec 2023 (3y) | ||
| William Stephen Garrett | Registered representative | Dec 2023 (3y) | ||
| Jenna L Fass | Registered representative | Dec 2023 (3y) | ||
| Christopher Cameron Natola | Registered representative | Dec 2023 (3y) | ||
| Ekaterina S Sirotkina | Registered representative | Dec 2023 (3y) | ||
| Matthew Anthony Montegani | Registered representative | Dec 2023 (3y) | ||
| Tyler L Chiperfield | Registered representative | Dec 2023 (3y) | ||
| Nour S Jaber | Registered representative | Dec 2023 (3y) | ||
| William David | Registered representative | Dec 2023 (3y) | ||
| Clarisa Isabel Herrera | Registered representative | Dec 2023 (3y) | ||
| Joseph P Esposito | Registered representative | Dec 2023 (3y) | ||
| Mikayla Teal | Registered representative | Jan 2024 (3y) | ||
| Bautista Duhour | Registered representative | Jan 2024 (3y) | ||
| Inigo Torres Livianos | Registered representative | Jan 2024 (3y) | ||
| Lori Dejesus | Registered representative | Jan 2024 (3y) | ||
| Laura Katherine Graham | Registered representative | Jan 2024 (3y) | ||
| Barry Ringelheim | Registered representative | Jan 2024 (3y) | ||
| Chelsea Dyan Nicole Blake | Registered representative | Jan 2024 (3y) | ||
| Ryan Walker Tantleff | Registered representative | Jan 2024 (3y) | ||
| Sharon Therese Sager | Registered representative | Jan 2024 (3y) | ||
| Violeta I Mollova | Registered representative | Jan 2024 (3y) | ||
| Lydia Bennett Shaw | Registered representative | Jan 2024 (3y) | ||
| Alisa Melkonyan | Registered representative | Jan 2024 (3y) | ||
| Jennifer J Winstel | Registered representative | Jan 2024 (3y) | ||
| Tomas Consuegra | Registered representative | Jan 2024 (3y) | ||
| Karis Curtis | Registered representative | Jan 2024 (3y) | ||
| Stephen Clare Cahoon | Registered representative | Jan 2024 (3y) | ||
| Ty Reek Deion Sizer | Registered representative | Jan 2024 (3y) | ||
| Connor W Heine | Registered representative | Jan 2024 (3y) | ||
| Dorothy C Pao | Registered representative | Jan 2024 (3y) | ||
| Daniel R Russo | Registered representative | Jan 2024 (3y) | ||
| Joseph James Guarneri | Registered representative | Jan 2024 (3y) | ||
| Julia Pirska | Registered representative | Jan 2024 (3y) | ||
| Ruth Elizabeth Saada | Registered representative | Jan 2024 (3y) | ||
| Stefani B Masry | Registered representative | Jan 2024 (3y) | ||
| Steven E Kabot | Registered representative | Jan 2024 (3y) | ||
| Azarell Diaz | Registered representative | Jan 2024 (3y) | ||
| Daniel Joseph Mcallister | Registered representative | Jan 2024 (3y) | ||
| Zachary Michael Herrera | Registered representative | Jan 2024 (3y) | ||
| Tyson Paul Thomas | Registered representative | Jan 2024 (3y) | ||
| Brian Michael Fay | Registered representative | Jan 2024 (3y) | ||
| Christopher Stevens | Registered representative | Jan 2024 (3y) | ||
| John L Hammond | Registered representative | Jan 2024 (3y) | ||
| Kristina Jucaban | Registered representative | Jan 2024 (3y) | ||
| William Sean Mc Bride | Registered representative | Jan 2024 (3y) | ||
| Ari Messenger | Registered representative | Jan 2024 (3y) | ||
| Cassandra Ellenor Walsh | Registered representative | Jan 2024 (3y) | ||
| Donna Mijatovic | Registered representative | Jan 2024 (3y) | ||
| Mark Anthony Callender | Registered representative | Jan 2024 (3y) | ||
| Yash Vatsal Ghiya | Registered representative | Jan 2024 (3y) | ||
| Haylie Michelle Kalinowski | Registered representative | Jan 2024 (3y) | ||
| Jacqueline King | Registered representative | Jan 2024 (3y) | ||
| Mark Battaglia | Registered representative | Jan 2024 (3y) | ||
| Meghan Rose Rose Schechtman | Registered representative | Jan 2024 (3y) | ||
| Tugba Yildiz | Registered representative | Jan 2024 (3y) | ||
| Katherine Ann Tracey | Registered representative | Jan 2024 (3y) | ||
| Alex Ortiz | Registered representative | CFP | Jan 2024 (3y) | |
| David J Gordon | Registered representative | Jan 2024 (3y) | ||
| Djibril Diallo | Registered representative | Jan 2024 (3y) | ||
| Rafael Andres Gomez | Registered representative | Jan 2024 (3y) | ||
| Rachel Ann Berg | Registered representative | Jan 2024 (3y) | ||
| Robert Ming Li Liu | Registered representative | Jan 2024 (3y) | ||
| Dean Joseph Cannon | Registered representative | Jan 2024 (3y) | ||
| Philip Chu | Registered representative | Jan 2024 (3y) | ||
| Ryan Dorff | Registered representative | Jan 2024 (3y) | ||
| Maria I Cintron | Registered representative | Jan 2024 (3y) | ||
| Emily Nicole Hoag | Registered representative | Feb 2024 (2y) | ||
| James Patrick Hart | Registered representative | Feb 2024 (2y) | ||
| Lynda Ann Von Jaeger | Registered representative | Feb 2024 (2y) | ||
| Natalie Hart Shepperly | Registered representative | Feb 2024 (2y) | ||
| Nolan G Hart | Registered representative | Feb 2024 (2y) | ||
| Yvette Tammi Wright | Registered representative | Feb 2024 (2y) | ||
| Andrew David Moore | Registered representative | Feb 2024 (2y) | ||
| Anna Christine Bannister | Registered representative | Feb 2024 (2y) | ||
| Alexander Rudolph Vandermeer | Registered representative | Feb 2024 (2y) | ||
| Ryan Edwin Coffey | Registered representative | Feb 2024 (2y) | ||
| Eric Michael Michael Dreyer | Registered representative | Feb 2024 (2y) | ||
| Toni E Melinder | Registered representative | Feb 2024 (2y) | ||
| Bonifacio Marcelles Chacon | Registered representative | Feb 2024 (2y) | ||
| Christopher M Butler | Registered representative | Feb 2024 (2y) | ||
| Deanna J Wilson | Registered representative | Feb 2024 (2y) | ||
| Dylan Michael Snyder | Registered representative | Feb 2024 (2y) | ||
| Lawrence Michael Deluise | Registered representative | Feb 2024 (2y) | ||
| Lori A Macaluso | Registered representative | Feb 2024 (2y) | ||
| Matthew Lewis Foley | Registered representative | Feb 2024 (2y) | ||
| Stephanie Katelyn Bright | Registered representative | Feb 2024 (2y) | ||
| Alex K Tussey | Registered representative | Feb 2024 (2y) | ||
| Bradley Thomas Kirkbride | Registered representative | Feb 2024 (2y) | ||
| Jason M Lipp | Registered representative | Feb 2024 (2y) | ||
| Kendal Glatthorn | Registered representative | Feb 2024 (2y) | ||
| Matthew J Tomczuk | Registered representative | Feb 2024 (2y) | ||
| Conor Murphy Hartman | Registered representative | Feb 2024 (2y) | ||
| Paige Freckleton | Registered representative | Feb 2024 (2y) | ||
| Pontus Cavefors Svensson | Registered representative | Feb 2024 (2y) | ||
| Susan Maxwell Filburn | Registered representative | Feb 2024 (2y) | ||
| Emily Rebecca Suazo | Registered representative | Feb 2024 (2y) | ||
| John Patrick O Hara | Registered representative | Feb 2024 (2y) | ||
| Michael Andrew Schoettmer | Registered representative | Feb 2024 (2y) | ||
| Rylan Stephens | Registered representative | Feb 2024 (2y) | ||
| Christopher Daniel Infante | Registered representative | Feb 2024 (2y) | ||
| Daniel Frank Rinaldi | Registered representative | Feb 2024 (2y) | ||
| Eduardo Astorga | Registered representative | Feb 2024 (2y) | ||
| Evan P Druckman | Registered representative | Feb 2024 (2y) | ||
| Geoffrey Charles Dennehy | Registered representative | Feb 2024 (2y) | ||
| Jeffrey Cruz Santos | Registered representative | Feb 2024 (2y) | ||
| Kevin Mcaleer | Registered representative | Feb 2024 (2y) | ||
| Leslie Sturtevant Kincheloe | Registered representative | Feb 2024 (2y) | ||
| Matthew John Gannon | Registered representative | Feb 2024 (2y) | ||
| Linda Anne Chamberlain | Registered representative | Feb 2024 (2y) | ||
| Stephen Christopher Colantino | Registered representative | Feb 2024 (2y) | ||
| Veronica Salazar | Registered representative | Feb 2024 (2y) | ||
| Brittney Alexandra Barnes | Registered representative | Feb 2024 (2y) | ||
| Thomas James Curry | Registered representative | Feb 2024 (2y) | ||
| Chase Alexander Johnson | Registered representative | Feb 2024 (2y) | ||
| Dana Rose Johnson | Registered representative | Feb 2024 (2y) | ||
| George Grayson Lucas | Registered representative | Feb 2024 (2y) | ||
| Amey Beth Ross | Registered representative | Mar 2024 (2y) | ||
| Lindsey Miller Roberts | Registered representative | Mar 2024 (2y) | ||
| Kwamina F Ngissah | Registered representative | Mar 2024 (2y) | ||
| Christopher Paul Landon | Registered representative | Mar 2024 (2y) | ||
| Eliz Shahverdyan | Registered representative | Mar 2024 (2y) | ||
| Elizabeth Joy Fowlks | Registered representative | Mar 2024 (2y) | ||
| Jack Frederick Gross | Registered representative | Mar 2024 (2y) | ||
| Matthew John Rohr | Registered representative | Mar 2024 (2y) | ||
| Matthew Larson | Registered representative | Mar 2024 (2y) | ||
| Stephanie Elizabeth Oesch | Registered representative | Mar 2024 (2y) | ||
| Leland Harris | Registered representative | Mar 2024 (2y) | ||
| Margaret Reaney Parker | Registered representative | Mar 2024 (2y) | ||
| Valerie Camila Mayer Lopez | Registered representative | Mar 2024 (2y) | ||
| Dejan Ignjatovic | Registered representative | Mar 2024 (2y) | ||
| Devin Katherine Callaghan | Registered representative | Mar 2024 (2y) | ||
| Jacob Daniel Zisk | Registered representative | Mar 2024 (2y) | ||
| Andrea Tatiana Arias Turriago | Registered representative | Mar 2024 (2y) | ||
| Ilan Matthew Bagel | Registered representative | Mar 2024 (2y) | ||
| James Chen | Registered representative | Mar 2024 (2y) | ||
| Matthew Wayne Hughey | Registered representative | Mar 2024 (2y) | ||
| Ethan Powell Tyack | Registered representative | Mar 2024 (2y) | ||
| Cameron Perna | Registered representative | Mar 2024 (2y) | ||
| Jose Andres Gratereaux | Registered representative | Mar 2024 (2y) | ||
| Patrick Thomas Staunton | Registered representative | Mar 2024 (2y) | ||
| Christine Bertha Gilmore | Registered representative | Mar 2024 (2y) | ||
| Misael Marcial Palomares | Registered representative | Mar 2024 (2y) | ||
| Spencer Alexander Carlin | Registered representative | Mar 2024 (2y) | ||
| Justin Kuntz | Registered representative | Mar 2024 (2y) | ||
| Monica Maribel Castellano | Registered representative | Mar 2024 (2y) | ||
| Alexandra Rina Fiorenzi | Registered representative | Mar 2024 (2y) | ||
| Carson Thomas Crane | Registered representative | Mar 2024 (2y) | ||
| Jay M Long | Registered representative | Mar 2024 (2y) | ||
| Dante James Puleo | Registered representative | Mar 2024 (2y) | ||
| Harry Zhang | Registered representative | Mar 2024 (2y) | ||
| Alisa Uri Ko | Registered representative | Mar 2024 (2y) | ||
| Eric Green | Registered representative | Mar 2024 (2y) | ||
| Kyle Andrew Shearer | Registered representative | Mar 2024 (2y) | ||
| Matthew E Segalla | Registered representative | Mar 2024 (2y) | ||
| Ryan David Ramirez | Registered representative | Mar 2024 (2y) | ||
| Andrea Levine Sanft | Registered representative | Mar 2024 (2y) | ||
| Brandi Raye Moulder Shearin | Registered representative | Mar 2024 (2y) | ||
| Julie Elaine Warren Holton | Registered representative | Mar 2024 (2y) | ||
| Matthew J Bucher | Registered representative | Mar 2024 (2y) | ||
| Matthew M Bucher | Registered representative | Mar 2024 (2y) | ||
| Roberto Cortinagonzalezpaz | Registered representative | Mar 2024 (2y) | ||
| Matthew Mc Nerney | Registered representative | Mar 2024 (2y) | ||
| Christopher Amiri Booker | Registered representative | Mar 2024 (2y) | ||
| Henry Fitzpatrick Freedman | Registered representative | Apr 2024 (2y) | ||
| Morgan Carol Larousse | Registered representative | Apr 2024 (2y) | ||
| Marco A Nido | Registered representative | Apr 2024 (2y) | ||
| Austin Byers King | Registered representative | Apr 2024 (2y) | ||
| Brenda Alicia Bennett | Registered representative | CFP | Apr 2024 (2y) | |
| Kyle Vincent Ross | Registered representative | Apr 2024 (2y) | ||
| Benjamin James Wheaton | Registered representative | Apr 2024 (2y) | ||
| Thomas Mains | Registered representative | Apr 2024 (2y) | ||
| Mark B Leander | Registered representative | Apr 2024 (2y) | ||
| Andrea Dagnelli | Registered representative | Apr 2024 (2y) | ||
| Alison Ann Mueller | Registered representative | Apr 2024 (2y) | ||
| Jamal Lorenzo Morris | Registered representative | Apr 2024 (2y) | ||
| Alyssa Mello Laperuta | Registered representative | Apr 2024 (2y) | ||
| Ingrid Shea Haywood | Registered representative | Apr 2024 (2y) | ||
| Richard Kinkade Jr. | Registered representative | Apr 2024 (2y) | ||
| Zachary Christian Heard | Registered representative | Apr 2024 (2y) | ||
| Jake Wilson | Registered representative | Apr 2024 (2y) | ||
| Priya Rametra | Registered representative | Apr 2024 (2y) | ||
| Courtney Kaplan Bizzis | Registered representative | Apr 2024 (2y) | ||
| Adam Mark Howard | Registered representative | Apr 2024 (2y) | ||
| Audrey E. Kaus | Registered representative | Apr 2024 (2y) | ||
| Craig Martone | Registered representative | Apr 2024 (2y) | ||
| Daniel Asorey | Registered representative | Apr 2024 (2y) | ||
| Daniel Gonzalez Lucar | Registered representative | Apr 2024 (2y) | ||
| Fernando Milton Massaro | Registered representative | Apr 2024 (2y) | ||
| Jose Alejandro Salvidea Rello | Registered representative | Apr 2024 (2y) | ||
| Michael A Presta | Registered representative | Apr 2024 (2y) | ||
| Nuria M Mesa | Registered representative | Apr 2024 (2y) | ||
| Richard Gonzalez | Registered representative | Apr 2024 (2y) | ||
| Harold Clarke Lewis | Registered representative | Apr 2024 (2y) | ||
| Ryan A Santosuosso | Registered representative | Apr 2024 (2y) | ||
| Kathryn Lynes Kinser | Registered representative | Apr 2024 (2y) | ||
| Marjorie Dorce Dieuseul | Registered representative | Apr 2024 (2y) | ||
| Christopher A Toregas | Registered representative | Apr 2024 (2y) | ||
| Stephanie A Ellor | Registered representative | Apr 2024 (2y) | ||
| Jennifer Joyce Lockett | Registered representative | Apr 2024 (2y) | ||
| Aiym Shamsuidinova | Registered representative | Apr 2024 (2y) | ||
| Camryn Maureen Mc Hugh | Registered representative | Apr 2024 (2y) | ||
| David Samuel Luvish | Registered representative | Apr 2024 (2y) | ||
| Daniel Schuette | Registered representative | Apr 2024 (2y) | ||
| Janelle Clark | Registered representative | Apr 2024 (2y) | ||
| Enoch Lee | Registered representative | Apr 2024 (2y) | ||
| Aleksey Olovyannikov | Registered representative | Apr 2024 (2y) | ||
| Daniel Cameron Dennehy | Registered representative | Apr 2024 (2y) | ||
| Erin Messier | Registered representative | Apr 2024 (2y) | ||
| Jin Ho Son | Registered representative | Apr 2024 (2y) | ||
| Rodrigo Alcazas Jabali | Registered representative | Apr 2024 (2y) | ||
| Scott Larson | Registered representative | Apr 2024 (2y) | ||
| Tony Chou | Registered representative | Apr 2024 (2y) | ||
| Donald Richard Hehir | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Douglas Richard Snow | Registered representative | May 2024 (2y) | ||
| Jeffery Bidstrup | Registered representative | May 2024 (2y) | ||
| Raissa D D Danna | Registered representative | May 2024 (2y) | ||
| Ronald Ray Schneider | Registered representative | May 2024 (2y) | ||
| Ulrike Hoffmann Burchardi | Registered representative | May 2024 (2y) | ||
| Wesley Glen Terwilleger | Registered representative | May 2024 (2y) | ||
| Elvia C Delgadillo | Registered representative | May 2024 (2y) | ||
| Kristen Margaret Geary | Registered representative | May 2024 (2y) | ||
| Olivier Nazon | Registered representative | May 2024 (2y) | ||
| Henry Hamilton | Registered representative | May 2024 (2y) | ||
| Juan Manuel Iglesias | Registered representative | May 2024 (2y) | ||
| Michael Gary Bier | Registered representative | May 2024 (2y) | ||
| Noah Christopher West | Registered representative | May 2024 (2y) | ||
| Alexandra Kay Kay Iacono | Registered representative | May 2024 (2y) | ||
| Griffin Riley | Registered representative | May 2024 (2y) | ||
| Ryan Patrick Mchorney | Registered representative | May 2024 (2y) | ||
| Brandon Scott Crider | Registered representative | May 2024 (2y) | ||
| Chelsea Lynn Rubio | Registered representative | May 2024 (2y) | ||
| Maximilian Victor De Vito | Registered representative | May 2024 (2y) | ||
| Sergio Lucio Forlini | Registered representative | May 2024 (2y) | ||
| Chao Wei Liu | Registered representative | May 2024 (2y) | ||
| Evan Basil Makris | Registered representative | May 2024 (2y) | ||
| Makenna Austin | Registered representative | May 2024 (2y) | ||
| Mary Ellen Ellen Shanklin | Registered representative | May 2024 (2y) | ||
| Neil Declan O'connor | Registered representative | May 2024 (2y) | ||
| Steven Ponce De Leon | Registered representative | May 2024 (2y) | ||
| Vincent Anthony Zingarelli | Registered representative | CFP | May 2024 (2y) | |
| Wilhelm George Majewski | Registered representative | May 2024 (2y) | ||
| Amanda Capuano | Registered representative | May 2024 (2y) | ||
| Melanie Sheree Woods | Registered representative | May 2024 (2y) | ||
| Tristan Michael Tritt | Registered representative | May 2024 (2y) | ||
| Alyssa Leemputte | Registered representative | May 2024 (2y) | ||
| Baltazar Sayan | Registered representative | May 2024 (2y) | ||
| Luz Carime Vargas | Registered representative | May 2024 (2y) | ||
| Jared Donald Cruciani | Registered representative | May 2024 (2y) | ||
| Carol Frances Guidry | Registered representative | May 2024 (2y) | ||
| Mickie Lor | Registered representative | May 2024 (2y) | ||
| Emily Elizabeth Frank | Registered representative | May 2024 (2y) | ||
| Christian Alexander Foxen | Registered representative | May 2024 (2y) | ||
| Cooper James Hancock | Registered representative | May 2024 (2y) | ||
| Eugene Tyler Pope | Registered representative | May 2024 (2y) | ||
| Juliana Lombardo | Registered representative | May 2024 (2y) | ||
| Marianela Del Valle | Registered representative | May 2024 (2y) | ||
| Andrew Mark Kaminsky | Registered representative | May 2024 (2y) | ||
| Kyle Thomas Howgate | Registered representative | May 2024 (2y) | ||
| Max Waller Montgomery | Registered representative | May 2024 (2y) | ||
| Ashley A Peter | Registered representative | May 2024 (2y) | ||
| Anita Kazanjian | Registered representative | May 2024 (2y) | ||
| Jean Guilhem Dessirier | Registered representative | May 2024 (2y) | ||
| Nora H Dube | Registered representative | May 2024 (2y) | ||
| Tu Nguyen | Registered representative | May 2024 (2y) | ||
| William Robert Aigner | Registered representative | May 2024 (2y) | ||
| Caden Marques Smaker | Registered representative | May 2024 (2y) | ||
| Matthew Hoffman | Registered representative | May 2024 (2y) | ||
| Karen V Ng | Registered representative | May 2024 (2y) | ||
| Christina D Brown | Registered representative | May 2024 (2y) | ||
| Anne Martin | Registered representative | Jun 2024 (2y) | ||
| Erik Matthew Carleton | Registered representative | CFA | Jun 2024 (2y) | |
| John Michael Gaffney | Registered representative | Jun 2024 (2y) | ||
| Kristin Sullivan Chaset | Registered representative | CFP | Jun 2024 (2y) | |
| Catherine Mary Polisano | Registered representative | Jun 2024 (2y) | ||
| Daniel D Cohen | Registered representative | Jun 2024 (2y) | ||
| Edward Morgan Mc Lanahan | Registered representative | Jun 2024 (2y) | ||
| James Ian Jack | Registered representative | Jun 2024 (2y) | ||
| Kurt Edward Reiman | Registered representative | Jun 2024 (2y) | ||
| Monique Karpen Titlemore | Registered representative | Jun 2024 (2y) | ||
| Mc Kenna Anina Anina Weitekamp | Registered representative | Jun 2024 (2y) | ||
| Clayton Howard Wasson | Registered representative | Jun 2024 (2y) | ||
| Dea De Paris Caldas | Registered representative | Jun 2024 (2y) | ||
| Jacqueline Anne Erhart | Registered representative | Jun 2024 (2y) | ||
| Samuel John Laidig | Registered representative | Jun 2024 (2y) | ||
| Spencer Strunk | Registered representative | Jun 2024 (2y) | ||
| Connie Louie Hopkins | Registered representative | Jun 2024 (2y) | ||
| Donald Lawrence Boyd | Registered representative | Jun 2024 (2y) | ||
| Kyle David Krajewski | Registered representative | Jun 2024 (2y) | ||
| Rory Daniel Lindquist | Registered representative | CFP | Jun 2024 (2y) | |
| Sharon Lynne Hart | Registered representative | Jun 2024 (2y) | ||
| Caroline Lewis Jackson | Registered representative | CFP | Jun 2024 (2y) | |
| Michelle D Rogers | Registered representative | Jun 2024 (2y) | ||
| Parker Arron Weber | Registered representative | Jun 2024 (2y) | ||
| Ryan Christopher Dempsey | Registered representative | Jun 2024 (2y) | ||
| Veronica Raygoza | Registered representative | Jun 2024 (2y) | ||
| Cy Octavian Aleman | Registered representative | CFP | Jun 2024 (2y) | |
| Danielle Janet Blaser | Registered representative | Jun 2024 (2y) | ||
| Amy Joanne Wright | Registered representative | Jun 2024 (2y) | ||
| Carmen Y Gibson | Registered representative | Jun 2024 (2y) | ||
| Paula C Roberts | Registered representative | Jun 2024 (2y) | ||
| Sara Richardson | Registered representative | Jun 2024 (2y) | ||
| Tiffany Marie Budke | Registered representative | Jun 2024 (2y) | ||
| Wendy Kay Pace | Registered representative | Jun 2024 (2y) | ||
| Blake Matthew Mc Allister | Registered representative | Jun 2024 (2y) | ||
| Luke Robinson Bitler | Registered representative | Jun 2024 (2y) | ||
| Michelle Renee Healey | Registered representative | Jun 2024 (2y) | ||
| Zachary Wells Castro | Registered representative | Jun 2024 (2y) | ||
| Allison Williams | Registered representative | Jun 2024 (2y) | ||
| Michael William Rausch | Registered representative | Jun 2024 (2y) | ||
| Travis Lawrence Owens | Registered representative | Jun 2024 (2y) | ||
| Connor Paik | Registered representative | Jun 2024 (2y) | ||
| Gary Wayne Owens | Registered representative | Jun 2024 (2y) | ||
| Robert James Hobson | Registered representative | Jun 2024 (2y) | ||
| Keith Edward Hagerty | Registered representative | Jun 2024 (2y) | ||
| Michael Mariano Dasilva | Registered representative | Jun 2024 (2y) | ||
| Matthew Philichi | Registered representative | Jun 2024 (2y) | ||
| Michael Charles Sforza | Registered representative | Jun 2024 (2y) | ||
| Marella Donna Karen Doltaire | Registered representative | Jun 2024 (2y) | ||
| Nicole Antoinette Bartolomeo | Registered representative | Jun 2024 (2y) | ||
| Ryan Joseph Finley | Registered representative | Jun 2024 (2y) | ||
| Alexander Gitomer | Registered representative | CFA | Jun 2024 (2y) | |
| Cynthia Stahr | Registered representative | Jun 2024 (2y) | ||
| Juliana Barba | Registered representative | Jun 2024 (2y) | ||
| William Russell Wright | Registered representative | Jun 2024 (2y) | ||
| Andrew Daniel Davoli | Registered representative | Jun 2024 (2y) | ||
| Emily J Ostie | Registered representative | Jun 2024 (2y) | ||
| Robert P Pizzella | Registered representative | Jun 2024 (2y) | ||
| Cheryl Lynn Fairbanks | Registered representative | Jun 2024 (2y) | ||
| Anna Christine Harrington | Registered representative | Jul 2024 (2y) | ||
| Caroline Hilary Stock | Registered representative | Jul 2024 (2y) | ||
| David Garcia | Registered representative | Jul 2024 (2y) | ||
| Julie A Irato | Registered representative | Jul 2024 (2y) | ||
| John Ryan Campbell | Registered representative | Jul 2024 (2y) | ||
| Janay M Wardlow | Registered representative | Jul 2024 (2y) | ||
| Jason Tabares | Registered representative | Jul 2024 (2y) | ||
| Matthew Edward Gibson | Registered representative | Jul 2024 (2y) | ||
| Stephanie Ascoli | Registered representative | Jul 2024 (2y) | ||
| Joshua William Cummins | Registered representative | CFA | Jul 2024 (2y) | |
| Ashley Vianey Chavarria | Registered representative | Jul 2024 (2y) | ||
| Jonah Stooksbury | Registered representative | Jul 2024 (2y) | ||
| Kenneth Andrew Yager | Registered representative | Jul 2024 (2y) | ||
| Megan Hope Lermer | Registered representative | Jul 2024 (2y) | ||
| Will Richard Sherry | Registered representative | Jul 2024 (2y) | ||
| Christina Rose Tumbleson | Registered representative | Jul 2024 (2y) | ||
| Chaitanya Kane | Registered representative | Jul 2024 (2y) | ||
| Daniel J Sharoni | Registered representative | Jul 2024 (2y) | ||
| David Michael Grindel | Registered representative | CFP | Jul 2024 (2y) | |
| Jeffrey Duane Reynolds | Registered representative | Jul 2024 (2y) | ||
| Jeremy Russell Hall | Registered representative | Jul 2024 (2y) | ||
| Justin Qvistgaard | Registered representative | Jul 2024 (2y) | ||
| Malon D Jennings | Registered representative | Jul 2024 (2y) | ||
| Nicole Stephanie Iervolino | Registered representative | Jul 2024 (2y) | ||
| Rupal N Patel | Registered representative | Jul 2024 (2y) | ||
| Xiao Wen Luo | Registered representative | Jul 2024 (2y) | ||
| Cindy Lou Rogers | Registered representative | Jul 2024 (2y) | ||
| Diane Free | Registered representative | Jul 2024 (2y) | ||
| Jennifer Lynn Detandt | Registered representative | Jul 2024 (2y) | ||
| Krystal Lopez | Registered representative | Jul 2024 (2y) | ||
| Niko Iacono | Registered representative | Jul 2024 (2y) | ||
| Benjamin Fonseca | Registered representative | Jul 2024 (2y) | ||
| Fernando Kiguel | Registered representative | Jul 2024 (2y) | ||
| Kathryn Kolbe Savage | Registered representative | Jul 2024 (2y) | ||
| Dylan Dertouzos | Registered representative | Jul 2024 (2y) | ||
| Emily Gordon De La Reguera | Registered representative | Jul 2024 (2y) | ||
| Edward A Gabrielyan | Registered representative | Jul 2024 (2y) | ||
| Thomas Mullin Meade | Registered representative | Jul 2024 (2y) | ||
| Conner W Kemmerer | Registered representative | Jul 2024 (2y) | ||
| James H Herring | Registered representative | Jul 2024 (2y) | ||
| Sunny Kishor Patel | Registered representative | Jul 2024 (2y) | ||
| Andrew Tyler Vendal | Registered representative | Jul 2024 (2y) | ||
| Fabio Molina | Registered representative | Jul 2024 (2y) | ||
| Jose M Baca Castex | Registered representative | Jul 2024 (2y) | ||
| Juan Ramon Santamarina | Registered representative | Jul 2024 (2y) | ||
| Pio Asdrubal Garcia Guevara | Registered representative | Jul 2024 (2y) | ||
| Patricio Salvidea Rodriguez | Registered representative | Jul 2024 (2y) | ||
| Daniel Wilcox Chorney | Registered representative | Jul 2024 (2y) | ||
| Stefanie Schechter | Registered representative | Jul 2024 (2y) | ||
| Avery Lauren Venetta | Registered representative | Jul 2024 (2y) | ||
| John Anthony Calderon | Registered representative | Jul 2024 (2y) | ||
| Tara Carabello | Registered representative | Jul 2024 (2y) | ||
| Andrew Eric Victor | Registered representative | Jul 2024 (2y) | ||
| Dalia El Bettadini | Registered representative | Jul 2024 (2y) | ||
| Brynna O' Dea Hanlon | Registered representative | Jul 2024 (2y) | ||
| Maria King | Registered representative | Jul 2024 (2y) | ||
| Rebecca Ann Adelaide Russell | Registered representative | Jul 2024 (2y) | ||
| Chance Griffin Edgerly | Registered representative | Jul 2024 (2y) | ||
| Luke Isaac Scroggins | Registered representative | Jul 2024 (2y) | ||
| Andrea Rhea Looney | Registered representative | Jul 2024 (2y) | ||
| Brian Michael O Connor | Registered representative | Jul 2024 (2y) | ||
| Catherine Min Soo Park | Registered representative | Jul 2024 (2y) | ||
| Noah Leslie Terrill | Registered representative | Jul 2024 (2y) | ||
| Brian Stephen Davis | Registered representative | Jul 2024 (2y) | ||
| Grace Ellen Moynihan | Registered representative | Jul 2024 (2y) | ||
| Alec J Hrynyshyn | Registered representative | Aug 2024 (2y) | ||
| Jon Preston Gandy | Registered representative | Aug 2024 (2y) | ||
| Thomas Hunley | Registered representative | Aug 2024 (2y) | ||
| Aaron Goldhoff | Registered representative | Aug 2024 (2y) | ||
| Christopher Lyle Halstedt | Registered representative | Aug 2024 (2y) | ||
| Domenic Leo Imparato | Registered representative | Aug 2024 (2y) | ||
| Evan Joseph Boff | Registered representative | Aug 2024 (2y) | ||
| Isaac Michael Hanson | Registered representative | Aug 2024 (2y) | ||
| Joseph Thomas Murt | Registered representative | Aug 2024 (2y) | ||
| Jennifer Morris Cumming | Registered representative | Aug 2024 (2y) | ||
| Kendal Young | Registered representative | Aug 2024 (2y) | ||
| Vincent Michael Doren | Registered representative | Aug 2024 (2y) | ||
| Chase Damon Puente | Registered representative | Aug 2024 (2y) | ||
| Christian A Saporta | Registered representative | Aug 2024 (2y) | ||
| Jenna Katherine Vokes | Registered representative | Aug 2024 (2y) | ||
| Ryan Jack Halperin | Registered representative | Aug 2024 (2y) | ||
| Yvette Beatriz Medina | Registered representative | Aug 2024 (2y) | ||
| Kyle Zachmann | Registered representative | Aug 2024 (2y) | ||
| Emily Catherine Ettie | Registered representative | Aug 2024 (2y) | ||
| Jessica Lauren Lauren Vega | Registered representative | Aug 2024 (2y) | ||
| Madelyn Jane Sheridan | Registered representative | Aug 2024 (2y) | ||
| Ryan Edward Reusch | Registered representative | Aug 2024 (2y) | ||
| Dylan Suttner | Registered representative | Aug 2024 (2y) | ||
| Kayla Kastner | Registered representative | Aug 2024 (2y) | ||
| Kimberly Anaelisa Lewis | Registered representative | Aug 2024 (2y) | ||
| Monica Elizabeth Spady | Registered representative | Aug 2024 (2y) | ||
| Alexis Dorothy Dorothy Allen | Registered representative | Aug 2024 (2y) | ||
| Emily Godfrey | Registered representative | Aug 2024 (2y) | ||
| Emily Paige Nevergall | Registered representative | Aug 2024 (2y) | ||
| James Morris | Registered representative | CFA | Aug 2024 (2y) | |
| Landon Eric Bauer | Registered representative | Aug 2024 (2y) | ||
| Brock Balis | Registered representative | Aug 2024 (2y) | ||
| Jason Scot Berryman | Registered representative | Aug 2024 (2y) | ||
| Linda Lee Abbott | Registered representative | Aug 2024 (2y) | ||
| Matthew John Cosco | Registered representative | Aug 2024 (2y) | ||
| Michael B Freeman | Registered representative | Aug 2024 (2y) | ||
| Claire Elizabeth Olson | Registered representative | Aug 2024 (2y) | ||
| James Robert Dell | Registered representative | Aug 2024 (2y) | ||
| William Edward Lawes | Registered representative | Aug 2024 (2y) | ||
| Raiatea Michelle Convery | Registered representative | Aug 2024 (2y) | ||
| Elizabeth Jane Quinn | Registered representative | Aug 2024 (2y) | ||
| Candace Leanne Walker | Registered representative | Aug 2024 (2y) | ||
| Elizabeth Rose Furfari | Registered representative | Aug 2024 (2y) | ||
| Jefferson Hayden Cronan | Registered representative | Aug 2024 (2y) | ||
| Ryan Nicholas Clark | Registered representative | Aug 2024 (2y) | ||
| Edward Raymond Littmann | Registered representative | Aug 2024 (2y) | ||
| Alshamiere Fields | Registered representative | Aug 2024 (2y) | ||
| James Patrick Mc Namara | Registered representative | Aug 2024 (2y) | ||
| Joseph Frederick Albrecht | Registered representative | Aug 2024 (2y) | ||
| Regina Bronson | Registered representative | Aug 2024 (2y) | ||
| Brendan Goffinet | Registered representative | Aug 2024 (2y) | ||
| Joan Marie Hafemeister | Registered representative | Aug 2024 (2y) | ||
| Natasha Antonakos | Registered representative | Aug 2024 (2y) | ||
| Ora J De Morrow | Registered representative | Aug 2024 (2y) | ||
| Cristina Alvarado Rodriguez | Registered representative | Aug 2024 (2y) | ||
| David M Heffez | Registered representative | Aug 2024 (2y) | ||
| Gabriel J. Lasry | Registered representative | Aug 2024 (2y) | ||
| Jessica Santiago | Registered representative | Aug 2024 (2y) | ||
| Marcos Douer | Registered representative | Aug 2024 (2y) | ||
| Ryan A Lurie | Registered representative | Aug 2024 (2y) | ||
| Seema V Khanna | Registered representative | Aug 2024 (2y) | ||
| Sophia K Newman | Registered representative | Aug 2024 (2y) | ||
| Justin Eric Mendelson | Registered representative | Sep 2024 (2y) | ||
| Olga Kolin | Registered representative | Sep 2024 (2y) | ||
| Olivia Sanchez Sanchez Mc Kay | Registered representative | Sep 2024 (2y) | ||
| Colin Thomas Hart | Registered representative | Sep 2024 (2y) | ||
| Hannah Kay Oliver | Registered representative | Sep 2024 (2y) | ||
| Megan Strauss | Registered representative | Sep 2024 (2y) | ||
| Matthew Salomonsen | Registered representative | Sep 2024 (2y) | ||
| John Pacetti | Registered representative | Sep 2024 (2y) | ||
| Marisa Escobar Caramat | Registered representative | Sep 2024 (2y) | ||
| Mc Kenzie M Cooke | Registered representative | Sep 2024 (2y) | ||
| Casey Louis Hamilton | Registered representative | Sep 2024 (2y) | ||
| David Kenneth Moyer | Registered representative | Sep 2024 (2y) | ||
| Lucas Caufield Dieterle | Registered representative | Sep 2024 (2y) | ||
| Thomas Bawden | Registered representative | Sep 2024 (2y) | ||
| Kendall Mc Garry Harden | Registered representative | Sep 2024 (2y) | ||
| Omar Castro | Registered representative | Sep 2024 (2y) | ||
| Anthony Philip Giannattasio | Registered representative | Sep 2024 (2y) | ||
| Blair Marie Larson Edman | Registered representative | Sep 2024 (2y) | ||
| Britney Ann Ellman | Registered representative | Sep 2024 (2y) | ||
| George Iii Shannon Iii Iii | Registered representative | Sep 2024 (2y) | ||
| Jake Patrick Orr | Registered representative | Sep 2024 (2y) | ||
| Maria Jose Brea | Registered representative | Sep 2024 (2y) | ||
| Marian Ying Chen | Registered representative | Sep 2024 (2y) | ||
| Nikos Dalton | Registered representative | Sep 2024 (2y) | ||
| Sofia Elisabeth Balbis | Registered representative | Sep 2024 (2y) | ||
| Andrew John Murphy | Registered representative | Sep 2024 (2y) | ||
| Casey E Coffman | Registered representative | Sep 2024 (2y) | ||
| Eugene F Suk | Registered representative | Sep 2024 (2y) | ||
| Gary Steven Snitow | Registered representative | Sep 2024 (2y) | ||
| Matthew L Mintz | Registered representative | Sep 2024 (2y) | ||
| Patrick Ryan Downs | Registered representative | Sep 2024 (2y) | ||
| Terence Joseph Hardy | Registered representative | CFP | Sep 2024 (2y) | |
| Christy Lee Gleason | Registered representative | Sep 2024 (2y) | ||
| Christopher Lane Kale | Registered representative | Sep 2024 (2y) | ||
| David Raul Cardenas | Registered representative | Sep 2024 (2y) | ||
| Jacob Lipschutz Kluger | Registered representative | Sep 2024 (2y) | ||
| Kelly Mae Barrows | Registered representative | Sep 2024 (2y) | ||
| Shelice Stewart | Registered representative | Sep 2024 (2y) | ||
| Brian Anthony Crow | Registered representative | Sep 2024 (2y) | ||
| Ella Jameson Weider | Registered representative | Sep 2024 (2y) | ||
| Jenni Lee Riley | Registered representative | Sep 2024 (2y) | ||
| Joseph Michel | Registered representative | Sep 2024 (2y) | ||
| Sarah Desmond | Registered representative | Sep 2024 (2y) | ||
| Carolyn Torres | Registered representative | Sep 2024 (2y) | ||
| Reweti Paraone Wiki | Registered representative | Sep 2024 (2y) | ||
| Richard Warren Stockton | Registered representative | Sep 2024 (2y) | ||
| Benjamin Howard Fikejs | Registered representative | Sep 2024 (2y) | ||
| Patrick Ronan Campion | Registered representative | Sep 2024 (2y) | ||
| Lauren Dailey Mallory | Registered representative | Sep 2024 (2y) | ||
| Tyler Wesley Roach | Registered representative | Sep 2024 (2y) | ||
| Alexandre Selim Zilkha | Registered representative | Sep 2024 (2y) | ||
| Allison Lea Tilden | Registered representative | Sep 2024 (2y) | ||
| Brian Thomas Murphy | Registered representative | Sep 2024 (2y) | ||
| David Michael Stanco | Registered representative | Sep 2024 (2y) | ||
| Glen Gaylord Gavin | Registered representative | Sep 2024 (2y) | ||
| Megan Mcbane Mahoney | Registered representative | Sep 2024 (2y) | ||
| Warren Douglas Mcpeters | Registered representative | Sep 2024 (2y) | ||
| William Newell | Registered representative | Sep 2024 (2y) | ||
| Clea Elisabeth Loci | Registered representative | Sep 2024 (2y) | ||
| David R Lenahan | Registered representative | Sep 2024 (2y) | ||
| George Peter Karalekas | Registered representative | Sep 2024 (2y) | ||
| Iris Johanna Bonet | Registered representative | Sep 2024 (2y) | ||
| Ichiro Kubozono | Registered representative | Sep 2024 (2y) | ||
| Jacqueline Nicole Wilchek | Registered representative | Sep 2024 (2y) | ||
| John Olgierd Jertson | Registered representative | Sep 2024 (2y) | ||
| Sean Christopher Vogel | Registered representative | Sep 2024 (2y) | ||
| Adrien Eggerickx | Registered representative | Sep 2024 (2y) | ||
| Karen Ann Venneri | Registered representative | Sep 2024 (2y) | ||
| Kevin Jaejoon Lee | Registered representative | Sep 2024 (2y) | ||
| Robert Sean Trocchia | Registered representative | Sep 2024 (2y) | ||
| Samuel Bundy | Registered representative | Sep 2024 (2y) | ||
| Anastasiya V. Minhas | Registered representative | Sep 2024 (2y) | ||
| James M Kosan | Registered representative | Sep 2024 (2y) | ||
| Alexandra Lauren Bierer | Registered representative | Sep 2024 (2y) | ||
| Jeanine Marie Krall | Registered representative | Sep 2024 (2y) | ||
| Kristine Diane Novello | Registered representative | Sep 2024 (2y) | ||
| Natasha Lark | Registered representative | Sep 2024 (2y) | ||
| Samantha R Rusoff | Registered representative | Sep 2024 (2y) | ||
| Teresa Rose Di Lorenzo Waldron | Registered representative | Sep 2024 (2y) | ||
| Catherine Sarah Reszel | Registered representative | Oct 2024 (2y) | ||
| Tyler Dean | Registered representative | Oct 2024 (2y) | ||
| Samantha Clayton Williams | Registered representative | Oct 2024 (2y) | ||
| Jennifer Culp | Registered representative | Oct 2024 (2y) | ||
| Michael Rubenstein | Registered representative | Oct 2024 (2y) | ||
| Milton Albert Morse | Registered representative | Oct 2024 (2y) | ||
| Yakim Corral Flores | Registered representative | Oct 2024 (2y) | ||
| Antonio Rocha Jr. | Registered representative | Oct 2024 (2y) | ||
| Jared C Breault | Registered representative | Oct 2024 (2y) | ||
| Ashley Amirsakis | Registered representative | Oct 2024 (2y) | ||
| Frederick J Kline | Registered representative | Oct 2024 (2y) | ||
| Katelyn Jeri O'hara | Registered representative | Oct 2024 (2y) | ||
| Christopher Collin Lambert | Registered representative | Oct 2024 (2y) | ||
| Genevieve Monier | Registered representative | Oct 2024 (2y) | ||
| Kristi Mikula | Registered representative | Oct 2024 (2y) | ||
| John Frederick Keller | Registered representative | Oct 2024 (2y) | ||
| Kathryn Marie Boland | Registered representative | Oct 2024 (2y) | ||
| Alexander Earl Kaye | Registered representative | Oct 2024 (2y) | ||
| Chunde Wang | Registered representative | Oct 2024 (2y) | ||
| Mohammed Mofizul Islam | Registered representative | Oct 2024 (2y) | ||
| Marc Smith | Registered representative | Oct 2024 (2y) | ||
| James Brady | Registered representative | Oct 2024 (2y) | ||
| Sean Nash | Registered representative | Oct 2024 (2y) | ||
| Juan Luis Luis Rivera | Registered representative | Oct 2024 (2y) | ||
| Rebecca L Calabro | Registered representative | Oct 2024 (2y) | ||
| Heidi Christina Crocker | Registered representative | Oct 2024 (2y) | ||
| John H Hardin | Registered representative | Oct 2024 (2y) | ||
| John Huang | Registered representative | Oct 2024 (2y) | ||
| Stephanie Della Manna Gaal | Registered representative | Oct 2024 (2y) | ||
| Leo Dannenbaum | Registered representative | Oct 2024 (2y) | ||
| Melissa M Wigginton | Registered representative | Oct 2024 (2y) | ||
| Keith Kerber | Registered representative | Oct 2024 (2y) | ||
| Andrea Marie Dragoni | Registered representative | Oct 2024 (2y) | ||
| Grace Anne Caroline Dangerfield | Registered representative | Oct 2024 (2y) | ||
| Katherine Elizabeth Crevani | Registered representative | Oct 2024 (2y) | ||
| Beverly Sue Steinbook | Registered representative | Oct 2024 (2y) | ||
| Jeannemarie M Peters | Registered representative | Oct 2024 (2y) | ||
| Mario J Bollo | Registered representative | Oct 2024 (2y) | ||
| Nicholas Kevin Nowakowski | Registered representative | Oct 2024 (2y) | ||
| Richard J Morrow | Registered representative | Oct 2024 (2y) | ||
| Alexia Maria Cusano | Registered representative | Oct 2024 (2y) | ||
| Dominik Aeschbacher | Registered representative | Oct 2024 (2y) | ||
| Leandro Geraldo Do Nascimento Antonaccio | Registered representative | Oct 2024 (2y) | ||
| Nicholas George Needs | Registered representative | Oct 2024 (2y) | ||
| Ryan D Dundon | Registered representative | Oct 2024 (2y) | ||
| William James Duncan | Registered representative | Oct 2024 (2y) | ||
| Bryan Collins | Registered representative | Oct 2024 (2y) | ||
| Thomas James Mc Cormack | Registered representative | Oct 2024 (2y) | ||
| Mallory Maxine Vacek | Registered representative | Oct 2024 (2y) | ||
| Drew Jeffrey Beukelman | Registered representative | Oct 2024 (2y) | ||
| Kaitlyn Michelle Jones | Registered representative | Oct 2024 (2y) | ||
| Nicholas Odell Manthei | Registered representative | Oct 2024 (2y) | ||
| Amanda Marie Priaulx | Registered representative | Oct 2024 (2y) | ||
| Stephen Joseph Mc Laughlin | Registered representative | Oct 2024 (2y) | ||
| Nadira Tuergan | Registered representative | Oct 2024 (2y) | ||
| Denise M Meulebrouck | Registered representative | Oct 2024 (2y) | ||
| Michael Albert Von Borsig | Registered representative | CFA | Oct 2024 (2y) | |
| Teal Madison Schoonover | Registered representative | Oct 2024 (2y) | ||
| Dorian Michael Grady | Registered representative | Nov 2024 (2y) | ||
| Eugene Plahotnii | Registered representative | Nov 2024 (2y) | ||
| Lydia Marie Marquez | Registered representative | Nov 2024 (2y) | ||
| Megan Kaplan | Registered representative | Nov 2024 (2y) | ||
| Timothy Scott Nowak | Registered representative | Nov 2024 (2y) | ||
| Evan Truxton | Registered representative | Nov 2024 (2y) | ||
| Joseph Patrick Weaver | Registered representative | Nov 2024 (2y) | ||
| Kayla Anne Dittrich | Registered representative | Nov 2024 (2y) | ||
| Tami Lynn Cale | Registered representative | Nov 2024 (2y) | ||
| Katherine Elizabeth Whitlock | Registered representative | Nov 2024 (2y) | ||
| Xuefei Xia | Registered representative | Nov 2024 (2y) | ||
| Timothy L White | Registered representative | Nov 2024 (2y) | ||
| Zi Wang | Registered representative | Nov 2024 (2y) | ||
| Debra M Rosenbach | Registered representative | Nov 2024 (2y) | ||
| Jose Antonio Garcia | Registered representative | Nov 2024 (2y) | ||
| Jason Lewis Lewis Zachter | Registered representative | Nov 2024 (2y) | ||
| Joseph Grogan Hayden | Registered representative | Nov 2024 (2y) | ||
| Mike Martin Bell | Registered representative | Nov 2024 (2y) | ||
| Nicolas Anthony Santangelo | Registered representative | Nov 2024 (2y) | ||
| Sarah De Kay | Registered representative | Nov 2024 (2y) | ||
| Maxwell Marsico | Registered representative | Nov 2024 (2y) | ||
| Anay Hernandez | Registered representative | Nov 2024 (2y) | ||
| Luke Nicholas Bartolf | Registered representative | Nov 2024 (2y) | ||
| Michael Patrick Zazuri | Registered representative | Nov 2024 (2y) | ||
| Owen Colligon Fessick | Registered representative | Nov 2024 (2y) | ||
| Peter John Lappin | Registered representative | Nov 2024 (2y) | ||
| Jonathan A Glyman | Registered representative | Nov 2024 (2y) | ||
| Daniel Zinn | Registered representative | Nov 2024 (2y) | ||
| Ryan Turner | Registered representative | Nov 2024 (2y) | ||
| Braden August Young | Registered representative | Nov 2024 (2y) | ||
| Annette Lyubchenko | Registered representative | Nov 2024 (2y) | ||
| Mia Saigal | Registered representative | Nov 2024 (2y) | ||
| Catherine Francine Vivado | Registered representative | Nov 2024 (2y) | ||
| Danielle Caralis | Registered representative | Nov 2024 (2y) | ||
| Kathleen Marie Shane | Registered representative | Nov 2024 (2y) | ||
| Jessica Hoffman | Registered representative | Nov 2024 (2y) | ||
| Nicole Lynn Blaschke | Registered representative | Nov 2024 (2y) | ||
| Brian Scott Roth | Registered representative | Nov 2024 (2y) | ||
| Cary Biren | Registered representative | Nov 2024 (2y) | ||
| Evan Jacob Angle | Registered representative | Nov 2024 (2y) | ||
| Johnathon Douglas Lemons | Registered representative | Nov 2024 (2y) | ||
| Sarah Elizabeth Montague | Registered representative | Nov 2024 (2y) | ||
| Shay Donovan | Registered representative | Nov 2024 (2y) | ||
| William David Campana | Registered representative | Nov 2024 (2y) | ||
| Ary Carol Carol Velasco Jr | Registered representative | Nov 2024 (2y) | ||
| Drew A Dombrowski | Registered representative | Nov 2024 (2y) | ||
| George Pettway | Registered representative | Nov 2024 (2y) | ||
| Isabelle Lily Chevre | Registered representative | Nov 2024 (2y) | ||
| Veronica Mishriki | Registered representative | Nov 2024 (2y) | ||
| Aidan Severian Tank | Registered representative | Nov 2024 (2y) | ||
| Mariana De Campos Salles Gregori | Registered representative | Dec 2024 (2y) | ||
| Mason Douglas Boudreaux | Registered representative | Dec 2024 (2y) | ||
| Olivia Avery Boccia | Registered representative | Dec 2024 (2y) | ||
| Peter Alois Auer | Registered representative | Dec 2024 (2y) | ||
| Derin Jean Russo | Registered representative | Dec 2024 (2y) | ||
| Dylan Davey White | Registered representative | Dec 2024 (2y) | ||
| Henry Ainsworth Myers | Registered representative | Dec 2024 (2y) | ||
| Anibal Drelichman | Registered representative | Dec 2024 (2y) | ||
| Lindsay Tayler Arvin | Registered representative | Dec 2024 (2y) | ||
| Michael Beaulieu | Registered representative | CFP | Dec 2024 (2y) | |
| Brendan Michael Carlyle | Registered representative | Dec 2024 (2y) | ||
| Cassidy Gordon | Registered representative | Dec 2024 (2y) | ||
| Charlie Sam Rubin | Registered representative | Dec 2024 (2y) | ||
| Pallavi Jain | Registered representative | Dec 2024 (2y) | ||
| Hailey A Jorgensen | Registered representative | Dec 2024 (2y) | ||
| Antonia Josephine Babbio | Registered representative | Dec 2024 (2y) | ||
| John Paul Wyand | Registered representative | CFP | Dec 2024 (2y) | |
| Lisa Marie Hardy | Registered representative | Dec 2024 (2y) | ||
| Robert Fjell | Registered representative | Dec 2024 (2y) | ||
| Michael David Cushwa | Registered representative | Dec 2024 (2y) | ||
| Zachary Sehgal | Registered representative | Dec 2024 (2y) | ||
| Maria Elena Perez Vargas | Registered representative | Dec 2024 (2y) | ||
| Ian Chang Rhee | Registered representative | Dec 2024 (2y) | ||
| Jose Julio Ramirez Velez | Registered representative | Dec 2024 (2y) | ||
| Lily Elise Elise Cantrell | Registered representative | Dec 2024 (2y) | ||
| Nathan Dietz Buse | Registered representative | Dec 2024 (2y) | ||
| Tyler De Brock | Registered representative | Dec 2024 (2y) | ||
| Brian Lopipero | Registered representative | Dec 2024 (2y) | ||
| James F D'elia | Registered representative | CFA | Dec 2024 (2y) | |
| Michael Clement Leung | Registered representative | Dec 2024 (2y) | ||
| Nicholas Vincent Azzopardi | Registered representative | Dec 2024 (2y) | ||
| Sarah Anne Clark | Registered representative | Dec 2024 (2y) | ||
| Jesse Jeremy Robinson | Registered representative | Dec 2024 (2y) | ||
| David Robert Gerber | Registered representative | CFA | Dec 2024 (2y) | |
| Elias A Letayf | Registered representative | Dec 2024 (2y) | ||
| Bhavesh Sangem | Registered representative | CFA | Dec 2024 (2y) | |
| Catherine Miller Conway | Registered representative | Dec 2024 (2y) | ||
| John Pierce Holbrook | Registered representative | Dec 2024 (2y) | ||
| Mia I Vettoretti | Registered representative | Dec 2024 (2y) | ||
| Mane Aslanian | Registered representative | Jan 2025 (2y) | ||
| Nadine Ibrahim | Registered representative | Jan 2025 (2y) | ||
| Xiaolin Cai | Registered representative | Jan 2025 (2y) | ||
| Cole Mc Michael | Registered representative | Jan 2025 (2y) | ||
| Erik Michael Mintz | Registered representative | Jan 2025 (2y) | ||
| Kasen Christopher Groves | Registered representative | Jan 2025 (2y) | ||
| Magdalina Kouladjian | Registered representative | Jan 2025 (2y) | ||
| Mason Quinn Mosley | Registered representative | Jan 2025 (2y) | ||
| Jayce Lambert | Registered representative | Jan 2025 (2y) | ||
| Shawn Joseph Barth | Registered representative | Jan 2025 (2y) | ||
| Steven Johnny Mortelliti | Registered representative | Jan 2025 (2y) | ||
| Victoria Vysotina | Registered representative | Jan 2025 (2y) | ||
| Amanda Wanjiru Kahugu | Registered representative | Jan 2025 (2y) | ||
| Busra Cigner | Registered representative | Jan 2025 (2y) | ||
| Christopher Marc Reese | Registered representative | Jan 2025 (2y) | ||
| Gerardo Herrera Macias | Registered representative | Jan 2025 (2y) | ||
| John Charles De Angelis | Registered representative | Jan 2025 (2y) | ||
| Juliana Claire Yamin | Registered representative | Jan 2025 (2y) | ||
| Lauren Fink | Registered representative | Jan 2025 (2y) | ||
| Leo Danishefsky | Registered representative | Jan 2025 (2y) | ||
| Mitchell Mulqueen | Registered representative | Jan 2025 (2y) | ||
| Nicholas Jospeh Rundella | Registered representative | Jan 2025 (2y) | ||
| Sophia Marguerite Flynn | Registered representative | Jan 2025 (2y) | ||
| William Michael Genovese | Registered representative | Jan 2025 (2y) | ||
| Alec Reed Weber | Registered representative | Jan 2025 (2y) | ||
| Daniel Tyler Gunchar | Registered representative | Jan 2025 (2y) | ||
| John Porteous Timpson | Registered representative | Jan 2025 (2y) | ||
| Maria Ximena Oliva | Registered representative | Jan 2025 (2y) | ||
| Ian Myers | Registered representative | Jan 2025 (2y) | ||
| Gary Jon Rosen | Registered representative | Jan 2025 (2y) | ||
| Griffin David Mc Larty | Registered representative | Jan 2025 (2y) | ||
| Jacqueline Moran | Registered representative | Jan 2025 (2y) | ||
| Safra Gabaie | Registered representative | Jan 2025 (2y) | ||
| Isabelle Rae Saurer | Registered representative | Jan 2025 (2y) | ||
| Kathleen Joanna Howard | Registered representative | Jan 2025 (2y) | ||
| Christopher A Schlack | Registered representative | Jan 2025 (2y) | ||
| Ruixin Ding | Registered representative | Jan 2025 (2y) | ||
| Bertrand Awana Belinguine | Registered representative | Jan 2025 (2y) | ||
| William Lloyd Dornik | Registered representative | Jan 2025 (2y) | ||
| Laura Pedicone Sollecito | Registered representative | CFP | Jan 2025 (2y) | |
| Sean Patrick O Day | Registered representative | Jan 2025 (2y) | ||
| De Anna Maria Petersen | Registered representative | Jan 2025 (2y) | ||
| Christopher Michael Loyer | Registered representative | Jan 2025 (2y) | ||
| Nicholas Broback | Registered representative | Jan 2025 (2y) | ||
| Parker Conitz | Registered representative | Jan 2025 (2y) | ||
| Samuel Edward Hussey | Registered representative | Jan 2025 (2y) | ||
| Emilee L Knudson | Registered representative | Feb 2025 (1y) | ||
| Yan Hu | Registered representative | CFA | Feb 2025 (1y) | |
| Gabriella Rose Pia | Registered representative | Feb 2025 (1y) | ||
| Jake Franz Deutsch | Registered representative | Feb 2025 (1y) | ||
| Ronny T Bass | Registered representative | Feb 2025 (1y) | ||
| Vaden Scott | Registered representative | Feb 2025 (1y) | ||
| Spencer A Moore | Registered representative | Feb 2025 (1y) | ||
| Cade Stephen Truscott | Registered representative | Feb 2025 (1y) | ||
| Tiffany Ashley Agard | Registered representative | Feb 2025 (1y) | ||
| Drew William Schmidt | Registered representative | Feb 2025 (1y) | ||
| Augustus Bowdoin Spaulding | Registered representative | Feb 2025 (1y) | ||
| Brian Matthew Carolan | Registered representative | Feb 2025 (1y) | ||
| Harold Frederick Toney | Registered representative | Feb 2025 (1y) | ||
| Holly Nicole Myers | Registered representative | Feb 2025 (1y) | ||
| Jason Thomas Stiles | Registered representative | Feb 2025 (1y) | ||
| Peter C Sherlock | Registered representative | Feb 2025 (1y) | ||
| Steven Mark Kaiman | Registered representative | Feb 2025 (1y) | ||
| Yara M Gonsalves | Registered representative | Feb 2025 (1y) | ||
| Chase Andrew Rodawig | Registered representative | Feb 2025 (1y) | ||
| Elizabeth Hellen Myers | Registered representative | Feb 2025 (1y) | ||
| Jill Schmieding | Registered representative | Feb 2025 (1y) | ||
| Ross Gerard Wilkinson | Registered representative | Feb 2025 (1y) | ||
| Tyler Bernard Millan | Registered representative | Feb 2025 (1y) | ||
| Jennifer Hayden | Registered representative | Feb 2025 (1y) | ||
| Carolyn Peizhu Zhao | Registered representative | Feb 2025 (1y) | ||
| Connor Phillip Whalen | Registered representative | Feb 2025 (1y) | ||
| Aaron Andrew Clark | Registered representative | Feb 2025 (1y) | ||
| Ann Marie Boole Mccormick | Registered representative | Feb 2025 (1y) | ||
| James Bockstahler | Registered representative | Feb 2025 (1y) | ||
| Mofolarin Matthew Walter Johnson | Registered representative | Feb 2025 (1y) | ||
| Victoria Lee Clausen | Registered representative | CFA | Feb 2025 (1y) | |
| Henry B Robertson | Registered representative | Feb 2025 (1y) | ||
| Amy A Tamblyn | Registered representative | Mar 2025 (1y) | ||
| Arianne Coda Marriott | Registered representative | Mar 2025 (1y) | ||
| Aaron T Armstrong | Registered representative | Mar 2025 (1y) | ||
| Hana Couture | Registered representative | Mar 2025 (1y) | ||
| Reuben Adam Major | Registered representative | Mar 2025 (1y) | ||
| Sandra Wagner | Registered representative | Mar 2025 (1y) | ||
| Zachary C Sobel | Registered representative | Mar 2025 (1y) | ||
| John Samuel Springer | Registered representative | Mar 2025 (1y) | ||
| Gianni Devercelli Ruiz | Registered representative | Mar 2025 (1y) | ||
| Renay Ferrucci | Registered representative | Mar 2025 (1y) | ||
| Andres Vicente Sanchez | Registered representative | Mar 2025 (1y) | ||
| Elmira Lavi | Registered representative | Mar 2025 (1y) | ||
| Hannah Rae Strong | Registered representative | Mar 2025 (1y) | ||
| Josephine Emily Tamez | Registered representative | Mar 2025 (1y) | ||
| Dylan Watkins | Registered representative | Mar 2025 (1y) | ||
| Ingrid H Gavalya | Registered representative | Mar 2025 (1y) | ||
| Brien Johnson | Registered representative | Mar 2025 (1y) | ||
| Gregory Boyce Smith | Registered representative | Mar 2025 (1y) | ||
| Kurt A Johnson | Registered representative | Mar 2025 (1y) | ||
| Cornelia Birmingham | Registered representative | Mar 2025 (1y) | ||
| Jake Anthony Zisa | Registered representative | Mar 2025 (1y) | ||
| Rebecca Singer | Registered representative | Mar 2025 (1y) | ||
| Tyler Kurtz | Registered representative | Mar 2025 (1y) | ||
| Cheryl L Grava | Registered representative | Mar 2025 (1y) | ||
| Lauren Elizabeth Elizabeth Sale | Registered representative | Mar 2025 (1y) | ||
| Samantha R Goodman | Registered representative | Mar 2025 (1y) | ||
| Sebastian Emans | Registered representative | Mar 2025 (1y) | ||
| David M Sano | Registered representative | Mar 2025 (1y) | ||
| Kirtana Vallabh Patel | Registered representative | CFP | Mar 2025 (1y) | |
| Omar Jallow | Registered representative | CFP | Mar 2025 (1y) | |
| Ryan Thomas Mcdermott | Registered representative | Mar 2025 (1y) | ||
| Susan Marie Dezio | Registered representative | Mar 2025 (1y) | ||
| Lee Aron Meddin | Registered representative | CFA | Mar 2025 (1y) | |
| Catherine G Camp | Registered representative | Mar 2025 (1y) | ||
| Parker George Payne | Registered representative | Mar 2025 (1y) | ||
| Victoria Isabelle Da Conceicao | Registered representative | Mar 2025 (1y) | ||
| Amani Y Harris | Registered representative | Mar 2025 (1y) | ||
| Jason Bradley Jones | Registered representative | Mar 2025 (1y) | ||
| Claire Rose Weber | Registered representative | Mar 2025 (1y) | ||
| Claudia Elizabeth Bohringer Orantes | Registered representative | Mar 2025 (1y) | ||
| Diana Catherine Rogers | Registered representative | Mar 2025 (1y) | ||
| Linda Renee Porter | Registered representative | Mar 2025 (1y) | ||
| Matthew Glenn Christ | Registered representative | Mar 2025 (1y) | ||
| Pedro Flores | Registered representative | Mar 2025 (1y) | ||
| Andy Isaac Marquez | Registered representative | Apr 2025 (1y) | ||
| Delni Jane Rasmussen | Registered representative | Apr 2025 (1y) | ||
| John Paul Szabo | Registered representative | Apr 2025 (1y) | ||
| Heather Lynn Kane | Registered representative | Apr 2025 (1y) | ||
| Joseph Curran Shaw | Registered representative | Apr 2025 (1y) | ||
| Felicia Widjaya Chang | Registered representative | Apr 2025 (1y) | ||
| Logan Oliver Wilson | Registered representative | Apr 2025 (1y) | ||
| William Gregory Camden | Registered representative | Apr 2025 (1y) | ||
| Hannah Harrington Woodworth | Registered representative | Apr 2025 (1y) | ||
| Trevor Delaney | Registered representative | Apr 2025 (1y) | ||
| Kevin Bachalis | Registered representative | Apr 2025 (1y) | ||
| Ryan Dale Stevens | Registered representative | Apr 2025 (1y) | ||
| Samuel Stratton | Registered representative | Apr 2025 (1y) | ||
| Fabio Andrea Calzavara | Registered representative | Apr 2025 (1y) | ||
| Emily Klotz | Registered representative | Apr 2025 (1y) | ||
| Jose Javier San Roman | Registered representative | Apr 2025 (1y) | ||
| Katelin Michelle Luna | Registered representative | Apr 2025 (1y) | ||
| Aaron Igel | Registered representative | Apr 2025 (1y) | ||
| Alexandra Elizabeth O'hare | Registered representative | Apr 2025 (1y) | ||
| Tyler Hertwig | Registered representative | Apr 2025 (1y) | ||
| Anthony James Annino | Registered representative | CFA | Apr 2025 (1y) | |
| Julian Kurlender Saltzman | Registered representative | Apr 2025 (1y) | ||
| Shahan Avakian | Registered representative | Apr 2025 (1y) | ||
| Steven Francis Marino | Registered representative | Apr 2025 (1y) | ||
| Zexing Gao | Registered representative | Apr 2025 (1y) | ||
| Alec R Pfriem | Registered representative | Apr 2025 (1y) | ||
| Brendan Patrick Sullivan | Registered representative | Apr 2025 (1y) | ||
| Cameron Mason Olds | Registered representative | Apr 2025 (1y) | ||
| Yi Wu | Registered representative | Apr 2025 (1y) | ||
| Zachary Christopher Hayn | Registered representative | Apr 2025 (1y) | ||
| Carter Farkas Gangl | Registered representative | Apr 2025 (1y) | ||
| Dylan Sam Menetrey | Registered representative | Apr 2025 (1y) | ||
| Anthony R Tramonte | Registered representative | Apr 2025 (1y) | ||
| Claudia Ivett Ramirez | Registered representative | Apr 2025 (1y) | ||
| Paul Brendon Carroll | Registered representative | Apr 2025 (1y) | ||
| Pirunporn Gordon | Registered representative | Apr 2025 (1y) | ||
| Grace Elizabeth Schneble | Registered representative | Apr 2025 (1y) | ||
| Jacob Andre Buchanan | Registered representative | Apr 2025 (1y) | ||
| Shujun Wu | Registered representative | Apr 2025 (1y) | ||
| Marleyna Rubin | Registered representative | Apr 2025 (1y) | ||
| Jake Daniel Crowther | Registered representative | Apr 2025 (1y) | ||
| Katherine Klempen | Registered representative | Apr 2025 (1y) | ||
| Matthew Haris Holden | Registered representative | Apr 2025 (1y) | ||
| Olivia Carter Dembiec | Registered representative | Apr 2025 (1y) | ||
| Andrew Robert Moore | Registered representative | Apr 2025 (1y) | ||
| Charlotte Bess Helmig | Registered representative | Apr 2025 (1y) | ||
| Michael Anastasia | Registered representative | Apr 2025 (1y) | ||
| Philip Shields Wunderlich | Registered representative | Apr 2025 (1y) | ||
| Ana Sofia Dominguez | Registered representative | May 2025 (1y) | ||
| Jeffrey Blair Harwood | Registered representative | CFA | May 2025 (1y) | |
| Marcus A Rolls | Registered representative | May 2025 (1y) | ||
| Eduardo Carrera | Registered representative | May 2025 (1y) | ||
| William Gordon Mc Colskey | Registered representative | May 2025 (1y) | ||
| Brittany Diane Earl | Registered representative | May 2025 (1y) | ||
| Luisa Fernanda Bedoya | Registered representative | May 2025 (1y) | ||
| Luis Enrique Carrillo | Registered representative | May 2025 (1y) | ||
| Peged Wende Bila Narcisse Tassembedo | Registered representative | May 2025 (1y) | ||
| Yee Ling Cheng | Registered representative | May 2025 (1y) | ||
| Yves Alain Sommerhalder | Registered representative | May 2025 (1y) | ||
| Schuyler Woodard Edie | Registered representative | May 2025 (1y) | ||
| Russell Friedman | Registered representative | May 2025 (1y) | ||
| Sophie Iskandar Polonichko | Registered representative | May 2025 (1y) | ||
| Ellen Rose Brunker | Registered representative | May 2025 (1y) | ||
| Jorge Claypole | Registered representative | May 2025 (1y) | ||
| John Garofalo | Registered representative | May 2025 (1y) | ||
| Lin Lin Reynolds | Registered representative | May 2025 (1y) | ||
| Christopher G. Barton | Registered representative | May 2025 (1y) | ||
| Hector Edgardo Contreras | Registered representative | May 2025 (1y) | ||
| Kathleen M Ferraro | Registered representative | May 2025 (1y) | ||
| Zhenyu Li | Registered representative | May 2025 (1y) | ||
| Alexis Damiana Lebkuecher | Registered representative | May 2025 (1y) | ||
| Brianna A Brown | Registered representative | May 2025 (1y) | ||
| Layla Louise Shapiro | Registered representative | May 2025 (1y) | ||
| Mary Grace Rose Cusumano | Registered representative | May 2025 (1y) | ||
| Chloe Anh Thao Bui | Registered representative | May 2025 (1y) | ||
| Nathaniel Hubbard Murphy | Registered representative | May 2025 (1y) | ||
| Sean Sheikowitz | Registered representative | May 2025 (1y) | ||
| Michael Joseph Cardello | Registered representative | May 2025 (1y) | ||
| Emiliano Lucian Siqueiros | Registered representative | May 2025 (1y) | ||
| Joyce Ann Luke | Registered representative | May 2025 (1y) | ||
| David Kim Holmes | Registered representative | May 2025 (1y) | ||
| Joshua Michael Fazzino | Registered representative | May 2025 (1y) | ||
| Koy Kosek | Registered representative | CFP | May 2025 (1y) | |
| Cole Charles Nygren | Registered representative | May 2025 (1y) | ||
| Brett Blackwelder | Registered representative | May 2025 (1y) | ||
| Sean Bresnan | Registered representative | May 2025 (1y) | ||
| David Cal Liebowitz | Registered representative | May 2025 (1y) | ||
| Felipe Costa Tymonczak Sabara | Registered representative | Jun 2025 (1y) | ||
| Maria Isabel Mirzaaghasi | Registered representative | Jun 2025 (1y) | ||
| Yari L Baldrich | Registered representative | Jun 2025 (1y) | ||
| Colleen Jo Mcatamney | Registered representative | Jun 2025 (1y) | ||
| Cameron Junker | Registered representative | Jun 2025 (1y) | ||
| Davis Gulbrandsen | Registered representative | Jun 2025 (1y) | ||
| Robert Thomas Buzzini | Registered representative | Jun 2025 (1y) | ||
| Rases Maryam Habra | Registered representative | Jun 2025 (1y) | ||
| Adelino A Dias | Registered representative | Jun 2025 (1y) | ||
| Hannah Anh Le | Registered representative | Jun 2025 (1y) | ||
| Jennifer Robyn Lan | Registered representative | Jun 2025 (1y) | ||
| Joshua Gaku Inahara | Registered representative | Jun 2025 (1y) | ||
| Brady A Walsh | Registered representative | Jun 2025 (1y) | ||
| Dawson D Treadway | Registered representative | Jun 2025 (1y) | ||
| Charles Hampton Long | Registered representative | Jun 2025 (1y) | ||
| Cross Binette | Registered representative | Jun 2025 (1y) | ||
| Jasmin Maldonado | Registered representative | Jun 2025 (1y) | ||
| Lisa Marie Cuckovich | Registered representative | Jun 2025 (1y) | ||
| Callie Jones | Registered representative | Jun 2025 (1y) | ||
| Michael Teel | Registered representative | Jun 2025 (1y) | ||
| Vincent Dornhoefer Atkinson | Registered representative | Jun 2025 (1y) | ||
| Kaitlin H Weaver | Registered representative | Jun 2025 (1y) | ||
| Mellany G Bagtas | Registered representative | Jun 2025 (1y) | ||
| Benjamin Charles Mcclelland | Registered representative | Jun 2025 (1y) | ||
| Christopher Pace Castleman | Registered representative | Jun 2025 (1y) | ||
| William Ernest Frisco | Registered representative | Jun 2025 (1y) | ||
| Benjamin J Buehler | Registered representative | Jun 2025 (1y) | ||
| Connor Cole | Registered representative | Jun 2025 (1y) | ||
| Thomas Paul Henry | Registered representative | Jun 2025 (1y) | ||
| Zane Thomas Rosely | Registered representative | Jun 2025 (1y) | ||
| Adam Gabriel Shams | Registered representative | Jun 2025 (1y) | ||
| Alexander Baler | Registered representative | Jun 2025 (1y) | ||
| Christina Chandler Nuckolls | Registered representative | Jun 2025 (1y) | ||
| Christopher Ayoub | Registered representative | Jun 2025 (1y) | ||
| Andrea Lucia Colina Martinez | Registered representative | Jun 2025 (1y) | ||
| Charles Woodward Brooks | Registered representative | Jun 2025 (1y) | ||
| James Dillon Corcoran | Registered representative | Jun 2025 (1y) | ||
| Allison Rakes Flora | Registered representative | Jun 2025 (1y) | ||
| Ryan Wesley Miller | Registered representative | Jun 2025 (1y) | ||
| Gonzalo Lopez Olan | Registered representative | Jun 2025 (1y) | ||
| Jack Joseph Phelan | Registered representative | Jun 2025 (1y) | ||
| Kenneth Baxter Rollins | Registered representative | Jun 2025 (1y) | ||
| Sydney Naomi Jang | Registered representative | Jun 2025 (1y) | ||
| Joseph V Perez | Registered representative | Jun 2025 (1y) | ||
| Noah Michael Santifort | Registered representative | Jun 2025 (1y) | ||
| Kevin Domenic O'donnell | Registered representative | Jun 2025 (1y) | ||
| Matthew James Ryan | Registered representative | Jun 2025 (1y) | ||
| Chelsea Julie Polhemus | Registered representative | CFP | Jun 2025 (1y) | |
| Jacob Scott Edzards | Registered representative | Jun 2025 (1y) | ||
| Liz Zhao | Registered representative | Jun 2025 (1y) | ||
| Paola Leal Cervantes | Registered representative | Jun 2025 (1y) | ||
| Peter Southard Read | Registered representative | Jun 2025 (1y) | ||
| Brian Christopher Hughes | Registered representative | Jun 2025 (1y) | ||
| Jennifer E Richy | Registered representative | Jun 2025 (1y) | ||
| Chase D Lalonde | Registered representative | Jun 2025 (1y) | ||
| Christian Zwicky | Registered representative | Jun 2025 (1y) | ||
| Jordanna L Fallon | Registered representative | Jun 2025 (1y) | ||
| Andrew Pitler Oleinick | Registered representative | CFP | Jul 2025 (1y) | |
| Brian Lopez | Registered representative | Jul 2025 (1y) | ||
| Corey P Behm | Registered representative | Jul 2025 (1y) | ||
| Eric Scott Garofalo | Registered representative | Jul 2025 (1y) | ||
| Lily Madison Gilbertson | Registered representative | Jul 2025 (1y) | ||
| Christopher Musbach | Registered representative | Jul 2025 (1y) | ||
| Whitney Margaret Vralsted | Registered representative | Jul 2025 (1y) | ||
| Alexis Chick | Registered representative | Jul 2025 (1y) | ||
| Benjamin Christian Brinkman | Registered representative | Jul 2025 (1y) | ||
| Hailey Petry | Registered representative | Jul 2025 (1y) | ||
| Joseph Martin Pancerella | Registered representative | Jul 2025 (1y) | ||
| Peter William Kent | Registered representative | Jul 2025 (1y) | ||
| Siera Baghoomian | Registered representative | Jul 2025 (1y) | ||
| Elisabeth C Bailey | Registered representative | CFP | Jul 2025 (1y) | |
| Li Ken Kwan | Registered representative | Jul 2025 (1y) | ||
| Thomas D Bray | Registered representative | CFP | Jul 2025 (1y) | |
| Madison Christian Schroeder | Registered representative | Jul 2025 (1y) | ||
| Shizhan Zhang | Registered representative | Jul 2025 (1y) | ||
| Jacqueline Marie Kehoe | Registered representative | Jul 2025 (1y) | ||
| James Anthony Perrone | Registered representative | Jul 2025 (1y) | ||
| Ogden Hammond | Registered representative | Jul 2025 (1y) | ||
| Reilly Luke Dennehy | Registered representative | Jul 2025 (1y) | ||
| Anna Alibrandi | Registered representative | Jul 2025 (1y) | ||
| Alfred Charles C Schwab | Registered representative | Jul 2025 (1y) | ||
| Chase T Meulebrouck | Registered representative | Jul 2025 (1y) | ||
| Christopher Ellis | Registered representative | Jul 2025 (1y) | ||
| De Anne Steele | Registered representative | Jul 2025 (1y) | ||
| Douglas Jake Lauricella | Registered representative | Jul 2025 (1y) | ||
| Jacqueline Elizabeth Cubas | Registered representative | Jul 2025 (1y) | ||
| Jason Cole Slifka | Registered representative | Jul 2025 (1y) | ||
| Raluca Bighiu | Registered representative | Jul 2025 (1y) | ||
| Taryn D Simm | Registered representative | Jul 2025 (1y) | ||
| Yuvraj Mallick | Registered representative | Jul 2025 (1y) | ||
| Zachary J Furr | Registered representative | Jul 2025 (1y) | ||
| Austin Greer | Registered representative | Jul 2025 (1y) | ||
| Christopher S Brolly | Registered representative | CFP | Jul 2025 (1y) | |
| Parker Joe Robinson | Registered representative | Jul 2025 (1y) | ||
| Edward Albert Maruggi | Registered representative | Jul 2025 (1y) | ||
| James Desousa | Registered representative | Jul 2025 (1y) | ||
| Declan Botwinick | Registered representative | Jul 2025 (1y) | ||
| Mary Elizabeth Elizabeth Skope | Registered representative | Jul 2025 (1y) | ||
| Spencer Joshua Alden | Registered representative | Jul 2025 (1y) | ||
| Connor Taylor Kitson | Registered representative | Jul 2025 (1y) | ||
| John Mills Pierre | Registered representative | Jul 2025 (1y) | ||
| Madison Starr | Registered representative | Jul 2025 (1y) | ||
| Kelly Ann Kasprzyk | Registered representative | Jul 2025 (1y) | ||
| Margot Lurding | Registered representative | Jul 2025 (1y) | ||
| Alexander Savetz | Registered representative | Jul 2025 (1y) | ||
| Alexis Kristine Green | Registered representative | Jul 2025 (1y) | ||
| Sandra Jayne Jarman | Registered representative | Jul 2025 (1y) | ||
| Emily A Duncan | Registered representative | Jul 2025 (1y) | ||
| William H Holcombe | Registered representative | Jul 2025 (1y) | ||
| Clark Wortham Bowers | Registered representative | Jul 2025 (1y) | ||
| Paula Brandao Bai | Registered representative | Jul 2025 (1y) | ||
| Shannon Lynn Borton | Registered representative | Jul 2025 (1y) | ||
| Brandon Jamison | Registered representative | Jul 2025 (1y) | ||
| James Wesley Webb | Registered representative | Jul 2025 (1y) | ||
| Nicholas Joseph Katzaroff | Registered representative | Jul 2025 (1y) | ||
| Wyatt Westerheide | Registered representative | Jul 2025 (1y) | ||
| Elizabeth Ann Bondi | Registered representative | Aug 2025 (1y) | ||
| William C Hughes | Registered representative | Aug 2025 (1y) | ||
| Anthony M Ajlouny | Registered representative | Aug 2025 (1y) | ||
| Monty Shea Holcombe | Registered representative | Aug 2025 (1y) | ||
| Amy Elizabeth Dunn | Registered representative | Aug 2025 (1y) | ||
| Christine M Mania | Registered representative | Aug 2025 (1y) | ||
| Michael G Jackie | Registered representative | Aug 2025 (1y) | ||
| Nicholas Irving Ritter | Registered representative | Aug 2025 (1y) | ||
| Nicole Marie Krieger Schubert | Registered representative | CFA | Aug 2025 (1y) | |
| Ari Moshe Benchimol | Registered representative | Aug 2025 (1y) | ||
| Mike Marcos Tavitian | Registered representative | Aug 2025 (1y) | ||
| Rachel Colicchio Werdann | Registered representative | Aug 2025 (1y) | ||
| Andrew Thomas Boyle | Registered representative | Aug 2025 (1y) | ||
| Brandon R West | Registered representative | Aug 2025 (1y) | ||
| Hayley Byrne | Registered representative | Aug 2025 (1y) | ||
| Nadine C Smith | Registered representative | Aug 2025 (1y) | ||
| Patrick Joseph Lively | Registered representative | Aug 2025 (1y) | ||
| Richard Wesley De Salvo | Registered representative | Aug 2025 (1y) | ||
| Zachary Draus | Registered representative | Chartered Financial Consultant | Aug 2025 (1y) | |
| Grace Wynne | Registered representative | Aug 2025 (1y) | ||
| Logan Lopez | Registered representative | Aug 2025 (1y) | ||
| Brandon M. Love | Registered representative | CFP | Aug 2025 (1y) | |
| Nicole M Ferrara | Registered representative | Aug 2025 (1y) | ||
| Alexander Loren Wideman | Registered representative | Aug 2025 (1y) | ||
| Jack Farrell | Registered representative | Aug 2025 (1y) | ||
| Santiago Castellan | Registered representative | Aug 2025 (1y) | ||
| Veronica Rabadan Utt | Registered representative | Aug 2025 (1y) | ||
| Charles Freiheit | Registered representative | Aug 2025 (1y) | ||
| Esthefany Gisell Acosta Espinal | Registered representative | Aug 2025 (1y) | ||
| Ty Verkauf Cohen | Registered representative | Aug 2025 (1y) | ||
| Caleb Jordan Stauch | Registered representative | Aug 2025 (1y) | ||
| Katharine Venuti | Registered representative | CFP | Aug 2025 (1y) | |
| William Joseph Di Johnson | Registered representative | Aug 2025 (1y) | ||
| Dashawn Gumbs | Registered representative | Aug 2025 (1y) | ||
| Nicholas Keith Jones | Registered representative | Aug 2025 (1y) | ||
| Michele Deanna Colon | Registered representative | Aug 2025 (1y) | ||
| Arttu Emil Fiva | Registered representative | Aug 2025 (1y) | ||
| John R Franck | Registered representative | Aug 2025 (1y) | ||
| Louis Connor Skertich | Registered representative | Aug 2025 (1y) | ||
| Mariah Claire Blake | Registered representative | Aug 2025 (1y) | ||
| Preston Butler | Registered representative | Aug 2025 (1y) | ||
| Ramona Jean Farrington | Registered representative | Aug 2025 (1y) | ||
| William Edward Madden | Registered representative | Aug 2025 (1y) | ||
| David Lewis King | Registered representative | Aug 2025 (1y) | ||
| Anton Tkachenko | Registered representative | Aug 2025 (1y) | ||
| Christopher Cedano Alcala | Registered representative | Aug 2025 (1y) | ||
| Daniel Mendoza | Registered representative | Aug 2025 (1y) | ||
| Warner Benjamin Young | Registered representative | Aug 2025 (1y) | ||
| Carter Thomas Earls | Registered representative | Aug 2025 (1y) | ||
| Alejandro Javier Machado | Registered representative | Aug 2025 (1y) | ||
| Carlos Kaehler | Registered representative | Aug 2025 (1y) | ||
| Francois Du Pasquier | Registered representative | Aug 2025 (1y) | ||
| Juan Alejandro Soto | Registered representative | Aug 2025 (1y) | ||
| Nicholas Ryan Stapleton | Registered representative | Aug 2025 (1y) | ||
| Ryan Takeo Kuroiwa | Registered representative | Aug 2025 (1y) | ||
| Alessandra Bret Hoopes | Registered representative | Aug 2025 (1y) | ||
| Christian Alexander Perry | Registered representative | Aug 2025 (1y) | ||
| Joann Ziegler | Registered representative | Aug 2025 (1y) | ||
| Kenneth Kam Chuen Cheung | Registered representative | Aug 2025 (1y) | ||
| Warren A Brooks | Registered representative | Aug 2025 (1y) | ||
| Bryan Edward Davidson | Registered representative | Aug 2025 (1y) | ||
| Daniel Burnham | Registered representative | Aug 2025 (1y) | ||
| Devin Andre | Registered representative | Aug 2025 (1y) | ||
| Cristine J Rivera | Registered representative | Aug 2025 (1y) | ||
| Dominic Francis Kariofiles | Registered representative | Sep 2025 (1y) | ||
| Jack Heiss | Registered representative | Sep 2025 (1y) | ||
| Stefan Andjelkovic | Registered representative | Sep 2025 (1y) | ||
| Tyler Stephen Trainor | Registered representative | Sep 2025 (1y) | ||
| Timothy Allen Grantham | Registered representative | Sep 2025 (1y) | ||
| William Joseph Piazza | Registered representative | Sep 2025 (1y) | ||
| Asu Greer | Registered representative | Sep 2025 (1y) | ||
| Dongyue Jiang | Registered representative | CFP | Sep 2025 (1y) | |
| David A Marquez | Registered representative | Sep 2025 (1y) | ||
| Ethan Grey Lederman | Registered representative | Sep 2025 (1y) | ||
| Jackson Richard Kirsch | Registered representative | Sep 2025 (1y) | ||
| Joanne Zhe Wang | Registered representative | Sep 2025 (1y) | ||
| Joel Thomas Shaner | Registered representative | Sep 2025 (1y) | ||
| Kelley Barr Moore | Registered representative | Sep 2025 (1y) | ||
| Kyle Alan Mac Kinnon | Registered representative | Sep 2025 (1y) | ||
| Leyla Peri Ciner | Registered representative | Sep 2025 (1y) | ||
| Ryan Thomas Miknich | Registered representative | Sep 2025 (1y) | ||
| Austin Sankey | Registered representative | Sep 2025 (1y) | ||
| Brandon Joseph Humbert | Registered representative | Sep 2025 (1y) | ||
| Emma Sun Min Poalillo | Registered representative | Sep 2025 (1y) | ||
| Lloyd Cameron Bucher | Registered representative | Sep 2025 (1y) | ||
| Maria Angeles Bonany Munoz | Registered representative | Sep 2025 (1y) | ||
| Matthew Ian Fleissig | Registered representative | Sep 2025 (1y) | ||
| Melissa Maier | Registered representative | Sep 2025 (1y) | ||
| Adam Martin Thebeau | Registered representative | Sep 2025 (1y) | ||
| Alisa Alice Avakian | Registered representative | Sep 2025 (1y) | ||
| Blake Collins Biddle | Registered representative | Sep 2025 (1y) | ||
| Madeleine Paige Odenweller | Registered representative | Sep 2025 (1y) | ||
| Marc Oliver Petzinger | Registered representative | Sep 2025 (1y) | ||
| Peter Thomas Mudd | Registered representative | Sep 2025 (1y) | ||
| Emilio Camou Balderrama | Registered representative | Sep 2025 (1y) | ||
| Miraj Gharti Chhetry | Registered representative | Sep 2025 (1y) | ||
| Rachel Nicole Crawford | Registered representative | Sep 2025 (1y) | ||
| Melyse Mpiranya | Registered representative | Sep 2025 (1y) | ||
| Cole Anthony Parete | Registered representative | Sep 2025 (1y) | ||
| Jason Ziegler | Registered representative | Sep 2025 (1y) | ||
| Nicholas Dawson Cummins | Registered representative | Sep 2025 (1y) | ||
| Nicole Chen | Registered representative | Sep 2025 (1y) | ||
| Analia Grace Gallagher | Registered representative | Sep 2025 (1y) | ||
| Charlotte O'neill Raine | Registered representative | Sep 2025 (1y) | ||
| Hanna Marie Jackson | Registered representative | Sep 2025 (1y) | ||
| Justin Steven Zuna | Registered representative | Sep 2025 (1y) | ||
| Matthew Smith | Registered representative | Sep 2025 (1y) | ||
| Mayte Limayri Gonzalez Prieto | Registered representative | Sep 2025 (1y) | ||
| Adam Valentini | Registered representative | Sep 2025 (1y) | ||
| Annika James Dyczkowski | Registered representative | Sep 2025 (1y) | ||
| Lauren Renee La Course | Registered representative | Sep 2025 (1y) | ||
| Lesley Jordan Heafitz | Registered representative | Sep 2025 (1y) | ||
| Alfred Harvey | Registered representative | Sep 2025 (1y) | ||
| Garret Stott Elder | Registered representative | Sep 2025 (1y) | ||
| Kevin Murphy | Registered representative | Sep 2025 (1y) | ||
| Reid Papafloratos | Registered representative | Sep 2025 (1y) | ||
| Alexander Frederick Hines Caldwell | Registered representative | Sep 2025 (1y) | ||
| Avery Perry | Registered representative | Sep 2025 (1y) | ||
| Brandon Josue Velasquez Gutierrez | Registered representative | Sep 2025 (1y) | ||
| Casey Deck | Registered representative | Sep 2025 (1y) | ||
| Katrina Marie Pacyna | Registered representative | Sep 2025 (1y) | ||
| Luke Nguyen Deutschman | Registered representative | Sep 2025 (1y) | ||
| Meghan Doyle Concilio | Registered representative | Sep 2025 (1y) | ||
| Robert Francis Sieja | Registered representative | Sep 2025 (1y) | ||
| Arella Victoria Szlapak | Registered representative | Sep 2025 (1y) | ||
| Daniel Joseph Verrastro | Registered representative | Sep 2025 (1y) | ||
| David Matthew Parella | Registered representative | Sep 2025 (1y) | ||
| Dylan William Wynne | Registered representative | Sep 2025 (1y) | ||
| Diana Donovan Garcia | Registered representative | Sep 2025 (1y) | ||
| Kaden Jace Heuett | Registered representative | Sep 2025 (1y) | ||
| Michael Weaver | Registered representative | Sep 2025 (1y) | ||
| Clinton Lee Roberts | Registered representative | Sep 2025 (1y) | ||
| Jillian Kane Felty | Registered representative | Sep 2025 (1y) | ||
| Velios Anthony Kodomichalos | Registered representative | Sep 2025 (1y) | ||
| Alex A Eshmoili | Registered representative | Sep 2025 (1y) | ||
| Blake Andrew Burchill | Registered representative | Sep 2025 (1y) | ||
| Emily Angelina Viggiano | Registered representative | Sep 2025 (1y) | ||
| Jeong Heo | Registered representative | Sep 2025 (1y) | ||
| William Jaenicke | Registered representative | Sep 2025 (1y) | ||
| Grace Dostie | Registered representative | Oct 2025 (1y) | ||
| Jiayi Wang | Registered representative | Oct 2025 (1y) | ||
| Luke Di Iorio | Registered representative | Oct 2025 (1y) | ||
| Yujun Qian | Registered representative | Oct 2025 (1y) | ||
| Napatt Nirundorn | Registered representative | Oct 2025 (1y) | ||
| Brian Keith Reed | Registered representative | Oct 2025 (1y) | ||
| Renato Manuel Izaguirre Roca | Registered representative | Oct 2025 (1y) | ||
| Terrence S Gray | Registered representative | CFA | Oct 2025 (1y) | |
| Austin Michael Miller | Registered representative | Oct 2025 (1y) | ||
| Daniel Freitas Gomes | Registered representative | Oct 2025 (1y) | ||
| Ellen Mickelson | Registered representative | Oct 2025 (1y) | ||
| James Worthen Nelson | Registered representative | Oct 2025 (1y) | ||
| Jared Reid Rosegarten | Registered representative | Oct 2025 (1y) | ||
| Kathleen Therese Castiello | Registered representative | Oct 2025 (1y) | ||
| Ryan Hinman | Registered representative | Oct 2025 (1y) | ||
| Stephen Earl Wagner | Registered representative | CFP | Oct 2025 (1y) | |
| Todd Gregory Carey | Registered representative | Oct 2025 (1y) | ||
| Abraham J Cohen | Registered representative | Oct 2025 (1y) | ||
| Madeline Evans Hamel | Registered representative | Oct 2025 (1y) | ||
| Maria Nguyen | Registered representative | Oct 2025 (1y) | ||
| Andrew Cole Kravitz | Registered representative | Oct 2025 (1y) | ||
| Egzon Dauti | Registered representative | Oct 2025 (1y) | ||
| Emma Abigail Thorogood | Registered representative | Oct 2025 (1y) | ||
| Hanieh Shokrani | Registered representative | Oct 2025 (1y) | ||
| Jeffery Roberto Rivas | Registered representative | Oct 2025 (1y) | ||
| Shiv Patel | Registered representative | Oct 2025 (1y) | ||
| Anna Goldberg | Registered representative | Oct 2025 (1y) | ||
| Celeste Marguerite Dearnley | Registered representative | Oct 2025 (1y) | ||
| Grace Elizabeth Kristofic | Registered representative | Oct 2025 (1y) | ||
| Jada Hood | Registered representative | Oct 2025 (1y) | ||
| Ryan Michael Brennan | Registered representative | Oct 2025 (1y) | ||
| Zachary Goldberg | Registered representative | Oct 2025 (1y) | ||
| Aidan Gennaro Zacchia | Registered representative | Oct 2025 (1y) | ||
| Gavin Michael Gold | Registered representative | Oct 2025 (1y) | ||
| Michael Kissane | Registered representative | Oct 2025 (1y) | ||
| Milan Outarsingh | Registered representative | Oct 2025 (1y) | ||
| Luke Anthony Fontechia | Registered representative | Oct 2025 (1y) | ||
| Sze Yiu Wong | Registered representative | Oct 2025 (1y) | ||
| Alexa S Melnick | Registered representative | Oct 2025 (1y) | ||
| Gustavo G Ciobataru | Registered representative | Oct 2025 (1y) | ||
| Michael David David Shain | Registered representative | Oct 2025 (1y) | ||
| Bryan Hatfield | Registered representative | Oct 2025 (1y) | ||
| Devesh Deodat | Registered representative | Oct 2025 (1y) | ||
| Erica Zheng | Registered representative | Oct 2025 (1y) | ||
| Isaac Chota | Registered representative | CFP | Oct 2025 (1y) | |
| John Joyce | Registered representative | Oct 2025 (1y) | ||
| Laini Sweifach | Registered representative | Oct 2025 (1y) | ||
| Lyssa Ann Tyler | Registered representative | Oct 2025 (1y) | ||
| Matthew Daniel Condon | Registered representative | Oct 2025 (1y) | ||
| Serena Christina Silvan Khoury | Registered representative | Oct 2025 (1y) | ||
| Thomas Ernest Trager | Registered representative | Oct 2025 (1y) | ||
| Dana Marie Sorrentino | Registered representative | Oct 2025 (1y) | ||
| Robert Adam Lauer | Registered representative | Oct 2025 (1y) | ||
| Stephanie Marie Ailor | Registered representative | Oct 2025 (1y) | ||
| Daniel Brian Lyczak | Registered representative | Oct 2025 (1y) | ||
| Grant Robert Hulett | Registered representative | Oct 2025 (1y) | ||
| Jennifer Kay Kempf | Registered representative | Oct 2025 (1y) | ||
| Jonathan Albert Wooram Chu | Registered representative | Oct 2025 (1y) | ||
| Mark Alan Mueting | Registered representative | Oct 2025 (1y) | ||
| Sara Elise Alexander | Registered representative | Oct 2025 (1y) | ||
| Robert Mac Caldwell | Registered representative | Oct 2025 (1y) | ||
| Alejandro Lara Dominguez | Registered representative | Oct 2025 (1y) | ||
| Daniel P Fisher | Registered representative | Oct 2025 (1y) | ||
| Edwin Lee | Registered representative | Oct 2025 (1y) | ||
| Lilian Gray Melhorn | Registered representative | Oct 2025 (1y) | ||
| Milan Harasic Vega | Registered representative | Oct 2025 (1y) | ||
| Orkhan Beniaminov | Registered representative | CFA | Oct 2025 (1y) | |
| Andrew Morrison Brooks | Registered representative | Oct 2025 (1y) | ||
| David Gregory Shaver | Registered representative | Oct 2025 (1y) | ||
| Karolyna Helene Link | Registered representative | Oct 2025 (1y) | ||
| Andrew T Schaefer | Registered representative | Oct 2025 (1y) | ||
| Man Li Lily Yeung | Registered representative | Oct 2025 (1y) | ||
| Andrew R Patel | Registered representative | Oct 2025 (1y) | ||
| Franklin Xie | Registered representative | Oct 2025 (1y) | ||
| Frederick Paul Dillman | Registered representative | Oct 2025 (1y) | ||
| Gwenneth Celeste Mattia | Registered representative | Oct 2025 (1y) | ||
| Kaitlyn Galgano | Registered representative | CFP | Oct 2025 (1y) | |
| Malachy Percy Campbell | Registered representative | Oct 2025 (1y) | ||
| Maria Regina Herfindahl | Registered representative | Oct 2025 (1y) | ||
| Patricia Lillian Bigos | Registered representative | Oct 2025 (1y) | ||
| Sawyer Hamilton Shook | Registered representative | Oct 2025 (1y) | ||
| Veronica Naomi Kern | Registered representative | Oct 2025 (1y) | ||
| Ruonan Hu | Registered representative | Oct 2025 (1y) | ||
| Sean Tintle | Registered representative | Oct 2025 (1y) | ||
| David W Haire | Registered representative | Oct 2025 (1y) | ||
| Hutchens John Torregrosa | Registered representative | Oct 2025 (1y) | ||
| Jose M Rodriguez Rodriguez | Registered representative | CFA | Oct 2025 (1y) | |
| Daniel Max Tenzer | Registered representative | Oct 2025 (1y) | ||
| Jeffrey Daren Ragatz | Registered representative | Oct 2025 (1y) | ||
| Julian Alexander Torres | Registered representative | Oct 2025 (1y) | ||
| Dietrah Angelique Pegues Britton | Registered representative | Oct 2025 (1y) | ||
| Spencer J Williams | Registered representative | Oct 2025 (1y) | ||
| Daryl Lee Holmes | Registered representative | Nov 2025 (1y) | ||
| Jason Ballard Broyles | Registered representative | Nov 2025 (1y) | ||
| Nicholas Kiefer Mc Govern | Registered representative | Nov 2025 (1y) | ||
| Tyler Emery Bret | Registered representative | Nov 2025 (1y) | ||
| Vaughan Preston O'neal | Registered representative | Nov 2025 (1y) | ||
| Jack Grudzien | Registered representative | Nov 2025 (1y) | ||
| Justin Cozza | Registered representative | Nov 2025 (1y) | ||
| Patrick Porter | Registered representative | Nov 2025 (1y) | ||
| Lauren Elizabeth Kearney | Registered representative | Nov 2025 (1y) | ||
| Michael Tylka | Registered representative | Nov 2025 (1y) | ||
| Teri Ann Vallee | Registered representative | CFP | Nov 2025 (1y) | |
| Joshua Drapkin | Registered representative | Nov 2025 (1y) | ||
| Camryn Denise Clements | Registered representative | Nov 2025 (1y) | ||
| Daniel M Holzer | Registered representative | Nov 2025 (1y) | ||
| Eric Milhoua | Registered representative | Nov 2025 (1y) | ||
| Felipe Andre Zegarra | Registered representative | Nov 2025 (1y) | ||
| Harrison Tsavaris | Registered representative | Nov 2025 (1y) | ||
| Vasion Sinjari | Registered representative | Nov 2025 (1y) | ||
| Benjamin J Meyer | Registered representative | Nov 2025 (1y) | ||
| Gabriel Nunez Lafontaine | Registered representative | Nov 2025 (1y) | ||
| Carolina Maria Stolagli | Registered representative | Nov 2025 (1y) | ||
| Emily Yoon Hye Kim | Registered representative | Nov 2025 (1y) | ||
| Leigh Dennis Mclafferty | Registered representative | Nov 2025 (1y) | ||
| Maggie Adele Ellis | Registered representative | Nov 2025 (1y) | ||
| Serena Elsie Manfre | Registered representative | Nov 2025 (1y) | ||
| Benjamin Aaron Chozahinoff | Registered representative | Nov 2025 (1y) | ||
| Evan Thomas Rose | Registered representative | Nov 2025 (1y) | ||
| Ian Davis Carter | Registered representative | Nov 2025 (1y) | ||
| John Angelo Visconti | Registered representative | Nov 2025 (1y) | ||
| Jonah Bryan Ferro | Registered representative | Nov 2025 (1y) | ||
| Joshua Mohammad Namin | Registered representative | Nov 2025 (1y) | ||
| Kevin Flavin | Registered representative | Nov 2025 (1y) | ||
| Brian Binkley | Registered representative | CFA | Nov 2025 (1y) | |
| Kaylyn Grace Alexander | Registered representative | Nov 2025 (1y) | ||
| Andrew Flood | Registered representative | Nov 2025 (1y) | ||
| Barrett Heyde | Registered representative | Nov 2025 (1y) | ||
| Haley Rudee | Registered representative | Nov 2025 (1y) | ||
| Joshua Hunter Blum | Registered representative | Nov 2025 (1y) | ||
| Kylie Hazen | Registered representative | Nov 2025 (1y) | ||
| Lauren Duran Wollenhaupt | Registered representative | Nov 2025 (1y) | ||
| Scott Henry Guetz | Registered representative | CFP | Nov 2025 (1y) | |
| Thomas Running | Registered representative | Nov 2025 (1y) | ||
| Aaron Sandler | Registered representative | Nov 2025 (1y) | ||
| James David Cargill | Registered representative | Nov 2025 (1y) | ||
| Claudia Klugh | Registered representative | Nov 2025 (1y) | ||
| Zachary Mason Singer | Registered representative | Nov 2025 (1y) | ||
| Anwar Raslan | Registered representative | CFA | Nov 2025 (1y) | |
| Gina Tuazon Galang | Registered representative | Nov 2025 (1y) | ||
| Guy Sandman | Registered representative | Nov 2025 (1y) | ||
| Ryan Austin Gant | Registered representative | Nov 2025 (1y) | ||
| William Winstead Witter | Registered representative | Nov 2025 (1y) | ||
| Alexia Boyd | Registered representative | Nov 2025 (1y) | ||
| Brittney Shemika Taylor | Registered representative | Nov 2025 (1y) | ||
| Cale William Doda | Registered representative | CFP | Nov 2025 (1y) | |
| Elizabeth Hanan Marshall | Registered representative | Nov 2025 (1y) | ||
| Heather Ann Tollis | Registered representative | Nov 2025 (1y) | ||
| Jared Michael Mc Guire | Registered representative | Nov 2025 (1y) | ||
| Michaella Calubayan | Registered representative | Nov 2025 (1y) | ||
| Michelle Diaz | Registered representative | Nov 2025 (1y) | ||
| Alexis Michelle Colon | Registered representative | Nov 2025 (1y) | ||
| Kenneth Adrian Rios | Registered representative | Nov 2025 (1y) | ||
| Anthony Sneag | Registered representative | Nov 2025 (1y) | ||
| Justin Michael Hemings | Registered representative | Nov 2025 (1y) | ||
| Nisha Kijkanakorn | Registered representative | Nov 2025 (1y) | ||
| Thomas Wesley Vanderslice | Registered representative | Nov 2025 (1y) | ||
| Dongwon Yoo | Registered representative | Nov 2025 (1y) | ||
| Jordan Seligman | Registered representative | Nov 2025 (1y) | ||
| Joseph Phelps | Registered representative | Nov 2025 (1y) | ||
| Paige Weiss | Registered representative | Nov 2025 (1y) | ||
| Mauricio Jose Solorzano | Registered representative | Dec 2025 (1y) | ||
| Nolan M Rogow | Registered representative | Dec 2025 (1y) | ||
| Carmine Antonio De Ieso | Registered representative | Dec 2025 (1y) | ||
| Alexander Correa Camacho | Registered representative | Dec 2025 (1y) | ||
| Christopher Phillip Epakis | Registered representative | Dec 2025 (1y) | ||
| Kevin Peter Goggins | Registered representative | Dec 2025 (1y) | ||
| Trish Scott | Registered representative | Dec 2025 (1y) | ||
| Yohan Sivakumar | Registered representative | CFP | Dec 2025 (1y) | |
| Alexandra Crockett Franz | Registered representative | Dec 2025 (1y) | ||
| Brandon Bischof | Registered representative | Dec 2025 (1y) | ||
| Anna Demaccino | Registered representative | Dec 2025 (1y) | ||
| Aidan Wayne Smith | Registered representative | Dec 2025 (1y) | ||
| Daniel Robert R Ambrefe | Registered representative | CFA | Dec 2025 (1y) | |
| Horacio Rodriguez | Registered representative | Dec 2025 (1y) | ||
| Leon Ciobataru | Registered representative | Dec 2025 (1y) | ||
| Nicolas Salvatore Giancotti | Registered representative | Dec 2025 (1y) | ||
| Warner Allred | Registered representative | Dec 2025 (1y) | ||
| Antwun Jarod Fleming | Registered representative | Dec 2025 (1y) | ||
| Daniel Andres De Leon | Registered representative | Dec 2025 (1y) | ||
| Ethan Scott Marcus | Registered representative | Dec 2025 (1y) | ||
| Tara Cook | Registered representative | Dec 2025 (1y) | ||
| Gary Cundall | Registered representative | Dec 2025 (1y) | ||
| Patricia Sanchez Marin | Registered representative | Dec 2025 (1y) | ||
| Rodelyn Andres Kupfersmid | Registered representative | Dec 2025 (1y) | ||
| Grant Appelbaum | Registered representative | Dec 2025 (1y) | ||
| Hanna Marie Scali | Registered representative | Dec 2025 (1y) | ||
| Ryan Edward Lapointe | Registered representative | Dec 2025 (1y) | ||
| Steven Louis La Pointe | Registered representative | Dec 2025 (1y) | ||
| Alexander Vardaro | Registered representative | Dec 2025 (1y) | ||
| Jackson Holloway Neri | Registered representative | Dec 2025 (1y) | ||
| Luc Chance Musumeci | Registered representative | Dec 2025 (1y) | ||
| Raja Joseph John Alkana | Registered representative | Dec 2025 (1y) | ||
| Ryan Jared Angerthal | Registered representative | Dec 2025 (1y) | ||
| Tyler Green Carter | Registered representative | Dec 2025 (1y) | ||
| Sarah Anne Beaulieu | Registered representative | Dec 2025 (1y) | ||
| Gage Garett Gomez | Registered representative | Dec 2025 (1y) | ||
| Michael Peter Hanifin | Registered representative | Dec 2025 (1y) | ||
| Otto Ivan Ballesteros | Registered representative | Dec 2025 (1y) | ||
| Shaista Fathima Macan Markar | Registered representative | Dec 2025 (1y) | ||
| Jason Pettinelli | Registered representative | Dec 2025 (1y) | ||
| Spencer D Barry | Registered representative | Dec 2025 (1y) | ||
| Brant Pai Roun | Registered representative | Dec 2025 (1y) | ||
| Deborah Frances Peterson | Registered representative | Dec 2025 (1y) | ||
| Devin Richard Hoffman | Registered representative | Dec 2025 (1y) | ||
| Guilherme Moreira De Araujo Santos | Registered representative | Dec 2025 (1y) | ||
| Harry Padden | Registered representative | Dec 2025 (1y) | ||
| John Jairo Zuluaga Romero | Registered representative | Dec 2025 (1y) | ||
| Luis Cardoso | Registered representative | Dec 2025 (1y) | ||
| Robert James Schneiders | Registered representative | Dec 2025 (1y) | ||
| David Andrew Moreno Laskin | Registered representative | Dec 2025 (1y) | ||
| Stephen Maxwell Speers | Registered representative | Dec 2025 (1y) | ||
| Teesha M. Quartey | Registered representative | Dec 2025 (1y) | ||
| Thomas Martin Huvane | Registered representative | Dec 2025 (1y) | ||
| Tyler Charles Coupe | Registered representative | Dec 2025 (1y) | ||
| Christian Edward Seiber | Registered representative | Dec 2025 (1y) | ||
| Romany Blanca Pinto De La Paz | Registered representative | Dec 2025 (1y) | ||
| Adam Thomas Wilcox | Registered representative | Dec 2025 (1y) | ||
| Andrew James Oliva | Registered representative | Dec 2025 (1y) | ||
| Amanda Grace Beebe | Registered representative | Dec 2025 (1y) | ||
| Chance Meier | Registered representative | Dec 2025 (1y) | ||
| Duke Ferrara | Registered representative | Dec 2025 (1y) | ||
| Jeffrey Michael Isaac | Registered representative | Dec 2025 (1y) | ||
| Lucas Anthony Wagner | Registered representative | Dec 2025 (1y) | ||
| Annick Iwanowski | Registered representative | Dec 2025 (1y) | ||
| Anya Shakti Krishnaswamy | Registered representative | Dec 2025 (1y) | ||
| Christian Camilo | Registered representative | Dec 2025 (1y) | ||
| Mohamed A Hassaneen | Registered representative | Dec 2025 (1y) | ||
| Brian Zjawiony | Registered representative | Dec 2025 (1y) | ||
| Chisomaga Kanene Obioha | Registered representative | Dec 2025 (1y) | ||
| Jeff Lowrie | Registered representative | Dec 2025 (1y) | ||
| Ashley Ann Childress | Registered representative | Jan 2026 (1y) | ||
| Gregory F Gatesman | Registered representative | Jan 2026 (1y) | ||
| Jeff Khang | Registered representative | Jan 2026 (1y) | ||
| Priscilla P Jarvis | Registered representative | Jan 2026 (1y) | ||
| Todd Evans Campbell | Registered representative | Jan 2026 (1y) | ||
| Allison Weprin | Registered representative | Jan 2026 (1y) | ||
| Litzy Altagracia Pena | Registered representative | Jan 2026 (1y) | ||
| Brian Michael Hepburn | Registered representative | Jan 2026 (1y) | ||
| Brian Alan Schrader | Registered representative | Jan 2026 (1y) | ||
| George Charles Kemp Menham | Registered representative | Jan 2026 (1y) | ||
| Joshua Jason Aloysius Moorhead | Registered representative | Jan 2026 (1y) | ||
| Molly Marie Hutton | Registered representative | Jan 2026 (1y) | ||
| Noah Seth Clevinger | Registered representative | Jan 2026 (1y) | ||
| Olivia Grace Makemson | Registered representative | Jan 2026 (1y) | ||
| Tyrrell Scott Keim | Registered representative | Jan 2026 (1y) | ||
| Angelesia Ma | Registered representative | Jan 2026 (1y) | ||
| Brett Michael Badolato | Registered representative | Jan 2026 (1y) | ||
| Hannah Grace O'shea | Registered representative | Jan 2026 (1y) | ||
| Lily Coyne | Registered representative | Jan 2026 (1y) | ||
| Mateo Salvidea Rodriguez | Registered representative | Jan 2026 (1y) | ||
| Samuel Aaron Lieberman | Registered representative | Jan 2026 (1y) | ||
| Markus Doeyun Han | Registered representative | Jan 2026 (1y) | ||
| Noelle M Bond | Registered representative | Jan 2026 (1y) | ||
| Tracy L Cairoli | Registered representative | Jan 2026 (1y) | ||
| Azeem Shah | Registered representative | Jan 2026 (1y) | ||
| Ethan Clark Dycus | Registered representative | Jan 2026 (1y) | ||
| Quinn Liddy | Registered representative | Jan 2026 (1y) | ||
| Richelle Elizabeth Hede | Registered representative | Jan 2026 (1y) | ||
| Alison Barnes | Registered representative | Jan 2026 (1y) | ||
| Benjamin Sasaki | Registered representative | Jan 2026 (1y) | ||
| Oliver Palone | Registered representative | Jan 2026 (1y) | ||
| Spencer Chippi | Registered representative | Jan 2026 (1y) | ||
| Cameron Nicholas Slabbert | Registered representative | Jan 2026 (1y) | ||
| Debra Diane Galbraith | Registered representative | Jan 2026 (1y) | ||
| Daniel Delarosa | Registered representative | Jan 2026 (1y) | ||
| Jacob Manuel Granados | Registered representative | Jan 2026 (1y) | ||
| Joshua Michael Lovit | Registered representative | Jan 2026 (1y) | ||
| Leonardo Wilson Edo | Registered representative | Jan 2026 (1y) | ||
| Andrew Lee Dubinsky | Registered representative | Jan 2026 (1y) | ||
| Christopher Angelo Di Felice | Registered representative | Jan 2026 (1y) | ||
| Garrett Craig Roberts | Registered representative | Jan 2026 (1y) | ||
| Nicholas James Dailey | Registered representative | Jan 2026 (1y) | ||
| Mary Osei Ampong | Registered representative | Jan 2026 (1y) | ||
| Caesar Alaa Abed | Registered representative | Jan 2026 (1y) | ||
| Diana E Mendoza | Registered representative | Jan 2026 (1y) | ||
| Ethan Todd Infranco | Registered representative | Jan 2026 (1y) | ||
| Jeffrey James Miller | Registered representative | Jan 2026 (1y) | ||
| Jonea Glaspie | Registered representative | Jan 2026 (1y) | ||
| Olivia Severa | Registered representative | Jan 2026 (1y) | ||
| Teresa Rondas Christofaro | Registered representative | Jan 2026 (1y) | ||
| Brandon Chan | Registered representative | Jan 2026 (1y) | ||
| Charles Gardner Park | Registered representative | Jan 2026 (1y) | ||
| Mateaia Lovejoy | Registered representative | Jan 2026 (1y) | ||
| Tzu Jung Huang | Registered representative | Jan 2026 (1y) | ||
| Amanda Millen Jane Cole | Registered representative | Jan 2026 (1y) | ||
| Elizabeth Birdie Stewart | Registered representative | Jan 2026 (1y) | ||
| Jason Scott Hiebenthal | Registered representative | Jan 2026 (1y) | ||
| Mark Boutros | Registered representative | Jan 2026 (1y) | ||
| Garrett Michael Quady | Registered representative | Jan 2026 (1y) | ||
| George Charles Lindberg | Registered representative | Jan 2026 (1y) | ||
| Luka Mikadze | Registered representative | Jan 2026 (1y) | ||
| Michael Patrick O'deens | Registered representative | Jan 2026 (1y) | ||
| Patricia Supan Bacho | Registered representative | Jan 2026 (1y) | ||
| Aubrey Rose Ramey | Registered representative | Jan 2026 (1y) | ||
| Jaisel Amee Alagiri | Registered representative | Jan 2026 (1y) | ||
| Tejas Mangesh Lolge | Registered representative | Jan 2026 (1y) | ||
| Fung Tien Shia | Registered representative | CFA | Jan 2026 (1y) | |
| Maria Carmelita Voigt | Registered representative | Jan 2026 (1y) | ||
| Wyatt Pratt | Registered representative | Jan 2026 (1y) | ||
| Brandon Scott Marohn | Registered representative | Jan 2026 (1y) | ||
| Ansley R Mellette | Registered representative | Jan 2026 (1y) | ||
| Alexsandro Angulo | Registered representative | Jan 2026 (1y) | ||
| Natalie Carrasco Martinez | Registered representative | Jan 2026 (1y) | ||
| Thomas Robert Findlay | Registered representative | Jan 2026 (1y) | ||
| Taylor Magnolia Weinstein | Registered representative | Jan 2026 (1y) | ||
| Lynne Dardis Pesce | Registered representative | Jan 2026 (1y) | ||
| Michael Rondini Osterberg | Registered representative | Jan 2026 (1y) | ||
| Chase Adrian Marion | Registered representative | Jan 2026 (1y) | ||
| Jake Jolstad | Registered representative | Jan 2026 (1y) | ||
| Kody Paul Gabay | Registered representative | Jan 2026 (1y) | ||
| Jeisier Raul Gonzalez | Registered representative | Feb 2026 (0y) | ||
| Jeffrey Kim | Registered representative | Feb 2026 (0y) | ||
| Kannon Rojhe Cropper | Registered representative | Feb 2026 (0y) | ||
| Kate Genevieve Mielke | Registered representative | Feb 2026 (0y) | ||
| Marina Matthews | Registered representative | Feb 2026 (0y) | ||
| Michael Barbaro Barnett | Registered representative | Feb 2026 (0y) | ||
| Michael Lance Lance Mc Kay Jr. | Registered representative | Feb 2026 (0y) | ||
| Parker William Smith | Registered representative | Feb 2026 (0y) | ||
| Zachary Joseph Ventrice | Registered representative | Feb 2026 (0y) | ||
| Emily Chin | Registered representative | Feb 2026 (0y) | ||
| Enoch Hyunmin Woo | Registered representative | Feb 2026 (0y) | ||
| Timothy Vibert | Registered representative | Feb 2026 (0y) | ||
| Gabrielle E'lis Soto | Registered representative | Feb 2026 (0y) | ||
| Ivelisse Moreno Guzman | Registered representative | Feb 2026 (0y) | ||
| Owen Sanford Stryker | Registered representative | Feb 2026 (0y) | ||
| Andrew Joseph Senna | Registered representative | Feb 2026 (0y) | ||
| Gabriel B Trigo Pou | Registered representative | Feb 2026 (0y) | ||
| Ha P Nguyen | Registered representative | Feb 2026 (0y) | ||
| Mark Eben Lilley | Registered representative | Feb 2026 (0y) | ||
| Ian James Spencer | Registered representative | Feb 2026 (0y) | ||
| Roland Antoun | Registered representative | Feb 2026 (0y) | ||
| Amit Patel | Registered representative | Feb 2026 (0y) | ||
| Brady Joseph Remshak | Registered representative | Feb 2026 (0y) | ||
| Carlos Jose Matos | Registered representative | Feb 2026 (0y) | ||
| David Lee | Registered representative | Feb 2026 (0y) | ||
| David Sieburg | Registered representative | Feb 2026 (0y) | ||
| Ethan Tyler Wilson | Registered representative | Feb 2026 (0y) | ||
| Larson Fox Inauen | Registered representative | Feb 2026 (0y) | ||
| Nathan Ho | Registered representative | Feb 2026 (0y) | ||
| Taylor Mahlandt | Registered representative | Feb 2026 (0y) | ||
| Curtis Larry Newton | Registered representative | Feb 2026 (0y) | ||
| John Dominic De Felice | Registered representative | Feb 2026 (0y) | ||
| Yasha Maylamyan | Registered representative | Feb 2026 (0y) | ||
| Braden Miller | Registered representative | Feb 2026 (0y) | ||
| John Mc Greevy Renaghan | Registered representative | Feb 2026 (0y) | ||
| Marco De Pasquale | Registered representative | Feb 2026 (0y) | ||
| Monica L Cuan | Registered representative | Feb 2026 (0y) | ||
| Rejane R Abreu | Registered representative | Feb 2026 (0y) | ||
| Christopher James Immoos | Registered representative | Feb 2026 (0y) | ||
| Declan Robert Connolly | Registered representative | Feb 2026 (0y) | ||
| Maria Alexandra Papapetropoulou | Registered representative | Feb 2026 (0y) | ||
| Sophia Grazioli | Registered representative | Feb 2026 (0y) | ||
| Jax Jensen Goldberg | Registered representative | Feb 2026 (0y) | ||
| Jennifer H. O'sullivan | Registered representative | Feb 2026 (0y) | ||
| Sophie Foerester Courts | Registered representative | Feb 2026 (0y) | ||
| Sanchit Suneja | Registered representative | Feb 2026 (0y) | ||
| Edrix M Paradizo | Registered representative | Feb 2026 (0y) | ||
| Nicholas Anthony Coppola | Registered representative | Feb 2026 (0y) | ||
| Bennett Charles Firestein | Registered representative | Feb 2026 (0y) | ||
| Alexa Morin | Registered representative | Feb 2026 (0y) | ||
| Alexander Daniel Kosan | Registered representative | Feb 2026 (0y) | ||
| Griffin Turner | Registered representative | Feb 2026 (0y) | ||
| Reed Eisenhauer | Registered representative | Feb 2026 (0y) | ||
| Samuel Von Duhn | Registered representative | Feb 2026 (0y) | ||
| Barrett F Mc Aree | Registered representative | Feb 2026 (0y) | ||
| Bryant Villa | Registered representative | Feb 2026 (0y) | ||
| Jason Beutel | Registered representative | Feb 2026 (0y) | ||
| Alexander Fishbone | Registered representative | Feb 2026 (0y) | ||
| Cassandra D Scalia | Registered representative | Feb 2026 (0y) | ||
| Nicholas Stavros Nalbatian | Registered representative | Feb 2026 (0y) | ||
| Renee Dalal Dawson | Registered representative | Feb 2026 (0y) | ||
| Yiting Wang | Registered representative | Feb 2026 (0y) | ||
| Elizabeth Wilder | Registered representative | Feb 2026 (0y) | ||
| Erika Martinez | Registered representative | Feb 2026 (0y) | ||
| Elizabeth Jean Yermes | Registered representative | Feb 2026 (0y) | ||
| Erika Hernandez | Registered representative | Feb 2026 (0y) | ||
| Joshua J Yeager | Registered representative | Feb 2026 (0y) | ||
| Paul Marie Adam | Registered representative | Feb 2026 (0y) | ||
| Rachel Rosenbaum | Registered representative | Feb 2026 (0y) | ||
| Wassim Mahmoud Abifaker | Registered representative | Feb 2026 (0y) | ||
| Adrianna Madeleine Carol Wirth | Registered representative | Mar 2026 (0y) | ||
| Alec Thomas Mahoney | Registered representative | Mar 2026 (0y) | ||
| Andres S Archbold | Registered representative | Mar 2026 (0y) | ||
| Anthony Nicholas Colarusso | Registered representative | Mar 2026 (0y) | ||
| Carver Davis Lutz | Registered representative | Mar 2026 (0y) | ||
| German Antonio Ramirez De Arellano | Registered representative | Mar 2026 (0y) | ||
| Leonard Peyton Sun | Registered representative | Mar 2026 (0y) | ||
| Michail Angelis | Registered representative | Mar 2026 (0y) | ||
| Eva Costa Rubio | Registered representative | Mar 2026 (0y) | ||
| Gabriela Alexandra Mercado Burgos | Registered representative | Mar 2026 (0y) | ||
| Matthew Charles Lang | Registered representative | Mar 2026 (0y) | ||
| Dorian Gonzalez Jr | Registered representative | Mar 2026 (0y) | ||
| Maggie Louise Murphy | Registered representative | Mar 2026 (0y) | ||
| Alejandra Carrasco | Registered representative | Mar 2026 (0y) | ||
| Owen Harrison Tabor | Registered representative | Mar 2026 (0y) | ||
| Burak Geduk | Registered representative | Mar 2026 (0y) | ||
| Jake Kazuo Sasaki | Registered representative | Mar 2026 (0y) | ||
| Patricia Maria Mc Carthy | Registered representative | Mar 2026 (0y) | ||
| Rylie Olivia Duncan | Registered representative | Mar 2026 (0y) | ||
| Alec Marcus Umutyan | Registered representative | Mar 2026 (0y) | ||
| Corinne Marie Chooey Dizon | Registered representative | Mar 2026 (0y) | ||
| Karl William Schlierf | Registered representative | Mar 2026 (0y) | ||
| Kenneth Lamar Walton | Registered representative | Mar 2026 (0y) | ||
| Adriana C Winterson | Registered representative | Mar 2026 (0y) | ||
| Cameron Lee Remigio | Registered representative | Mar 2026 (0y) | ||
| Craig Allan Campbell | Registered representative | Mar 2026 (0y) | ||
| Hannah Elizabeth Miller | Registered representative | Mar 2026 (0y) | ||
| Jessica Bonfim Dos Santos | Registered representative | Mar 2026 (0y) | ||
| Kerianne Elyse Cummings | Registered representative | Mar 2026 (0y) | ||
| Luca Caligo | Registered representative | Mar 2026 (0y) | ||
| Melissa Ann Amler | Registered representative | Mar 2026 (0y) | ||
| Doris H Talamo | Registered representative | Mar 2026 (0y) | ||
| Lauren Elizabeth Mc Redmond | Registered representative | Mar 2026 (0y) | ||
| Miguel Perez Pena | Registered representative | Mar 2026 (0y) | ||
| Theresa Rose Valero | Registered representative | Mar 2026 (0y) | ||
| Tyler Lawrence Jacobs Ruscher | Registered representative | Mar 2026 (0y) | ||
| Benjamin Grayson | Registered representative | Mar 2026 (0y) | ||
| Kartik Challa | Registered representative | Mar 2026 (0y) | ||
| Leonardo Brame | Registered representative | Mar 2026 (0y) | ||
| Parker Stockmoe | Registered representative | Mar 2026 (0y) | ||
| Timothy Paul Coughlin | Registered representative | Mar 2026 (0y) | ||
| Wenyi Wang | Registered representative | Mar 2026 (0y) | ||
| Arnoldo Trionfi | Registered representative | Mar 2026 (0y) | ||
| Connor Ethan Theriault | Registered representative | Mar 2026 (0y) | ||
| Lee Alan Cumming | Registered representative | Mar 2026 (0y) | ||
| Lesley Ray Loggins | Registered representative | Mar 2026 (0y) | ||
| Michael Grant Wheat | Registered representative | CFP | Mar 2026 (0y) | |
| Nathan Duchene | Registered representative | Mar 2026 (0y) | ||
| William Patrick Landers | Registered representative | Mar 2026 (0y) | ||
| Christopher Cabot Murman | Registered representative | Mar 2026 (0y) | ||
| Imauchechim Agba | Registered representative | Mar 2026 (0y) | ||
| Jaden Anthony Quinerly | Registered representative | Mar 2026 (0y) | ||
| Martin C Labowicz | Registered representative | Mar 2026 (0y) | ||
| Brittney Stephens | Registered representative | Mar 2026 (0y) | ||
| Owen Kevin Lillis | Registered representative | Mar 2026 (0y) | ||
| Jason E Ross | Registered representative | Mar 2026 (0y) | ||
| Arda Seza Okcuoglu | Registered representative | Mar 2026 (0y) | ||
| Macnair Adam Sawicki | Registered representative | Mar 2026 (0y) | ||
| Matthew Robinson | Registered representative | Mar 2026 (0y) | ||
| Yuqing Zhang | Registered representative | Mar 2026 (0y) | ||
| Bradford Jones | Registered representative | Mar 2026 (0y) | ||
| Natalie Abraham | Registered representative | CFP Chartered Financial Consultant | Mar 2026 (0y) | |
| Sahil Chonkar | Registered representative | Mar 2026 (0y) | ||
| Andres Sotomayor | Registered representative | Mar 2026 (0y) | ||
| Daniel Angulo | Registered representative | Mar 2026 (0y) | ||
| Erik James Lyon | Registered representative | Mar 2026 (0y) | ||
| Joaquin Gamero Pendola | Registered representative | Mar 2026 (0y) | ||
| Pamela Boodhoo | Registered representative | Mar 2026 (0y) | ||
| Artemiy Vladimir Thayer | Registered representative | Mar 2026 (0y) | ||
| Jammie Lee Ann Hunter | Registered representative | Mar 2026 (0y) | ||
| Milana Chafkar | Registered representative | Mar 2026 (0y) | ||
| Peter James Corsi | Registered representative | Mar 2026 (0y) | ||
| Raya Ann Farooque | Registered representative | Mar 2026 (0y) | ||
| Taro Higashi Zimmerman | Registered representative | Mar 2026 (0y) | ||
| Devyn Vasiliki Marinos | Registered representative | Mar 2026 (0y) | ||
| Alex Gordon Hill | Registered representative | Mar 2026 (0y) | ||
| Gabrielle Finn | Registered representative | Mar 2026 (0y) | ||
| Joseph Clay Young | Registered representative | Mar 2026 (0y) | ||
| Molly Steers Dunlap | Registered representative | Mar 2026 (0y) | ||
| Nikhil Miraj | Registered representative | Mar 2026 (0y) | ||
| Owen Fuller | Registered representative | Mar 2026 (0y) | ||
| Ricci Anne Reyes | Registered representative | Mar 2026 (0y) | ||
| Sifa Butcher | Registered representative | Mar 2026 (0y) | ||
| Christopher Carl Andersen | Registered representative | CFA | Apr 2026 (0y) | |
| David Kelly | Registered representative | Apr 2026 (0y) | ||
| Edward Eccles | Registered representative | Apr 2026 (0y) | ||
| Eileen Wong | Registered representative | Apr 2026 (0y) | ||
| Kency Azurdia | Registered representative | Apr 2026 (0y) | ||
| Carly Bernstein | Registered representative | Apr 2026 (0y) | ||
| Elan Hiutin | Registered representative | Apr 2026 (0y) | ||
| Jarrett K Brant | Registered representative | Apr 2026 (0y) | ||
| Joseph Clement Cagnazzo | Registered representative | Apr 2026 (0y) | ||
| Mark Thomas Giordano | Registered representative | Apr 2026 (0y) | ||
| Jason Thomas Copella | Registered representative | Apr 2026 (0y) | ||
| Nicholas Persha | Registered representative | Apr 2026 (0y) | ||
| Anthony Francis Hartigan | Registered representative | Apr 2026 (0y) | ||
| Ethan Isaac Gail | Registered representative | Apr 2026 (0y) | ||
| Hailey Jo Howard | Registered representative | Apr 2026 (0y) | ||
| Jake Torebek Gallin | Registered representative | Apr 2026 (0y) | ||
| Nitin Sai Mamidi | Registered representative | Apr 2026 (0y) | ||
| Pierluigi Bottrighi | Registered representative | Apr 2026 (0y) | ||
| Riley West Cooper | Registered representative | Apr 2026 (0y) | ||
| Aidan Matthew Fegley | Registered representative | Apr 2026 (0y) | ||
| Adriana Cajigas | Registered representative | Apr 2026 (0y) | ||
| Alexi Christina Thijssen | Registered representative | Apr 2026 (0y) | ||
| Carter Joseph Chambers | Registered representative | Apr 2026 (0y) | ||
| Cole Kenneth Bailey | Registered representative | Apr 2026 (0y) | ||
| Desmond Wilson | Registered representative | Apr 2026 (0y) | ||
| John Patrick Ryan Leahy | Registered representative | Apr 2026 (0y) | ||
| Jose David Venegas Llorente | Registered representative | Apr 2026 (0y) | ||
| Juwan Jung | Registered representative | Apr 2026 (0y) | ||
| Sarah Grace Beatty | Registered representative | Apr 2026 (0y) | ||
| Timothy Max Kozhukhov | Registered representative | Apr 2026 (0y) | ||
| Trenton Paul Thelen | Registered representative | Apr 2026 (0y) | ||
| Nathan Isaac Schmid | Registered representative | Apr 2026 (0y) | ||
| Harrison R Monaco | Registered representative | Apr 2026 (0y) | ||
| Madison Ye Bin Lee | Registered representative | Apr 2026 (0y) | ||
| Samuel Dawson Fisher | Registered representative | Apr 2026 (0y) | ||
| Samanta Isabel Perez Rincon | Registered representative | Apr 2026 (0y) | ||
| Victoria Pietruszewski | Registered representative | Apr 2026 (0y) | ||
| Ricot Chancy | Registered representative | Apr 2026 (0y) | ||
| Ali Hakim | Registered representative | Apr 2026 (0y) | ||
| Riley Christian Baker | Registered representative | Apr 2026 (0y) | ||
| Adam Mustafic | Registered representative | Apr 2026 (0y) | ||
| Clinton J Mc Gowan | Registered representative | Apr 2026 (0y) | ||
| Judy M Chen | Registered representative | Apr 2026 (0y) | ||
| John Randolph Burks | Registered representative | Apr 2026 (0y) | ||
| Kirk William Bori | Registered representative | Apr 2026 (0y) | ||
| Paul D Katerndahl | Registered representative | Apr 2026 (0y) | ||
| Camiel Nicolas Verburgt | Registered representative | Apr 2026 (0y) | ||
| Noelle Calara | Registered representative | Apr 2026 (0y) | ||
| Wells Sutton Armes | Registered representative | Apr 2026 (0y) | ||
| Alexis Audisio | Registered representative | Apr 2026 (0y) | ||
| Adelaide Grace Siers | Registered representative | Apr 2026 (0y) | ||
| Jason James Zitter | Registered representative | Apr 2026 (0y) | ||
| Justin Hatch | Registered representative | Apr 2026 (0y) | ||
| Ronald Conor Alcott | Registered representative | CFP | Apr 2026 (0y) | |
| Carmen J Cox | Registered representative | Apr 2026 (0y) | ||
| Elizabeth Lynn Sprinkle | Registered representative | Apr 2026 (0y) | ||
| Jennifer Sales Sorto | Registered representative | Apr 2026 (0y) | ||
| Christopher Alexander Lott | Registered representative | Apr 2026 (0y) | ||
| Arij Ezz Eldine Chehayeb | Registered representative | Apr 2026 (0y) | ||
| Benjamin Liam Bartley Cohen | Registered representative | Apr 2026 (0y) | ||
| Esther Hanon | Registered representative | Apr 2026 (0y) | ||
| Tatum Zupnik | Registered representative | Apr 2026 (0y) | ||
| Luke Aaron Naes | Registered representative | Apr 2026 (0y) | ||
| Michael E Brown | Registered representative | Apr 2026 (0y) | ||
| Adam V Mac Leod | Registered representative | Apr 2026 (0y) | ||
| Anthony James Galeotafiore | Registered representative | Apr 2026 (0y) | ||
| Charlie Chandler | Registered representative | Apr 2026 (0y) | ||
| Jennifer Lynn Mc Kinley | Registered representative | Apr 2026 (0y) | ||
| John Clayton Randall | Registered representative | Apr 2026 (0y) | ||
| Jonathan L Beukelman | Registered representative | Apr 2026 (0y) | ||
| Maria Frances Vitullo | Registered representative | Apr 2026 (0y) | ||
| Oliver M Fitch | Registered representative | Apr 2026 (0y) | ||
| Jack Connor Scherer | Registered representative | May 2026 (0y) | ||
| Timothy Richard Gold | Registered representative | May 2026 (0y) | ||
| Bei Xiong | Registered representative | May 2026 (0y) | ||
| Jordan Erika Gomes | Registered representative | May 2026 (0y) | ||
| Harlan Shaw Levinson | Registered representative | May 2026 (0y) | ||
| Jeremy Autry | Registered representative | May 2026 (0y) | ||
| Kyle Katz | Registered representative | May 2026 (0y) | ||
| Louis Felix Vargas | Registered representative | May 2026 (0y) | ||
| Samuel Rogan Burchenal | Registered representative | May 2026 (0y) | ||
| Haden Pennington | Registered representative | May 2026 (0y) | ||
| Mitchell Hansen | Registered representative | May 2026 (0y) | ||
| Owen Thomas Corbutt | Registered representative | May 2026 (0y) | ||
| Kathryn Marie Viste | Registered representative | May 2026 (0y) | ||
| Taylor Wan | Registered representative | CFP | May 2026 (0y) | |
| Vinicius Moreira Lanza | Registered representative | May 2026 (0y) | ||
| Angelina Lolita Rosalie | Registered representative | May 2026 (0y) | ||
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| Kiera Lynn Hennessy | Registered representative | May 2026 (0y) | ||
| Maria Valentina Lopez | Registered representative | May 2026 (0y) | ||
| Amy Heald Peeples | Registered representative | May 2026 (0y) | ||
| Cinthya J Lock | Registered representative | May 2026 (0y) | ||
| Elizabeth Ann Knott | Registered representative | May 2026 (0y) | ||
| Adisesh Venkatesh | Registered representative | May 2026 (0y) | ||
| Brendan Matthew Bean | Registered representative | May 2026 (0y) | ||
| Michele Marie Romano | Registered representative | May 2026 (0y) | ||
| Matheus De Souza | Registered representative | May 2026 (0y) | ||
| Matthew Osder | Registered representative | May 2026 (0y) | ||
| Brian Taveras | Registered representative | May 2026 (0y) | ||
| Anne Widder | Registered representative | May 2026 (0y) | ||
| Connor Edward Caplinger | Registered representative | May 2026 (0y) | ||
| Flint T Schuller | Registered representative | May 2026 (0y) | ||
| Gracyn Maretta Maretta Bertucci | Registered representative | May 2026 (0y) | ||
| Julia Blake Getzoff | Registered representative | May 2026 (0y) | ||
| Michael Anthony Bonomo | Registered representative | May 2026 (0y) | ||
| Sofia Del Pilar Febres Rosado | Registered representative | May 2026 (0y) | ||
| Therese Elizabeth Stanko | Registered representative | May 2026 (0y) | ||
| Dustin Nate Koenig | Registered representative | May 2026 (0y) | ||
| Jeremy Leon | Registered representative | May 2026 (0y) | ||
| Jiaxi Mo | Registered representative | May 2026 (0y) | ||
| Madalyn Danielle Gibbons | Registered representative | May 2026 (0y) | ||
| Remi Lizzio | Registered representative | May 2026 (0y) | ||
| John Evoy Mallahan | Registered representative | May 2026 (0y) | ||
| Rachel Roanne Gutierrez | Registered representative | May 2026 (0y) | ||
| Yaohua Zhu | Registered representative | May 2026 (0y) | ||
| Arthur J A Oien | Registered representative | May 2026 (0y) | ||
| Samuel Blake Eisner | Registered representative | May 2026 (0y) | ||
| Sean Nocera | Registered representative | May 2026 (0y) | ||
| Maria Mardis | Registered representative | May 2026 (0y) | ||
| Charles Harry Kayl | Registered representative | May 2026 (0y) | ||
| Maxwell I Goldstein | Registered representative | May 2026 (0y) | ||
| Natalie C Jacobs | Registered representative | May 2026 (0y) | ||
| Jennifer Rose Ward | Registered representative | May 2026 (0y) | ||
| Semhar Woldeslassie | Registered representative | May 2026 (0y) | ||
| Lara Anne Pokutta | Registered representative | May 2026 (0y) | ||
| Camile Infante | Registered representative | Jun 2026 (0y) | ||
| Eleanor Curren Paskalides | Registered representative | Jun 2026 (0y) | ||
| Gavin James Doyle | Registered representative | Jun 2026 (0y) | ||
| Madison Jade Barich | Registered representative | Jun 2026 (0y) | ||
| Scout Jacob Michael Zaas | Registered representative | Jun 2026 (0y) | ||
| Vincent Matthew Aquino | Registered representative | Jun 2026 (0y) | ||
| Adam Bruce Link | Registered representative | Jun 2026 (0y) | ||
| Cody Ray Flatt | Registered representative | Jun 2026 (0y) | ||
| Clifton Blanche Carragher | Registered representative | Jun 2026 (0y) | ||
| Joshua Belitha Tillman | Registered representative | Jun 2026 (0y) | ||
| Luke Allison | Registered representative | Jun 2026 (0y) | ||
| Romeo Habash | Registered representative | Jun 2026 (0y) | ||
| Derek Richard Sabaugh | Registered representative | Jun 2026 (0y) | ||
| Laura Suzanne Coelingh | Registered representative | Jun 2026 (0y) | ||
| Max Cohen | Registered representative | Jun 2026 (0y) | ||
| Alison Elizabeth Miller | Registered representative | Jun 2026 (0y) | ||
| Matthew Dow Teems | Registered representative | Jun 2026 (0y) | ||
| Anthony Robert Paolini | Registered representative | Jun 2026 (0y) | ||
| Robert James Kraut | Registered representative | Jun 2026 (0y) | ||
| Evan Clarke D Herete | Registered representative | Jun 2026 (0y) | ||
| Brandon Luis Valentin | Registered representative | Jun 2026 (0y) | ||
| Evan Mcgrath | Registered representative | Jun 2026 (0y) | ||
| Kyle Ashmore | Registered representative | Jun 2026 (0y) | ||
| Richard Becker Garnett | Registered representative | Jun 2026 (0y) | ||
| Victoria Amber Lieb | Registered representative | Jun 2026 (0y) | ||
| Christopher William Shaw | Registered representative | Jun 2026 (0y) | ||
| Liam Robert Sawchuk | Registered representative | Jun 2026 (0y) | ||
| Jenny Gordon | Registered representative | Jun 2026 (0y) | ||
| Asif M Bhally | Registered representative | Jun 2026 (0y) | ||
| Federico Wabnik | Registered representative | Jun 2026 (0y) | ||
| Eric Brereton Young | Registered representative | Jun 2026 (0y) | ||
| Francis Michael De Sario | Registered representative | Jun 2026 (0y) | ||
| Nathan Baga | Registered representative | Jun 2026 (0y) | ||
| Nora Bridget Sullivan | Registered representative | Jun 2026 (0y) | ||
| Paul Lewis | Registered representative | CFP | Jun 2026 (0y) | |
| Thomas J Mullooly | Registered representative | CFP | Jun 2026 (0y) | |
| Lea Joan Vigi | Registered representative | Jun 2026 (0y) | ||
| Parker Ryan Piwinski | Registered representative | Jun 2026 (0y) | ||
| Sheldon Lavell Ray | Registered representative | Jun 2026 (0y) | ||
| Alexandria Peirce | Registered representative | Jun 2026 (0y) | ||
| Emmett Robert Burnside | Registered representative | Jun 2026 (0y) | ||
| Martha Ann Spaeth | Registered representative | Jun 2026 (0y) | ||
| Alexander Joseph Cintron | Registered representative | Jun 2026 (0y) | ||
| Colby Russell Robbins | Registered representative | Jun 2026 (0y) | ||
| Catherine Baron | Registered representative | Jun 2026 (0y) | ||
| Daniel Brock Hooper | Registered representative | Jun 2026 (0y) | ||
| Delvis Dominguez | Registered representative | Jun 2026 (0y) | ||
| Juan Antonio Sanchez Brana | Registered representative | CFA | Jun 2026 (0y) | |
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| Stephen Sorensen | Registered representative | Jun 2026 (0y) | ||
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| Carson Doles | Registered representative | Jun 2026 (0y) | ||
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| Jorge Ibarra Tello | Registered representative | Jun 2026 (0y) | ||
| Michael Wellins | Registered representative | Jun 2026 (0y) | ||
| Pierce James Blalock | Registered representative | Jun 2026 (0y) | ||
| Steven Hoverson | Registered representative | Jun 2026 (0y) | ||
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| Kurt Ryan Wright | Registered representative | Jun 2026 (0y) | ||
| Leslie Wan | Registered representative | Jun 2026 (0y) | ||
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| Christopher Joseph Sonde | Registered representative | Jul 2026 (0y) | ||
| Christopher Nolan Reimer | Registered representative | Jul 2026 (0y) | ||
| Erin Elizabeth Adams | Registered representative | Jul 2026 (0y) | ||
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| Andres Jury Masvidal | Registered representative | Jul 2026 (0y) | ||
| Egle Bakunaite | Registered representative | Jul 2026 (0y) | ||
| Steven Vincent Sabatini | Registered representative | Jul 2026 (0y) | ||
| Elena L Mayanja | Registered representative | Jul 2026 (0y) | ||
| Rene Elias Marin | Registered representative | Jul 2026 (0y) | ||
| Sally A Venditti | Registered representative | Jul 2026 (0y) | ||
| Colin Michael Mc Spedon | Registered representative | Jul 2026 (0y) | ||
| Lindsey Nicole Rickards | Registered representative | Jul 2026 (0y) | ||
| Sarah W Robinson | Registered representative | Jul 2026 (0y) | ||
| Tricia L. L Graven | Registered representative | Jul 2026 (0y) | ||
| Evian Clutch | Registered representative | Jul 2026 (0y) | ||
| Kevin Wilczek | Registered representative | Jul 2026 (0y) | ||
| Liana Danyel Shapiro | Registered representative | Jul 2026 (0y) | ||
| Robert Scott Manor | Registered representative | Jul 2026 (0y) | ||
| Theo Emil Rainey | Registered representative | Jul 2026 (0y) | ||
| Jeff Scott Nagle | Registered representative | Jul 2026 (0y) | ||
| Samuel Jonathan Duckett | Registered representative | Jul 2026 (0y) | ||
| Terrie Lynn Fuentes | Registered representative | Jul 2026 (0y) | ||
| Caroline Mary Devir | Registered representative | Jul 2026 (0y) | ||
| Michelle Pathrose | Registered representative | Jul 2026 (0y) | ||
| Parker Wiseman | Registered representative | Jul 2026 (0y) | ||
| Joshua Lee Carlson | Registered representative | Jul 2026 (0y) | ||
| Kaitlyn Elizabeth Paschke | Registered representative | Jul 2026 (0y) | ||
| Luis Ramirez | Registered representative | Jul 2026 (0y) | ||
| Jonathan Raymond Hofmann | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Ubs Americas Inc. | Owner | Nov 2000 | A | 75% or more |
| Ubs Ag | Shareholder | Nov 2001 | B | ≈ 42.19% – 100% via Ubs Americas Holding Llc |
| Ubs Group Ag | Shareholder | Nov 2014 | B | ≈ 31.64% – 100% via Ubs Ag |
| Ubs Americas Holding Llc | Shareholder | Aug 2015 | B | ≈ 56.25% – 100% via Ubs Americas Inc. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Ubs Ag: 75% – 100% of Ubs Americas Holding Llc × 75% – 100% of Ubs Americas Inc. × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Ubs Group Ag: 75% – 100% of Ubs Ag × 75% – 100% of Ubs Americas Holding Llc × 75% – 100% of Ubs Americas Inc. × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Ubs Americas Holding Llc: 75% – 100% of Ubs Americas Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (100)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Greystone Employee Services, Llc 401(k) Plan | Greystone Employee Services, Llc | 0 | $0 | 01/01/2025 |
| Eagle Physicians And Associates, P.A. Employees' Savings And Retirement Plan | Eagle Physicians And Associates, P.A | 377 | $82.4M | 10/01/2024 |
| Schenk Packing Co., Inc. Money Purchase Pension Plan | Schenk Packing Co., Inc. | 229 | $7.7M | 10/01/2024 |
| Olson Oil Company 401(k) Profit Sharing Plan | Olson Oil Company | 301 | $4.8M | 10/01/2024 |
| Cherrylake's 401(k) Plan | I.M.G. Enterprise Inc | 441 | $7.1M | 07/01/2024 |
| Community Alternatives Unlimited 401(k) Plan | Community Alternatives Unlimited | 152 | $23.5M | 07/01/2024 |
| Itech Ag, Llc 401(k) Plan | Itech Ag, Llc | 156 | $6.7M | 07/01/2024 |
| Hope House Foundation, Inc. 401(k) Profit Sharing Plan | Hope House Foundation, Inc. | 190 | $9.5M | 07/01/2024 |
| Success Academy Charter Schools Retirement Plan | Success Academy Charter Schools | 3,205 | $135M | 07/01/2024 |
| Roofers Local No. 74/ No. 203 Pension Plan | Board Of Trustees, Roofers Local No. 74/No. 203 Pension Fund | 322 | $77.7M | 07/01/2024 |
| Operating Engineers Local 12 Defined Contribution Trust | Board Of Trustees, Operating Engineers Local 12 | 21,373 | $518M | 07/01/2024 |
| The Lakes Country Club Association, Inc. 401(k) Plan | The Lakes Country Club Association, Inc. | 176 | $6.7M | 07/01/2024 |
| Whitney Museum Of American Art Retirement Plan | Whitney Museum Of American Art | 63 | $12.1M | 07/01/2024 |
| Landau Associates, Inc. 401(k) Profit Sharing Plan | Landau Associates, Inc. | 150 | $18.5M | 07/01/2024 |
| New Road Schools Of New Jersey, Inc. 401(k) Savings Plan | New Road Schools Of New Jersey, Inc. | 152 | $15.0M | 07/01/2024 |
| Maunalani Nursing And Rehabilitation Center 401(k) Retirement Plan | Maunalani Nursing And Rehabilitation Center | 129 | $7.0M | 07/01/2024 |
| Ergon 401(k) Plan | Ergon, Inc. | 3,816 | $771M | 07/01/2024 |
| Xtek Inc Employee Savings Plan | Xtek Inc | 315 | $33.1M | 07/01/2024 |
| Robinson 401(k) Profit Sharing Plan | Robinson, Inc. | 742 | $45.2M | 07/01/2024 |
| Willow Run Foods Inc. 401(k) Plan | Willow Run Foods, Inc. | 319 | $8.6M | 07/01/2024 |
| Local 138, 138 A, 138 B & 138 C Internati Of Operating Engineers Annuity Fund | Board Of Trustees Local 138, 138 A, 138 B & 138 C Iuoe Annuity Fund | 1,406 | $390M | 07/01/2024 |
| Roofers Local No. 74/203 Annuity Plan | Board Of Trustees Roofers Local No. 74/203 Annuity Fund | 592 | $9.5M | 06/01/2024 |
| Spokane United Methodist Homes, Inc Defined Benefit Pension Plan | Spokane United Methodist Homes, Inc | 102 | $16.5M | 06/01/2024 |
| Wsm Industries Profit Sharing 401(k) Plan | Wsm Industries | 214 | $18.0M | 05/01/2024 |
| Southeast Laborers Supplemental Pension Fund | Board Of Trustees Southeast Laborers Supplemental Pension Fund | 7,142 | $48.7M | 05/01/2024 |
Top 25 of 100 plans by assets.
From Form 5500 service-provider disclosures.
Foundations & charities (12)
| Organization | Type | Assets | As of |
|---|---|---|---|
| The Francis Ouimet Scholarship Fund Inc | Public charity | $33.3M | 03/31/2025 |
| Navy Marine Corps Relief Society | Public charity | $149M | 12/31/2024 |
| Permian Basin Area Foundation | Public charity | $331M | 12/31/2024 |
| Benevolent Telephone Death Benefit Fund Inc | Public charity | $5.7M | 12/31/2024 |
| Cardwell Foundation | Public charity | $23.8M | 12/31/2024 |
| International Brotherhood Of Electrical Workers | Public charity | $22.3M | 12/31/2024 |
| Clean Streams Foundation Inc | Public charity | $222M | 12/31/2024 |
| Connie Maxwell Childrens Home | Public charity | $147M | 09/30/2024 |
| University Of Houston Law Foundation | Public charity | $44.2M | 08/31/2024 |
| Jal Public Library Fund | Public charity | $33.4M | 06/30/2024 |
| Engineers Union Welfare Fund 68 | Public charity | $97.1M | 06/30/2024 |
| Mf Community Impact Inc | Public charity | $93.1M | 12/31/2023 |
From IRS Form 990 investment-management-fee disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/25/2026 | 59.5 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Status: Final
Status: Final
Status: Final
Status: Final
Event Detail: ONE FELONY COUNT OF CONSPIRACY TO DEFRAUD THE IRS. ON FEBRUARY 18, 2009, PURSUANT TO A DEFERRED PROSECUTION AGREEMENT WITH THE U.S. DEPARTMENT OF JUSTICE, UBS AG, AN AFFILIATE OF UBS FINANCIAL SERVICES INC., CONSENTED TO THE FILING OF A ONE-COUNT INFORMATION BY THE UNITED STATES ATTORNEY IN THE SOUTHERN DISTRICT OF FLORIDA CHARGING UBS AG WITH CONSPIRACY TO DEFRAUD THE INTERNAL REVENUE SERVICE IN VIOLATION OF TITLE 18 U.S.C. SECTION 371. Status: Final Disposition: THE DEPARTMENT OF JUSTICE DISMISSED ALL CRIMINAL CHARGES FOLLOWING UBS'S COMPLIANCE WITH THE DEFERRED PROSECUTION AGREEMENT. Summary: CIRCUMSTANCES LEADING TO THE CHARGES WERE PROVIDED ON THE INITIAL FILING. THE CHARGES WERE DISMISSED AFTER UBS MET ALL OBLIGATIONS UNDER THE DEFERRED PROSECUTION AGREEMENT.
Status: Final
Status: Final
Status: Final
Status: Final
Status: Final
Status: Final
Event Detail: ERIC WOLFE WAS ARRESTED AND CHARGED WITH FELONY ASSAULT IN THE THIRD DEGREE. Status: Final Disposition: MR. WOLFE PLEAD GUILTY TO RESISTING ARREST AND WAS ORDERED TO MAKE RESTITUTION OF $152.50. THE CHARGES OF FELONY ASSAULT ON A POLICE OFFICER AND CRIMINAL MISCHIEF WERE DISMISSED.
Event Detail: DECISION RENDERED ON THAT DATE. DECISION HAS BEEN APPEALED. Status: On Appeal Disposition: VERDICT IS SUSPENDED PENDING THE RESOLUTION OF THE APPEAL. Summary: ALLEGED ILLICIT CROSS-BORDER BUSINESS CONDUCT OF UBS AG INTO FRANCE AND COMPLICITY OF ITS FRENCH SUBSIDIARY IN THE PERIOD OF 2004 - TO 2012.
Event Detail: ONE COUNT, FELONY, GUILTY, WIRE FRAUD Status: Final Disposition: A. PLED GUILTY/ B. JANUARY 5, 2017 / C. PROBATION AND CRIMINAL MONETARY PENALTIES/ D. 3 YEARS/ E. JANUARY 5, 2017 / F. $400 DUE IMMEDIATELY AN $203,000,000 DUE WITHIN 10 DAYS OF SENTENCING Summary: ON MAY 20, 2015, THE DEPARTMENT OF JUSTICE CRIMINAL DIVISION TERMINATED A DECEMBER 19, 2012 NON-PROSECUTION AGREEMENT (THE "NPA") WITH UBS AG. AS A RESULT, ON MAY 20, 2015, UBS AG ENTERED INTO A PLEA AGREEMENT WITH THE DEPARTMENT OF JUSTICE CRIMINAL DIVISION PURSUANT TO WHICH UBS AG AGREED TO AND DID PLEAD GUILTY TO A ONE-COUNT CRIMINAL INFORMATION FILED IN THE DISTRICT OF CONNECTICUT CHARGING UBS AG WITH ONE COUNT OF WIRE FRAUD IN VIOLATION OF 18 USC SECTIONS 1343 AND 1342. AS PART OF THE PLEA AGREEMENT, UBS AG AGREED TO PAY A $203 MILLION PENALTY. THE CRIMINAL INFORMATION CHARGES THAT BETWEEN APPROXIMATELY 2001 AND 2010, UBS AG ENGAGED IN SCHEME TO DEFRAUD COUNTERPARTIES TO INTEREST RATE DERIVATIVES TRANSACTIONS BY MANIPULATING BENCHMARK INTEREST RATES, INCLUDING YEN LIBOR. THE CRIMINAL DIVISION TERMINATED THE NPA BASED ON ITS DETERMINATION, IN ITS SOLE DISCRETION, THAT CERTAIN OF ITS EMPLOYEES COMMITTED CRIMINAL CONDUCT THAT VIOLATED THE NPA, INCLUDING FRAUDULENT AND DECEPTIVE CURRENCY TRADING AND SALES PRACTICES IN CONDUCTING CERTAIN FOREIGN EXCHANGE MARKET TRANSACTIONS WITH CUSTOMERS AND COLLUSION WITH OTHER PARTICIPANTS IN CERTAIN FX MARKETS.
Status: Final Summary: DRP FILED IN ERROR.
Allegations: IN 2018, THE DOJ FILED A CIVIL COMPLAINT IN THE DISTRICT COURT FOR THE EASTERN DISTRICT OF NEW YORK. THE COMPLAINT SEEKSUNSPECIFIED CIVIL MONETARY PENALTIES UNDER THE FINANCIAL INSTITUTIONS REFORM, RECOVERY AND ENFORCEMENT ACT OF 1989 RELATED TOUBS'S ISSUANCE, UNDERWRITING AND SALE OF 40 RMBS TRANSACTIONS IN 2006 AND 2007. Status: Final Summary: THE PARTIES MUTUALLY AGREED TO SETTLE THE MATTER PER THE EXECUTED "AGREEMENT FOR SETTLEMENT AND RELEASE."
Allegations: THE COMPLAINT IS A PUTATIVE CLASS ACTION BROUGHT ON BEHALF OF PARTICIPANTS IN THE UBS SAVINGS AND INVESTMENT PLAN AND THE UBS FINANCIAL SERVICES 401(K) PLUS PLAN. IN SUBSTANCE, THE COMPLAINT ALLEGES THAT DURING THE PERIOD BETWEEN MARCH 13, 2007 AND OCTOBER 16, 2008, UBS AG, UBS AMERICAS, INC., UBS FINANCIAL SERVICES, AND SEVERAL COMMITTEES AND CURRENT AND FORMER UBS EMPLOYEES, BREACHED FIDUCIARY DUTIES UNDER ERISA BY INCLUDING THE UBS STOCK FUND AS AN INVESTMENT OPTION UNDER THESE RETIREMENT PLANS WHEN IT WAS NO LONGER PRUDENT TO DO SO. Status: Pending Summary: THIS IS AN ERISA "STOCK DROP" ACTION THAT IS ALMOST IDENTICAL TO OTHER RECENT ERISA ACTIONS ALLEGING BREACHES OF DUTY WHERE FINANCIAL INSTITUTIONS CONTINUED TO OFFER THEIR OWN STOCK AS A RETIREMENT PLAN INVESTMENT CHOICE DURING THE FINANCIAL CRISIS. I WAS NAMED AS A DEFENDANT IN MY CAPACITY AS A CONTROL PERSON. THE DEFENDANTS BELIEVE THIS ACTION IS WITHOUT MERIT AND ARE DEFENDING IT VIGOROUSLY..****THIS IS A CONSUMER INTIATED BASED COMPLAINT AND DUE TO CLERICAL ERROR, DRP WAS FILED ERRONEOUSLY****
Allegations: PUTATIVE CLASS ACTION FILED BY COLLIER COUNTY, FLORIDA, ON BEHALF OF ITSELF AND SIMILARLY SITUATED MUNICIPALITIES, NAMING UBS PAINEWEBER, INC., J.C. BRADFORD AND A DOZEN UNDERWRITERS AND/OR SELLERS OF UNITED STATES TREASURY SECURITIES. THE COMPLAINT ALLEGES THAT THE DEFENDANTS, IN CONNECTION WITH VARIOUS MUNICIPAL BOND REFUNDINGS, CONSPIRED TO DEFRAUD PLAINTIFF AND THE PUTATIVE CLASS BY CHARGING EXCESSIVE AND UNDISCLOSED MARKUPS ON TREASURY SECURITIES THEY PURCHASED FROM DEFENDANTS FOR DEFEASANCE ESCROW ACCOUNTS. PLAINTIFF FURTHER ALLEGES THAT, IN CERTAIN INSTANCES, THESE ALLEGED EXCESSIVE MARKUPS RESULTED IN "YIELD BURNING", JEOPARDIZING THE TAX-EXEMPT STATUS OF MUNICIPAL BONDS ISSUED BY PLAINTIFF AND THE PUTATIVE CLASS, AND THAT DEFENDANTS ALLEGEDLY FAILED TO INFORM THE MUNICIPALITIES THAT THE TAX-EXEMPT STATUS OF THEIR BONDS COULD BE IN JEOPARDY. DAMAGES UNSPECIFIED. Status: Final Summary: THE PARTIES FILED A STIPULATION OF SETTLEMENT WITH THE COURT, AGREEING TO SETTLE THE ACTION FOR AN AGGREGATE PAYMENT OF $4,507,000 BY ALL DEFENDANTS. PAINEWEBBER AND J.C. BRADFORD'S TOTAL SHARE OF THAT SETTLEMENT IS $765,000. BY FINAL JUDGMENT ORDER AND FINAL JUDGMENT DATED SEPTEMBER 26, 2001, THE COURT APPROVED THE SETTLEMENT, FINDING THE SETTLEMENT "FAIR, JUST AND REASONABLE AS TO THE SETTLING CLASS".
Allegations: PLAINTIFFS HAD ALLEGED THAT DEFENDANTS CONSPIRED TO BLOCK THE EVOLUTION OF THE STOCK LENDING MARKET FROM AN OVER-THE-COUNTER ENVIRONMENT, IN WHICH STOCK LOANS ARE INTERMEDIATED BY PRIME BROKERS, TO A MORE EXCHANGE-LIKE ENVIRONMENT. Status: Final Summary: THE PARTIES REACHED A SETTLEMENT WHICH HAS RECEIVED PRELIMINARY APPROVAL OF THE COURT. THERE WERE NO FINDINGS OR ADMISSIONS,AND DEFENDANTS AFFIRMATIVELY DENIED THE ALLEGATIONS IN THE SETTLEMENT.
Allegations: I WAS PERSONALLY ENJOINED WITH OTHER BROKERS & PRU BACHE FROM CONTACTING FORMER CLIENTS AT MERRILL LYNCH Status: Final Summary: PRU-BACHE OPENED AN OFFICE IN BAKERSFIELD BY HIRING 4 BROKERS FROM BAKERSFIELD MERRILL LYNCH OFFICE. MERRILL LYNCH ENJOINED ME PERSONALLY THE OTHER BROKERS AND PRU-BACHE FORM CONTACTING OUR FORMER CLIENTS. THE DISAGREEMENT WENT TO ARBITRATION AND PRU-BACHE WAS ORDERED TO PAY MERRILL LYNCH DAMAGES AND THE INJUNCTION WAS LIFTED AGAINST ME AND THE OTHER BROKERS.
Allegations: THIS CIVIL LAWSUIT ALLEGES DECEPTIVE BUSINESS PRACTICES AND BREACH OF FIDUCIARY DUTY. THE FIRM DENIES THE ALLEGATIONS OF THE COMPLAINT. Status: Final Summary: THE ATTORNEY GENERAL OF THE STATE OF NEW YORK NEW YORK ATTORNEY GENERAL FILED A CIVIL COMPLAINT ON DECEMBER 12, 2006 ALLEGING DECEPTIVE BUSINESS PRACTICES AND BREACH OF FIDUCIARY DUTY. THE FIRM DENIED THE ALLEGATIONS OF THE COMPLAINT. UBS FINANCIAL SERVICES INC. WAS NOT SANCTIONED BUT ENTERED INTO A SETTLEMENT AGREEMENT WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK DATED JULY 16, 2007 PURSUANT TO WHICH IT AGREED TO PAY $21.3 MILLION TOWARDS A REMEDIATION POOL FOR APPROXIMATELY 3,100 CURRENT AND FORMER CUSTOMERS OF THE UBS FINANCIAL SERVICES INC., AND A $2 MILLION PENALTY PAID TO THE NEW YORK STATE ATTORNEY GENERAL. THE SETTLEMENT AGREEMENT DOES NOT CONSTITUTE AN ADMISSION OR DENIAL OF ANY KIND BY UBS FINANCIAL SERVICES INC. A "STIPULATION OF DISCONTINUANCE WITH PREJUDICE" WAS FILED ON JULY 17, 2007 WITH NEW YORK STATE SUPREME COURT.
Status: Final Summary: DRP FILED IN ERROR.
Allegations: THE SEC ALLEGED THAT UBS FINANCIAL SERVICES INC. VIOLATED SECTION 15(C) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") RELATING TO ITS MARKETING AND SALE OF AUCTION RATE SECURITIES ("ARS"). UBS SECURITIES LLC, AN AFFILIATE OF UBS, WAS ALSO NAMED IN THE COMPLAINT. (COLLECTIVELY "UBS"). Status: Final Summary: THE SEC'S COMPLAINT ALLEGED THAT UBS FAILED TO DISCLOSE THE RISKS AND OTHER MATERIAL INFORMATION ASSOCIATED WITH ARS. THE SEC ALSO ALLEGED THAT A SMALL NUMBER OF UBS EMPLOYEES SOLD THEIR PERSONAL ARS HOLDINGS BEFORE THE FIRM STOPPED SUPPORTING THE MARKET. IN AUGUST 2008, UBS ENTERED INTO A PRELIMINARY SETTLEMENT WITH THE SEC. IN DECEMBER 2008, A FINAL JUDGMENT OF PERMANENT INJUNCTION AND OTHER RELIEF WAS ENTERED AGAINST UBS, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS. AS PART OF THE SETTLEMENT, UBS AGREED TO, AMONG OTHER THINGS, OFFER TO PURCHASE CERTAIN CUSTOMERS' ARS AT PAR VALUE PLUS ACCRUED INTEREST OVER A PERIOD OF TIME. THIS SETTLEMENT WAS REACHED IN CONJUNCTION WITH SETTLEMENTS WITH OTHER REGULATORS, INCLUDING THE NEW YORK STATE ATTORNEY GENERAL, THE MASSACHUSETTS SECURITIES DIVISION, AND MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION.
Allegations: THE SEC FILED A COMPLAINT ON FEBRUARY 18, 2009 ALLEGING THAT UBS AG PROVIDED BROKER-DEALER AND INVESTMENT ADVISOR SERVICES TO CLIENTS IN THE UNITED STATES WITHOUT BEING REGISTERED WITH SEC, IN VIOLATION OF THE SECURITIES AND EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940. Status: Final Summary: IN CONNECTION WITH THE SEC'S INVESTIGATION OF CROSS-BORDER SERVICES PROVIDED TO U.S. CLIENTS BY UBS AG, UBS AG ENTERED INTO A CONSENT DECREE WITH THE SEC WHICH PROVIDES, IN SUMMARY, THAT: UBS AG NEITHER ADMITS NOR DENIES THE ALLEGATIONS IN THE COMPLAINT; UBS AG IS PERMANENTLY ENJOINED FROM VIOLATIONS OF THE EXCHANGE ACT AND THE ADVISERS ACT. UBS AG WILL PAY DISGORGEMENT OF $200 MILLION TO THE SEC; AND UBS AG WILL TERMINATE ITS UNREGISTERED CROSS-BORDER BUSINESS IN THE U.S.
Allegations: THE SEC FILED A COMPLAINT ON FEBRUARY 18, 2009 ALLEGING THAT UBS AG PROVIDED BROKER-DEALER AND INVESTMENT ADVISOR SERVICES TO CLIENTS IN THE UNITED STATES WITHOUT BEING REGISTERED WITH SEC, IN VIOLATION OF THE SECURITIES AND EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940. Status: Final Summary: IN CONNECTION WITH THE SEC'S INVESTIGATION OF CROSS-BORDER SERVICES PROVIDED TO U.S. CLIENTS BY UBS AG, UBS AG ENTERED INTO A CONSENT DECREE WITH THE SEC WHICH PROVIDES, IN SUMMARY, THAT: UBS AG NEITHER ADMITS NOR DENIES THE ALLEGATIONS IN THE COMPLAINT; UBS AG IS PERMANENTLY ENJOINED FROM VIOLATIONS OF THE EXCHANGE ACT AND THE ADVISERS ACT. UBS AG WILL PAY DISGORGEMENT OF $200 MILLION TO THE SEC; AND UBS AG WILL TERMINATE ITS UNREGISTERED CROSS-BORDER BUSINESS IN THE U.S.
Allegations: THE SEC COMPLAINT ALLEGED THAT FROM 2000 THROUGH 2004, UBS FINANCIAL SERVICES INC. ENGAGED IN CERTAIN FRAUDULENT PRACTICES INVOLVING THE TEMPORARY INVESTMENT OF PROCEEDS FROM THE SALE OF TAX-EXEMPT MUNICIPAL SECURITIES IN CERTAIN REINVESTMENT PRODUCTS BY STATE AND LOCAL GOVERNMENTAL ENTITIES, AND THAT UBS'S FRAUDULENT PRACTICES AND MISREPRESENTATIONS BOTH AFFECTED THE PRICES OF THE REINVESTMENT PRODUCTS AND JEOPARDIZED THE TAX-EXEMPT STATUS OF THE UNDERLYING MUNICIPAL SECURITIES, THEREBY INJURING AFFECTED MUNICIPALITIES. THE FIRM NEITHER ADMITTED NOR DENIED THE ALLEGATIONS IN THE COMPLAINT. Status: Final
Allegations: THE NYSE ALLEGED THAT THE FIRM VIOLATED CERTAIN NYSE RULES IN CONNECTION WITH THE SALE AND MARKETING OF CALLABLE CD'S BY NOT EXERCISING DUE DILIGENCE TO LEARN CERTAIN ESSENTIAL FACTS ABOUT CERTAIN CUSTOMERS AND BY NOT MAKING ADEQUATE DISCLOSURES RELATING TO CALLABLE CD'S. THE CONDUCT ENDED IN 2000. Status: Pending Summary: THE FIRM CONSENTED TO A CENSURE AND $175,000 FINE. THE SETTLEMENT IS SCHEDULED TO BE CONSIDERED BY THE NYSE ON JUNE 4, 2003. THIS ITEM WAS RE-REPORTED VIA OCCURENCE NUMBER 1147376 ON JULY 15, 2003, FOLLOWING THE CONCLUSION OF THIS CASE. THIS ITEM SHOULD NO LONGER BE REFERENCED ON THE FORM BD.
Allegations: PRELIMINARY DETERMINATION TO RECOMMEND DISCIPLINARY ACTION FOR VIOLATION OF EXCHANGE ACT RULE 11AC1-1, NASD CONDUCT RULE 3320 AND NASD MARKETPLACE RULE 4613(B) Status: Pending Summary: FILED IN ERROR - NO ACTION.
Status: Final Sanction Detail: NO SANCTIONS WERE IMPOSED. Summary: INVESTIGATION WAS CLOSED. NO FINDINGS, NO SANCTIONS.
Allegations: FAILED TO COMPLETE REQUIRED CONTINUING LEGAL EDUCATION COURSES DURING CALENDAR YEAR 2003 - ADMINISTRATIVE SUSPENSION WILL BE AUTOMATICALLY LIFTED DURING MARCH 2004 UPON COMPLETION OF REQUIRED CLE HOURS AND SUBMISSION OF APPROPRIATE REPORTING FORM AND FILING FEE. Status: Pending Sanction Detail: NOT PROVIDED Summary: ADMINISTRATIVE LAW LICENSE SUSPENSION WILL BE AUTOMATICALLY LIFTED DURING MARCH 2004 UPON COMPLETION OF REQUIRED CLE COURSE, SUBMISSION OF REPORTING FORM AND PAYMENT OF ASSOCIATED FILING FEE
Allegations: FINRA HAS MADE A DETERMINATION THAT, DURING JANUARY 1, 2006 THROUGH JUNE 30, 2009, UBS FAILED TO DISCLOSE MATERIAL FACTS TO CUSTOMERS CONCERNING FULLY PAID LENDING THAT WERE NECESSARY IN ORDER TO MAKE THE STATEMENTS MADE IN LIGHT OF THE CIRCUMSTANCES UNDER WHICH THEY WERE MADE NOT MISLEADING IN VIOLATION OF NASD CONDUCT RULE 2110 AND FINRA RULE 2010. UBS FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN PROCEDURES TO SUPERVISE THE FULLY PAID LENDING PROCESS, MEMBERS OF THE SECURITIES LENDING DEPARTMENT AND THE ACTIVITIES OF FINANCIAL ADVISORS IN VIOLATION OF NASD CONDUCT RULE 3010(B). UBS FAILED TO ESTABLISH AND MAINTAIN A SYSTEM TO SUPERVISE THE ACTIVITIES OF THE STAFF OF THE SECURITIES LENDING DEPARTMENT AND THE FIRM'S FINANCIAL ADVISORS RELATING TO FULLY PAID LENDING, THAT WAS REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS AND REGULATIONS IN VIOLATION OF NASD CONDUCT RULE 3010 (A). Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED, FINED $175,000, AND AGREES TO AN UNDERTAKING THAT, PRIOR TO SOLICITING OR FACILITATING ANY NEW FULLY PAID LOANS FROM CUSTOMERS, THE FIRM SHALL ESTABLISH AND MAINTAIN A SYSTEM, INCLUDING WRITTEN PROCEDURES, TO SUPERVISE THE ACTIVITIES OF EACH REGISTERED REPRESENTATIVE, REGISTERED PRINCIPAL, AND OTHER ASSOCIATED PERSON RELATING TO FULLY PAID LENDING OR SIMILAR PROGRAM THAT IS REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS AND REGULATIONS, AND WITH FINRA AND NASD RULES. FURTHERMORE, PRIOR TO SOLICITING OR FACILITATING ANY NEW FULLY PAID LOANS FROM CUSTOMERS, AN OFFICER OF THE FIRM SHALL CERTIFY THAT THE FIRM'S SYSTEM AND WRITTEN PROCEDURES RELATING TO FULLY PAID LENDING ARE IN COMPLIANCE WITH NASD RULE 3010(A) AND (B).
Allegations: DURING THE PERIOD FROM 3/6/98 THROUGH 7/31/98, THIRTY SIX TRANSACTIONS WERE MISREPORTED BY THE FIRM TO FIPS. Status: Final Sanction Detail: $12,500 FINE TO BE PAID BY 12/11/01. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO THE ENTRY OF FINDINGS THAT THE FIRM VIOLATED NASD MARKETPLACE RULE 6240(A) AND 6240(B) AND NASD CONDUCT RULES 2110 AND 3010. ON 11/5/01, THE NASDR'S OFFICE OF DISCIPLINARY AFFAIRS AND THE NAC ACCEPTED THE FIRM'S AWC REGARDING THE VIOLATIONS. THE FIRM WAS CENSURED AND FINED $12,500.
Allegations: ON JUNE 28, 2004, UBS FINANCIAL SERVICES INC. (FORMERLY UBS PAINEWEBBER INC.), ALONG WITH 7 OTHER FIRMS, WITHOUT ADMITTING OR DENYING THE FINDINGS, SETTLED WITH THE NATIONAL ASSOCIATION OF SECURITIES DEALERS INC. ("NASD") AN ACTION CONCERNING THE FIRM'S RELIANCE ON BROKER'S BROKERS TO DETERMINE THE FAIR MARKET VALUE OF CERTAIN OF ITS CUSTOMERS' BONDS. IN PARTICULAR, THE NASD IDENTIFIED ELEVEN INSTANCES DURING THE PERIOD FROM AUGUST 6, 2002 THROUGH JUNE 4, 2003 WHERE A CLIENT REQUESTED THAT UBS FINANCIAL SERVICES INC. SELL A BOND IN WHICH THE FIRM DOES NOT MAKE A MARKET. THE FIRM, FOLLOWING INDUSTRY PRACTICE, CONTACTED A BROKER'S BROKER AND OBTAINED BIDS FOR THE CUSTOMERS' SECURITIES, AND THEN BOUGHT THE BONDS FROM THE CUSTOMERS AT THE BID PRICE. SUBSEQUENT TRADING OF THE CUSTOMER'S BONDS OCCURRED AT PRICES HIGHER THAN THE CUSTOMERS HAD ORIGINALLY RECEIVED, INDICATING THAT THE CUSTOMERS HAD NOT RECEIVED FAIR PRICES FOR THE BONDS THE CUSTOMERS SOLD. ALONG WITH OTHER FIRMS IN THE GROUP SETTLING WITH THE NASD, UBS FINANCIAL SERVICES, INC. WAS FOUND TO HAVE VIOLATED MSRB RULES G-17 AND G-30 BY RELYING SOLELY ON THE PRICES PROVIDED BY THE BROKER'S BROKERS TO DETERMINE THE FAIR MARKET VALUES OF THE BONDS. Status: Final Sanction Detail: CENSURE AND $100,000.00 FINE PLUS RESTITUTION IN THE AMOUNT OF $100,666.05. Summary: TO RESOLVE THE ACTIONS, ALL EIGHT FIRMS AGREED TO MAKE RESTITUTION, PAY FINES IN AN AMOUNT ROUGHLY EQUAL TO THE RESTITUTION AMOUNT, AND UPDATE THEIR WRITTEN SUPERVISORY PROCEDURES RELATING TO THE DETERMINATION OF THE FAIR MARKET VALUE OF MUNICIPAL SECURITIES BEING BOUGHT OR SOLD FROM A PUBLIC CUSTOMER. UBS FINANCIAL SERVICES WILL PAY A FINE OF $100,000. UBS FINANCIAL SERVICES HAS ALREADY MADE RESTITUTION OF $100,666.05 TO THE IMPACTED CUSTOMERS, AND HAS UPDATED ITS WRITTEN SUPERVISORY PROCEDURES. THESE PROCEDURES WILL BE SUBMITTED TO THE NASD FOR ITS REVIEW.
Allegations: THE NEW YORK STOCK EXCHANGE ("NYSE") ALLEGED THAT THE FIRM FAILED TO SUPERVISE BROKERS WHO WITH THEIR CLIENTS ENGAGED IN DECEPTIVE MARKET TIMING OF MUTUAL FUNDS AND VARIABLE INSURANCE PRODUCTS, AND THAT THE FIRM VIOLATED BOOKS AND RECORDS OBLIGATIONS RELATED TO RETENTION OF CERTAIN INTERNAL EMAILS AND RECORDS OF VARIABLE INSURANCE PRODUCTS SUB-ACCOUNT TRANSFERS. Status: Final Sanction Detail: A TOTAL PAYMENT OF $49,500,000 , HALF OF WHICH SHALL BE PAID TO THE STATE OF NEW JERSEY AND $1,000,000 OF THE REMAINING PAYMENT SHALL BE PAID TO THE STATE OF CONNECTICUT.THE PORTION NOT PAID TO THE STATES OF NEW JERSEY AND CONNECTICUT SHALL BE PAID AS FOLLOWS: DISGORGEMENT OF $18,000,000 TO BE PLACED INTO A DISTRIBUTION FUND AS OUTLINED BELOW, AND A PENALTY OF $5,750,000 TO BE PAID TO THE NYSECENSURE AND CIVIL PENALTY OF $5 MILLION FOR FAILURE TO SUPERVISE, PLUS $750,000 FOR BOOKS AND RECORDS VIOLATIONS AND $18 MILLION IN DISGORGEMENT. FIRM ALSO AGREED TO RETAIN OUTSIDE COUNSEL TO REVIEW PROCEDURES RELATED TO THE ALLEGED FAILURES AND VIOLATIONS AND TO HIRE AN INDEPENDENT DISTRIBUTION CONSULTANT TO DEVELOP A PLAN TO DISTRIBUTE THE $18 MILLION FUND. PAYMENT OF THE FINES WILL BE MADE WITHIN 25 DAYS AFTER NOTICE OF THE HEARING PANEL DETERMINATION HAS BEEN SERVED UPON THE FIRM. Summary: THE NYSE ALLEGED THAT THE FIRM FAILED TO SUPERVISE BROKERS WHO WITH THEIR CLIENTS ENGAGED IN DECEPTIVE MARKET TIMING OF MUTUAL FUNDS AND VARIABLE INSURANCE PRODUCTS.THROUGH AN AGREED CONSENT ORDER THE FIRM WAS FINED $23,750,000.
Allegations: NASD ALLEGED VIOLATIONS OF CONDUCT RULES 2110 AND 2320 IN THAT, IN 27 TRANSACTIONS, UBS FINANCIAL SERVICES INC. ("UBS-FS") FAILED TO ASCERTAIN THE BEST INTER-DEALER MARKET AND FAILED TO BUY OR SELL IN SUCH MARKET SO THAT THE RESULTANT PRICE TO THE CUSTOMER WAS AS FAVORABLE AS POSSIBLE UNDER PREVAILING MARKET CONDITIONS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED, FINED $10,000 AND REQUIRED TO PAY $938.99, PLUS INTEREST, IN RESTITUTION. SATISFACTORY PROOF OF PAYMENT OF THE RESTITUTION OR OF REASONABLE AND DOCUMENTED EFFORTS UNDERTAKEN TO EFFECT RESTITUTION SHALL BE PROVIDED TO NASD NO LATER THAN 120 DAYS AFTER ACCEPTANCE OF THIS AWC BY THE NAC. ANY UNDISTRIBUTED RESTITUTION AND INTEREST SHALL BE FORWARDED TO THE APPROPRIATE ESCHEAT, UNCLAIMED PROPERTY OR ABANDONED PROPERTY FUND FOR THE STATE IN WHICH THE CUSTOMER LAST RESIDED. Summary: NASD ALLEGED VIOLATIONS OF CONDUCT RULES 2110 AND 2320 IN THAT, IN 27 TRANSACTIONS, UBS FINANCIAL SERVICES INC. ("UBS-FS") FAILED TO ASCERTAIN THE BEST INTER-DEALER MARKET SO THAT THE RESULTANT PRICE TO THE CUSTOMER WAS AS FAVORABLE AS POSSIBLE.WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, UBS-FS CONSENTED TO A CENSURE AND $10,000 FINE.
Allegations: UBS FINANCIAL SERVICES INC. FAILED TO REPORT THE TRADE REPORTING AND COMPLIANCE ENGINE (TRACE) CERTAIN LARGE BLOCK TRANSACTIONS IN TRACE-ELIGIBLE SECURITIES WITHIN 15 MINUTES OF THE TIME OF EXECUTION DURING THE TIME PERIODS APRIL 1 TO JUNE 30, 2007 AND APRIL 1 TO JUNE 30, 2008. Status: Final Sanction Detail: THE FINE OF $8,000 HAS BEEN SUBMITTED FOR PAYMENT.
Allegations: ON JUNE 26, 2009, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, UBS FINANCIAL SERVICES CONSENTED TO FINDINGS THAT BETWEEN JANUARY 2004 AND DECEMBER 2005 ("RELEVANT PERIOD") THE FIRM DID NOT HAVE ADEQUATE SYSTEMS AND/OR PROCEDURES, INCLUDING SUPERVISORY PROCEDURES, REASONABLY DESIGNED TO DETECT AND PREVENT UNSUITABLE PATTERNS OF SHORT-TERM TRADING OF CLOSED END FUNDS ("CEFS") PURCHASED AT THE INITIAL PUBLIC OFFERING OR TO SUPERVISE IT REGISTERED REPRESENTATIVES' SALES OF NEW ISSUE CEFS TO THEIR CUSTOMERS. AS A RESULT, DURING THE RELEVANT PERIOD THE FIRM FAILED TO DETECT AND PREVENT CERTAIN OF ITS REGISTERED REPRESENTATIVES FROM ENGAGING IN UNSUITABLE SHORT-TERM TRADING OF CEFS PURCHASED AT THE INITIAL PUBLIC OFFERING. Status: Final Sanction Detail: ON JUNE 26, 2009, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, UBS FINANCIAL SERVICES CONSENTED TO FINDINGS THAT BETWEEN JANUARY 2004 AND DECEMBER 2005 ("RELEVANT PERIOD") THE FIRM DID NOT HAVE ADEQUATE SYSTEMS AND/OR PROCEDURES, INCLUDING SUPERVISORY PROCEDURES, REASONABLY DESIGNED TO DETECT AND PREVENT UNSUITABLE PATTERNS OF SHORT-TERM TRADING OF CLOSED END FUNDS ("CEFS") PURCHASED AT THE INITIAL PUBLIC OFFERING OR TO SUPERVISE IT REGISTERED REPRESENTATIVES' SALES OF NEW ISSUE CEFS TO THEIR CUSTOMERS. AS A RESULT, DURING THE RELEVANT PERIOD THE FIRM FAILED TO DETECT AND PREVENT CERTAIN OF ITS REGISTERED REPRESENTATIVES FROM ENGAGING IN UNSUITABLE SHORT-TERM TRADING OF CEFS PURCHASED AT THE INITIAL PUBLIC OFFERING. IN DETERMINING APPROPRIATE SANCTIONS, FINRA CONSIDERED (AMONG OTHER FACTORS) THAT THE FIRM, (1) AFTER RECEIVING THE RESULTS OF AN SEC BRANCH EXAM, BUT IN SOME INSTANCES PRIOR TO FINRA'S REVIEW, REVIEWED ITS SHORT-TERM SALES OF CEFS PURCHASED AT IPO, AND MADE EXTRAORDINARY REMEDIATION TO CUSTOMERS, AND (2) PRIOR TO THE COMPLETION OF FINRA'S INVESTIGATION, CORRECTED ITS SYSTEMS AND PROCEDURES AND TOOK OTHER STEPS TO PREVENT FUTURE VIOLATIONS. Summary: ON JUNE 26, 2009, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, UBS FINANCIAL SERVICES CONSENTED TO FINDINGS THAT BETWEEN JANUARY 2004 AND DECEMBER 2005 ("RELEVANT PERIOD") THE FIRM DID NOT HAVE ADEQUATE SYSTEMS AND/OR PROCEDURES, INCLUDING SUPERVISORY PROCEDURES, REASONABLY DESIGNED TO DETECT AND PREVENT UNSUITABLE PATTERNS OF SHORT-TERM TRADING OF CLOSED END FUNDS ("CEFS") PURCHASED AT THE INITIAL PUBLIC OFFERING OR TO SUPERVISE IT REGISTERED REPRESENTATIVES' SALES OF NEW ISSUE CEFS TO THEIR CUSTOMERS. AS A RESULT, DURING THE RELEVANT PERIOD THE FIRM FAILED TO DETECT AND PREVENT CERTAIN OF ITS REGISTERED REPRESENTATIVES FROM ENGAGING IN UNSUITABLE SHORT-TERM TRADING OF CEFS PURCHASED AT THE INITIAL PUBLIC OFFERING. IN DETERMINING APPROPRIATE SANCTIONS, FINRA CONSIDERED (AMONG OTHER FACTORS) THAT THE FIRM, (1) AFTER RECEIVING THE RESULTS OF AN SEC BRANCH EXAM, BUT IN SOME INSTANCES PRIOR TO FINRA'S REVIEW, REVIEWED ITS SHORT-TERM SALES OF CEFS PURCHASED AT IPO, AND MADE EXTRAORDINARY REMEDIATION TO CUSTOMERS, AND (2) PRIOR TO THE COMPLETION OF FINRA'S INVESTIGATION, CORRECTED ITS SYSTEMS AND PROCEDURES AND TOOK OTHER STEPS TO PREVENT FUTURE VIOLATIONS.
Allegations: THE FIRM DID NOT ENFORCE PROPER FLOOR PROCEDURES. Status: Final Sanction Detail: IN DECEMBER OF 1990, PAINEWEBBER INCORPORATED ENTERED INTO A CONSENT ORDER WITH THE CHICAGO BOARD OF TRADE CONCERNING ALLEGATIONS THAT THE FIRM DID NOT ENFORCE PROPER FLOOR PROCEDURES. WITHOUT ADMITTING OR DENYING ANY LIABILITY, THE FIRM AGREED TO PAY A $5,000 FINE. Summary: IN DECEMBER OF 1990, PAINEWEBBER INCORPORATED ENTERED INTO A CONSENT ORDER WITH THE CHICAGO BOARD OF TRADE CONCERNING ALLEGATIONS THAT THE FIRM DID NOT ENFORCE PROPER FLOOR PROCEDURES. WITHOUT ADMITTING OR DENYING ANY LIABILITY, THE FIRM AGREED TO PAY A $5,000 FINE.
Allegations: NASD REGULATION ALLEGED THAT PAINEWEBBER VIOLATED THE PASSIVE MARKET-MAKING RULE BY ENTERING A BID IN ARCH COMMUNICATION THAT WAS THE HIGHEST INDEPENDENT BID. Status: Final Sanction Detail: PAINEWEBBER SIGNED THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT AND AGREED TO PAY A FINE OF $1000.00 TO THE NASD. Summary: NASD REGULATION ALLEGED THAT PAINEWEBBER VIOLATED THE PASSIVE MARKET-MAKING RULE BY ENTERING A BID IN ARCH COMMUNICATION THAT WAS THE HIGHEST INDEPENDENT BID. PAINEWEBBER SIGNED THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT AND AGREED TO PAY A FINE OF $1000.00 TO THE NASD.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, UBS FINANCIAL SERVICES, INC. ("UBS") CONSENTED TO THE ENTRY OF A LETTER OF ACCEPTANCE, WAIVER AND CONSENT ("AWC") THAT ALLEGED THAT UBS FAILED TO REASONABLY SUPERVISE AND TO HAVE AN ADEQUATE SUPERVISORY SYSTEM, INCLUDING ADEQUATE WRITTEN SUPERVISORY PROCEDURES, TO ADDRESS CERTAIN SHORT POSITIONS IN TAX-EXEMPT MUNICIPAL BONDS IN VIOLATION OF MSRB RULES G-8, G-17 AND G-27. FINRA ALLEGED THAT UBS INACCURATELY REPRESENTED TO APPROXIMATELY 4,371 CUSTOMERS THAT AT LEAST $1,165,000 IN INTEREST THAT THE FIRM PAID TO THOSE CUSTOMERS WAS EXEMPT FROM TAXATION, WHICH RESULTED IN THE UNDERPAYMENT OF NOT LESS THAN $282,261 IN FEDERAL INCOME TAXES. Status: Final Sanction Detail: UBS FINANCIAL SERVICES, INC. WAS CENSURED AND FINED $750,000.
Allegations: THE FIRM DID NOT ENFORCE PROPER FLOOR PROCEDURES. Status: Final Sanction Detail: IN DECEMBER OF 1990, PAINEWEBBER INCORPORATED ENTERED INTO A CONSENT ORDER WITH THE CHICAGO BOARD OF TRADE CONCERNING ALLEGATIONS THAT THE FIRM DID NOT ENFORCE PROPER FLOOR PROCEDURES. WITHOUT ADMITTING OR DENYING ANY LIABILITY, THE FIRM AGREED TO PAY A $5,000 FINE.
Allegations: NASD ALLEGED THAT PAINEWEBBER HAD FAILED TO MAINTAIN AND ENFORCE ADEQUATE SUPERVISORY PROCEDURES, IN VIOLATION OF ARTICLE III, SECTIONS 1 AND 27 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE. Status: Final Sanction Detail: PWI WAS FINED $5,000
Allegations: NASD REGULATION ALLEGED THAT PAINEWEBBER VIOLATED THE PASSIVE MARKET-MAKING RULE BY ENTERING A BID IN ARCH COMMUNICATION THAT WAS THE HIGHEST INDEPENDENT BID. Status: Final Sanction Detail: PAINEWEBBER SIGNED THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT AND AGREED TO PAY A FINE OF $1000.00 TO THE NASD.
Allegations: SINCE BEFORE 2008, BLOOMBERG PROVIDED UBS WITH COPIES OF ALL OF ITS BLOOMBERG MESSAGES AND THEIR ATTACHMENTS BY POSTING THEM TO A FILE-TRANSFER PROTOCOL SITE. IN OR AROUND EARLY 2008, WITHOUT INFORMING UBS, BLOOMBERG CHANGED THE WAY IT POSTED ELECTRONIC FILES TO THE FTP SITE. BECAUSE UBS WAS NOT NOTIFIED OF THE CHANGE, ON DAYS WHEN BLOOMBERG POSTED MULTIPLE ATTACHMENT FILES, UBS'S SYSTEM DOWNLOADED ONLY ONE OF THE FILES FROM THE FTP SITE FOR RETENTION AND SUPERVISION AND DID NOT DOWNLOAD ANY ADDITIONAL FILES CONTAINING ATTACHMENTS. THE ISSUE AFFECTED ONLY ATTACHMENTS, NOT THE MESSAGES THEMSELVES, AND NONE OF THE ATTACHMENTS WAS DELETED OR LOST. UBS DISCOVERED THIS ISSUE IN OCTOBER 2011 AND CORRECTED IT IN NOVEMBER 2011. UBS SELF-REPORTED THIS MATTER TO FINRA IN DECEMBER 2011. Status: Final Sanction Detail: UBS FINANCIAL SERVICES, INC. WAS ISSUED A CENSURE AND A FINE OF $200,000.00.
Allegations: DURING 10/1/2014 AND 12/31/2014 FINRA ALLEGED THAT UBS FINANCIAL SERVICES INC. VIOLATED FINRA RULE 4511 AND RULE 17A-3 OF THE SECURITIES EXCHANGE ACT. THE FIRM NEITHER ADMITTED OR DENIED THE FINDINGS. Status: Final Sanction Detail: CENSURE AND A FINE OF $17,500
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT 43 LARGE BLOCK S1 TRANSACTIONS WITHIN 15 MINUTES OF THE TIME OF EXECUTION TO THE TRADE REPORTING AND COMPLIANCE ENGINE (TRACE). Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FIND $32,500.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ACCURATELY RECORD AND ACCURATELY REPORT TO THE ORDER AUDIT TRAIL SYSTEM (OATS) THE TIME OF EXECUTION AND THE TIME OF ORDER RECEIPT BY ITS FINANCIAL ADVISORS AND ITS TAXABLE PREFERRED INCOME DESK, FOR MANUALLY HANDLED NON-CONVERTIBLE PREFERRED ORDERS. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ACCURATELY RECORD AND ACCURATELY REPORT TIME OF EXECUTION TO EITHER THE FINRA/NASDAQ TRADE REPORTING FACILITY (FNTRF) OR THE OVER-THE-COUNTER REPORTING FACILITY (OTCRF) FOR MANUALLY HANDLED NON-CONVERTIBLE PREFERRED TRADES, AND FAILED TO REPORT MANUALLY HANDLED NON-CONVERTIBLE PREFERRED TRANSACTIONS TO THE TRF WITHIN 30 OR 10 SECONDS OF EXECUTION. THE FINDINGS ALSO INCLUDED THAT THE FIRM FAILED TO PROVIDE BEST EXECUTION WITH RESPECT TO CERTAIN TRANSACTIONS EXECUTED IN NON CONVERTIBLE PREFERRED SECURITIES WITH CUSTOMERS OR CUSTOMERS OF ANOTHER BROKER-DEALER. FINRA ALSO FOUND THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT INCLUDE WRITTEN SUPERVISORY PROCEDURES (WSPS) THAT IDENTIFIED THE PERSON(S) RESPONSIBLE FOR SUPERVISION AND DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RULE 5310, APPLICABLE SECURITIES LAWS AND REGULATIONS, AND/OR FINRA RULES RELATED TO RECORDKEEPING, OATS REPORTING, AND TRADE REPORTING WITH RESPECT TO TRANSACTIONS IN NON-CONVERTIBLE PREFERRED SECURITIES. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $110,000 AND REQUIRED TO REVISE ITS WRITTEN SUPERVISORY PROCEDURES (WSPS).
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT EFFECTED 87 CUSTOMER TRANSACTIONS IN A MUNICIPAL SECURITY IN AN AMOUNT LOWER THAN THE MINIMUM DENOMINATION OF THE ISSUE. THE FINDINGS STATED THAT THE FIRM FAILED TO DISCLOSE ALL MATERIAL FACTS CONCERNING 59 MUNICIPAL SECURITIES TRANSACTIONS AT OR PRIOR TO THE TIME OF TRADE. SPECIFICALLY, THE FIRM FAILED TO INFORM ITS CUSTOMERS THAT THE MUNICIPAL SECURITIES TRANSACTIONS WERE IN AMOUNTS BELOW THE MINIMUM DENOMINATION OF THE ISSUE. THE FINDINGS ALSO STATED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND MUNICIPAL SECURITIES RULEMAKING BOARD (MSRB) RULES. AS A RESULT OF THE DEFICIENCIES IN ITS SUPERVISORY SYSTEM, THE FIRM EXECUTED ANOTHER 19 TRANSACTIONS BELOW THE MINIMUM DENOMINATIONS OF AN ISSUE. SPECIFICALLY, AS REQUIRED BY MSRB RULE G-27, THE FIRM'S SUPERVISORY SYSTEM DID NOT INCLUDE ADEQUATE WRITTEN SUPERVISORY PROCEDURES OR AN ADEQUATE CONTROL IN PLACE TO PREVENT THE FIRM FROM TRANSACTING MUNICIPAL SECURITIES WITH CUSTOMERS BELOW AN ISSUE'S MINIMUM DENOMINATION. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $190,000 AND UNDERTAKES TO REVISE ITS WRITTEN SUPERVISORY PROCEDURES. FINRA TOOK INTO CONSIDERATION THAT THE FIRM HAS MADE OFFERS OF RESCISSION.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT 38 OATS SUBMISSIONS CONTAINED INACCURATE, INCOMPLETE OR IMPROPERLY FORMATTED DATA. THE FINDINGS STATED THE FIRM, ON 35 INSTANCES, SUBMITTED OATS REPORTS CONTAINING ORDER RECEIVED TIMESTAMPS THAT DID NOT MATCH THE RECEIPT TIME ON THE FIRM'S ORDER TICKETS; ON TWO INSTANCES SUBMITTED OATS REPORTS CONTAINING INACCURATE ORDER RECEIVED TIMESTAMPS FOR AFTER-MARKET ORDERS; AND, ON TWO INSTANCES SUBMITTED OATS REPORTS CONTAINING IMPROPERLY RECORDED BUY/SELL CODES. THE FINDINGS STATED THAT THE FIRM SUBMITTED EIGHT ORDER TICKETS THAT CONTAINED INACCURATE, INCOMPLETE, OR IMPROPERLY FORMATTED DATA. THE FINDINGS STATED THE FIRM DID NOT CONDUCT PERIODIC REVIEWS OF ACCEPTED OATS REPORTS AGAINST ITS BOOKS AND RECORDS AND DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO APPLICABLE SECURITIES LAWS, REGULATIONS AND FINRA RULES CONCERNING OATS REPORTING. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $20000.00
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF THE FINDINGS THAT IT FAILED TO REPORT TRANSACTIONS IN TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)-ELIGIBLE AGENCY DEBT SECURITIES AND IN TRACE-ELIGIBLE SECURITIZED PRODUCTS WITHIN THE TIME PERMITTED UNDER FINRA RULE 6730(A). Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $50,000.00.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT DID NOT ESTABLISH AND IMPLEMENT ANTI-MONEY LAUNDERING (AML) PROGRAMS REASONABLY DESIGNED TO DETECT AND CAUSE THE REPORTING OF POTENTIALLY SUSPICIOUS ACTIVITY. THE FINDINGS STATED THAT DUE TO THE SIZE AND COMPLEXITY OF THE RESPONDENT'S CUSTOMER BASE, THE FIRM RELIED UPON AUTOMATED SURVEILLANCE SYSTEMS TO IDENTIFY POTENTIAL AML RED FLAGS. THESE SYSTEMS, HOWEVER, WERE NOT REASONABLY DESIGNED TO MONITOR CERTAIN HIGH-RISK TRANSACTIONS INCLUDING FOREIGN CURRENCY WIRE TRANSFERS. THE FIRM DID NOT MONITOR WIRE TRANSFERS OF FOREIGN CURRENCY DIRECTLY INTO AND OUT OF CUSTOMER COMMODITIES ACCOUNTS AND FAILED TO ASCERTAIN INFORMATION ABOUT THE FOREIGN CURRENCY WIRE TRANSFERS NECESSARY TO DETECT AND REPORT SUSPICIOUS ACTIVITY. BY NOT ESTABLISHING AND IMPLEMENTING REASONABLY DESIGNED POLICIES AND PROCEDURES, THOUSANDS OF FOREIGN CURRENCY WIRES INVOLVING BILLIONS OF DOLLARS, INCLUDING TRANSFERS TO AND FROM COUNTRIES KNOWN FOR HAVING HIGH MONEY-LAUNDERING RISK, OCCURRED WITHOUT SUFFICIENT AML OVERSIGHT. WITH RESPECT TO RETAIL BROKERAGE ACCOUNTS, THE FIRM'S AUTOMATED SURVEILLANCE SYSTEM DID NOT CAPTURE CERTAIN INFORMATION ABOUT THE WIRE TRANSFERS OF FOREIGN CURRENCY INTO AND OUT OF CUSTOMER ACCOUNTS TO MONITOR THE TRANSACTIONS FOR POTENTIALLY SUSPICIOUS ACTIVITY. THE FIRM'S AUTOMATED SYSTEM DID NOT CAPTURE CERTAIN SENDER AND RECIPIENT INFORMATION AND THE COUNTRY OF ORIGIN FOR THIRD PARTIES THAT MAY ASSIST IN ASCERTAINING WHETHER THE TRANSACTIONS WERE SUSPICIOUS. THE FINDINGS ALSO STATED THE FIRM DID NOT CONDUCT REQUIRED PERIODIC RISK-BASED DUE DILIGENCE REVIEWS OF CORRESPONDENT ACCOUNTS FOR CERTAIN FOREIGN FINANCIAL INSTITUTIONS (FFIS) REASONABLY DESIGNED TO DETECT AND REPORT KNOWN OR SUSPECTED MONEY-LAUNDERING ACTIVITY. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $4,500,000.
Allegations: ON MAY 14, 2019, UBS FINANCIAL SERVICES INC. ("THE FIRM") AND THE NYSE AGREED TO A SETTLEMENT OF THE PROCEEDING WHICH WAS ACCEPTED AND RESULTED IN THE JUNE 10, 2019 ISSUANCE OF A LETTER OF ACCEPTANCE, WAIVER AND CONSENT ("AWC"). THE AWC CHARGES THAT THE FIRM VIOLATED SEC RULE 15C3-5 OF THE SECURITIES EXCHANGE ACT OF 1934 (THE "MARKET ACCESS RULE") AND NYSE RULE 3110 (SUPERVISION) AND FORMER NYSE RULE 342, FROM AUGUST 2013 TO JULY 2018, BY FAILING TO HAVE CERTAIN CONTROLS IN TWO OF ITS ORDER MANAGEMENT SYSTEMS THAT WERE REASONABLY DESIGNED TO PREVENT THE ENTRY OF CERTAIN ORDERS AS REQUIRED BY THE MARKET ACCESS RULE. IN PARTICULAR, THE AWC FOUND THE FIRM'S MARKET ACCESS CONTROLS WERE NOT REASONABLY DESIGNED TO PREVENT: (I) THE ENTRY OF ORDERS FOR RETAIL CUSTOMERS THAT EXCEEDED APPROPRIATE PRE-SET CREDIT LIMITS, BOTH IN THE FIRM'S CONSOLIDATED ORDER ENTRY SYSTEM (COE) FROM AUGUST 2013 TO DECEMBER 2014 BECAUSE DURING THIS PERIOD THE CONTROLS IN PLACE WERE SOFT BLOCKS NOT SUBJECTED TO ADDITIONAL PRE-TRADE CONTROLS OR SUPERVISORY REVIEW, AND FAILED TO HAVE ANY PRE-TRADE CREDIT LIMITS IN THE FIRM'S LEGACY MANUAL ORDER MANAGEMENT SYSTEM (DORS) FROM AUGUST 2013 UNTIL THAT SYSTEM WAS FULLY DECOMMISSIONED IN OCTOBER 2014; (II) THE ENTRY OF ORDERS EXCEEDING APPROPRIATE SECURITY-SPECIFIC PRICE AND/OR SIZE PARAMETERS, BOTH IN COE FROM AUGUST 2013 UNTIL THE FIRM'S IMPLEMENTATION OF ADTV CONTROLS IN THAT SYSTEM IN JULY 2018, AND IN DORS FROM AUGUST 2013 UNTIL THAT SYSTEM WAS FULLY DECOMMISSIONED IN OCTOBER 2014; AND (III) THE ENTRY OF DUPLICATIVE ORDERS IN DORS FROM AUGUST 2013 UNTIL THAT SYSTEM WAS FULLY DECOMMISSIONED IN OCTOBER 2014. WITHOUT ADMITTING OR DENYING THE FINDINGS AND CONCLUSIONS, THE FIRM CONSENTED TO THE ENTRY OF THE FINDINGS AND TO THE SANCTIONS. Status: Final Sanction Detail: UBS FINANCIAL SERVICES INC. PAID THE FINE OF $125,000 ON JUNE 19, 2019. Summary: SOLELY FOR THE PURPOSE OF SETTLING THIS PROCEEDING, UBS FINANCIAL SERVICES INC. CONSENTED TO THE AWC WITHOUT ADMITTING OR DENYING THE FINDINGS OR CONCLUSIONS IN THE AWC, EXCEPT AS TO THE NYSE JURISDICTION OVER THE FIRM AND THE SUBJECT MATTER. THE ALLEGATIONS, FINDINGS, DISPOSITIONS, AND SANCTIONS OF THE AWC ARE DESCRIBED IN ITEMS 7 AND 12.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT AFTER A PREVIOUS AWC FOR RELATED VIOLATIONS, THE FIRM CONTINUED TO FAIL TO ESTABLISH AND MAINTAIN REASONABLY DESIGNED SUPERVISORY SYSTEMS AND PROCEDURES TO ADDRESS SHORT POSITIONS IN TAX-EXEMPT MUNICIPAL SECURITIES. FINRA ALSO FOUND THAT THE FIRM FAILED TO TAKE ACTION TO ADDRESS THE TAX CONSEQUENCES OF CERTAIN SHORT POSITIONS IN MUNICIPAL SECURITIES AS A RESULT, THE FIRM INACCURATELY REPRESENTED THAT MUNICIPAL BOND POSITIONS ON CUSTOMER ACCOUNT STATEMENTS AND FORMS 1099 HAD RECEIVED APPROXIMATELY $261,610 IN INTEREST THAT WAS TAX-EXEMPT, AND INACCURATELY REPRESENTED ON ADDITIONAL CUSTOMER ACCOUNT STATEMENTS AND FORMS 1099 THAT THEY HAD RECEIVED TAXABLE INTEREST, WHEN IN FACT SOME OR ALL OF THE INTEREST WAS EXEMPT FROM TAXATION. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO MAINTAIN RECORDS OF THE SPECIFIC CUSTOMER ACCOUNTS THAT OFFSET ITS MUNICIPAL SHORT POSITIONS AS REQUIRED BY MSRB RULES. FINRA ALSO FOUND THAT THE FIRM FAILED TO TAKE PROMPT STEPS TO BRING SHORT POSITIONS IN CDS AND MUNICIPAL BONDS THAT AT SOME POINT DURING THE PERIOD WERE AGED MORE THAN 30 DAYS WITHIN ITS POSSESSION OR CONTROL AS REQUIRED BY THE SECURITIES EXCHANGE ACT AND FINRA RULES. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $2,000,000, AND ORDERED TO PAY RESTITUTION TO CUSTOMERS SUFFICIENT TO COMPENSATE THOSE WHO MAY HAVE INCURRED INCREASED STATE LIABILITIES RESULTING FROM THE FIRM HAVING MISCHARACTERIZED INTEREST ACCRUED BETWEEN 2014 AND 2017 AS TAXABLE SUBSTITUTE INTEREST. THE ALSO AGREES TO COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE AWC.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THEENTRY OF FINDINGS THAT IT FAILED TO REPORT CERTAIN REPORTABLE OPTIONS POSITIONS ANDINACCURATELY REPORTED OTHERS. THE FINDINGS STATED THAT THE FIRM FAILED TO CARRY OVERIDENTIFICATION CODES THAT DESIGNATED THE ACCOUNTS HANDLED BY TWO OUTSIDE MONEY MANAGERS ASBEING UNDER COMMON CONTROL. AS A RESULT, THE FIRM DID NOT RECOGNIZE THE ACCOUNTS HELD BY AMANAGER AS ACTING IN-CONCERT WITH OTHER ACCOUNTS THAT WERE PART OF THE MANAGER'S PROGRAM,AND SIMILARLY DID NOT RECOGNIZE AS ACTING IN CONCERT THE ACCOUNTS HELD BY ANOTHER MANAGER.BY NOT RECOGNIZING THESE ACCOUNTS AS ACTING IN-CONCERT, THE POSITIONS IN THE ACCOUNTS HELDUNDER COMMON CONTROL BY THE MANAGER AND THOSE HELD IN ACCOUNTS UNDER COMMON CONTROL OFTHE OTHER MANAGER WERE NOT AGGREGATED TO DETERMINE WHETHER THEY WERE REPORTABLE TO THELARGE OPTIONS POSITION REPORT (LOPR). THIS CAUSED THE FIRM TO FAIL TO REPORT TO LOPR CERTAINPOSITIONS THAT OTHERWISE SHOULD HAVE BEEN REPORTED. IN ADDITION, FOR POSITIONS THAT WEREREPORTED TO THE LOPR (BECAUSE THEY WERE AT OR ABOVE THE 200 CONTRACT THRESHOLD), THE FIRM'SFAILURE TO CARRY OVER THE IDENTIFICATION CODE FOR THE ACCOUNTS HANDLED BY BOTH THE MANAGERSLED TO ITS FAILURE TO PROPERLY REPORT THOSE ACCOUNTS AS ACTING IN-CONCERT. THE FIRM ATTEMPTEDTO IMPLEMENT A FIX TO RESOLVE THE ISSUE. A REVIEW OF POSITIONS REVEALED THAT THE FIRM'S FAILURESRESULTED IN ITS FAILURE TO REPORT POSITIONS TO THE LOPR IN APPROXIMATELY 678,000 INSTANCES.ADDITIONALLY, FOR THOSE POSITIONS THAT WERE REPORTED, THE FIRM FAILED TO PROPERLY IDENTIFY THEMAS ACTING IN-CONCERT IN APPROXIMATELY 25,000 INSTANCES. UNRELATED TO THE ACCOUNTS DISCUSSEDABOVE, THE FIRM UNDER-REPORTED TWO POSITIONS TO LOPR IN FIVE INSTANCES, AND FAILED TO REPORTONE POSITION IN THREE INSTANCES. THESE FAILURES WERE CAUSED BY ADJUSTMENTS TO THE FIRM'SBOOKS AND RECORDS TO REFLECT POSITIONS BEING REALLOCATED AMONG DIFFERENT ACCOUNTS AND "AS-OF" RE-BILLINGS, WHERE ACCOUNTS WERE BILLED AFTER THE TRADE WAS REALLOCATED. THE FIRMSUBMITTED ADJUSTMENTS TO THE LOPR TO REFLECT THESE EVENTS, BUT SOME OF THOSE LOPR RECORDSWERE REJECTED. AN INDIVIDUAL AT THE FIRM WHO WAS TASKED WITH MANUALLY RESUBMITTING THOSE REJECTED RECORDS FAILED TO DO SO IN THESE LIMITED INSTANCES. MOREOVER, THE FIRM UNDER-REPORTED ONE POSITION TO THE LOPR. THIS WAS CAUSED BY AN ERROR IN MANUALLY ENTERING ORDERINFORMATION. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT CERTAIN REPORTABLE OPTIONS POSITIONS AND INACCURATELY REPORTED OTHERS. THE FINDINGS STATED THAT THE FIRM FAILED TO CARRY OVER IDENTIFICATION CODES THAT DESIGNATED THE ACCOUNTS HANDLED BY TWO OUTSIDE MONEY MANAGERS AS BEING UNDER COMMON CONTROL. AS A RESULT, THE FIRM DID NOT RECOGNIZE THE ACCOUNTS HELD BY EACH MANAGER AS ACTING IN-CONCERT WITH OTHER ACCOUNTS THAT WERE PART OF EACH MANAGERS' PROGRAM. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT CERTAIN REPORTABLE OPTIONS POSITIONS AND INACCURATELY REPORTED OTHERS. THE FINDINGS STATED THAT THE FIRM FAILED TO CARRY OVER IDENTIFICATION CODES THAT DESIGNATED THE ACCOUNTS HANDLED BY TWO OUTSIDE MONEY MANAGERS AS BEING UNDER COMMON CONTROL. AS A RESULT, THE FIRM DID NOT RECOGNIZE THE ACCOUNTS HELD BY EACH MANAGER AS ACTING IN-CONCERT WITH OTHER ACCOUNTS THAT WERE PART OF EACH MANAGERS' PROGRAM.
Allegations: UBS FINANCIAL SERVICES INC. IS ALLEGED TO HAVE VIOLATED CBOE RULE 3.30 AND ITS PREDECESSOR, CBOE RULE 3.6A, IN ALLEGEDLY FAILING TO PROPERLY QUALIFY AND REGISTER AN ASSOCIATED PERSON AS A SECURITIES TRADER PRINCIPAL. Status: Final Sanction Detail: CENSURE AND ADMINISTRATIVE FINE IN THE AMOUNT OF $15,000. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS OR THAT ANY RULE VIOLATIONS OCCURRED, THE FIRM ENTERED INTO A LETTER OF CONSENT WITH THE CBOE TO RESOLVE THE MATTER.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO A CENSURE AND TO THE ENTRY OF A FINDING THAT IT FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO SUPERVISE 529 PLAN SHARE-CLASS RECOMMENDATIONS IN VIOLATION OF MSRB RULE G-27. BECAUSE UBS SELF-REPORTED THE ISSUE TO FINRA AS PART OF FINRA'S 529 SHARE CLASS SELF-DISCLOSURE INITIATIVE, AND BECAUSE UBS COOPERATED WITH FINRA IN DETERMINING AN APPROPRIATE REMEDIATION PLAN FOR AFFECTED CLIENTS, FINRA GAVE TO CREDIT TO UBS FOR "EXTRA-ORDINARY COOPERATION" AND IMPOSED NO FINE ON THE FIRM. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND AGREED TO PAY $4,059,652.95, PLUS INTEREST, IN RESTITUTION TO CUSTOMERS. THE FIRM VOLUNTARILY SELF-REPORTED POTENTIAL ISSUES WITH ITS SUPERVISORY SYSTEM DURING THE YEARS 2013-2018 TO FINRA AS PART OF THE 529 SHARE CLASS DISCLOSURE INITIATVE. ACCORDINGLY, NO MONETARY SANCTION WAS IMPOSED.
Allegations: THE COMEX BUSINESS CONDUCT COMMITTEE ALLEGED THAT ON TRADE DATE MAY 8, 2013, UBS AG ENTERED INTO AN EFRP TRANSACTION THAT DID NOT CONTAIN DOCUMENTATION OF THE CORRESPONDING CASH POSITION, AND THEREFORE WAS NOT A BONA FIDE EFRP. THE PANEL FOUND THAT AS A RESULT, UBS VIOLATED LEGACY RULE 538.H. THE FIRM NEITHER ADMITTED NOR DENIED THE RULE VIOLATIONS. Status: Final Sanction Detail: UBS WAS ORDERED TO PAY A FINE OF $15,000.
Allegations: ALLEDGED UNSUITABLE RECOMMENDATIONS, UNSUITABLE TRANSACTIONS, UNAUTHORIZED TRADING, VIOLATION OF JUST AND EQUITABLE PRINCIPLES AND EXCESSIVE TRADING. PRODUCT: OPTIONS, BONDS, EQUITIES. OCCURED AT PRUDENTIAL SECURITIES DURING HIS EMPLOYMENT THERE. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, I CONSENTED TO A CENSURE AND A FINE OF $25,000 Summary: NOT PROVIDED
Allegations: FAILURE TO SUPERVISE A BROKER IN VIOLATION OF RULE 320(B) Status: Final Sanction Detail: A CENSURE-I CONSENTED TO THE FINDINGS WITHOUT ADMITTING OR DENYING THE STIPULATED FACTS. Summary: NOT PROVIDED
Allegations: NON-COMPLIANCE WITH REGULATIONS 15A, 20 AND 20A AND CLAUSES 1, 2, 5 AND 6 OF CODE OF CONDUCT APPLICABLE TO FIIS. Status: On Appeal
Status: Final Sanction Detail: FAILURE TO COMPLETE SECURITIES AGENT LICENSE APPLICATION FILED ON 1/9/04. Summary: FAILURE TO COMPLETE SECURITIES AGENT LICENSE APPLICATION FILED ON 1/9/04.
Allegations: THIS MATTER AROSE AS THE RESULT OF AN INVESTIGATION CONDUCTED BY THE DIVISION INTO PAINEWEBBER'S AND MHAM'S INVESTMENT ADVISORY ACTIVITY IN VIRGINIA. THE INVESTIGATION REVEALED THAT MHAM'S REGISTRATION AS AN INVESTMENT ADVISER HAD EXPIRED ON DECEMBER 31, 1990; AND, FURTHER, THAT BOTH PAINEWEBBER AND MHAM MAY HAVE VIOLATED SECTION 13.1-504 OF THE VIRGINIA CODE, BY FAILING TO PROPERLY REGISTER BROKER/DEALER REPRESENTATIVES AS INVESTMENT ADVISER REPRESENTATIVES PURSUANT TO THE REQUIREMENTS OF THE STATUTE. Status: Final Sanction Detail: IN SEPTEMBER, 1991, PAINEWEBBER INCORPORATED ("PAINEWEBBER") AND MITCHELL HUTCHINS ASSET MANAGEMENT INC. ("MHAM") (A WHOLLY-OWNED SUBSIDIARY OF PAINEWEBBER INCORPORATED) ENTERED INTO AN ORDER ACCEPTING OFFER OF SETTLEMENT WITH THE COMMONWEALTH OF VIRGINIA, STATE CORPORATION COMMISSION, DIVISION OF SECURITIES AND RETAIL FRANCHISING ("DIVISION") WHEREBY PAINEWEBBER AND MHAM, WITHOUT ADMITTING OR DENYING VARIOUS ALLEGED VIOLATIONS, CONSENTED TO THE IMPOSITION OF A PENALTY IN THE AMOUNT OF $300,000.00 BY THE DIVISION; IN ADDITION, PAINEWEBBER AND MHAM AGREED TO REIMBURSE THE DIVISION THE SUM OF $15,000.00 FOR COSTS OF THE INVESTIGATION CONDUCTED BY THE DIVISION; FINALLY, PAINEWEBBER AND MHAM AGREED TO COMPLY WITH CERTAIN UNDERTAKINGS SET FORTH IN THE ORDER. Summary: PLEASE DISREGARD REMOVAL REQUEST.
Allegations: THIS MATTER AROSE AS THE RESULT OF A ROUTINE EXAMINATION OF ONE OF PAINEWEBBER'S BRANCHES LOCATED IN OKLAHOMA. THE EXAMINATION REVEALED THAT THREE (3) PAINEWEBBER BROKER/DEALER REPRESENTATIVES MAY HAVE ENGAGED IN RENDERING FEE BASED INVESTMENT ADVISORY SERVICES WITHOUT BEING REGISTERED AS INVESTMENT ADVISOR REPRESENTATIVES, IN APPARENT VIOLATION OF SECTION 201(C) OF THE ACT; FURTHER, THE EXAMINATION REVEALED THAT PAINEWEBBER MAY HAVE MADE CLIENT REFERRALS TO INVESTMENT ADVISERS WHO MAY NOT HAVE BEEN REGISTERED WITH THE STATE IN VIOLATION OF SECTION 201(C) OF THE ACT. Status: Final Sanction Detail: IN SEPTEMBER, 1991, PAINEWEBBER INCORPORATED("PAINEWEBBER") ENTERED INTO AN AGREEMENT WITH THE STATE OF OKLAHOMA DEPARTMENT OF SECURITIES, WHEREBY PAINEWEBBER, WITHOUT ADMITTING OR DENYING VARIOUS ALLEGED VIOLATIONS, CONSENTED TO THE FOLLOWING CONDITIONS: (A) PAINEWEBBER AGREED TO COMPLY WITH ALL PROVISIONS OF THE OKLAHOMA SECURITIES ACT ("ACT") AND THE RULES PROMULGATED PURSUANT THERETO IN CONNECTION WITH ANY ACTIVITIES CONDUCTED IN OR FOR THE STATE OF OKLAHOMA; (B) PAINEWEBBER AGREED TO REGISTER ANY AGENTS CONDUCTING INVESTMENT ADVISORY SERVICES WITHIN THE STATE OF OKLAHOMA AS INVESTMENT ADVISER REPRESENTATIVES; AND FINALLY, (C) PAINEWEBBER AGREED TO REFRAIN FROM REFERRING ITS OKLAHOMA CUSTOMERS TO INVESTMENT ADVISERS NOT APPROPRIATELY REGISTERED UNDER THE ACT. NO FURTHER SANCTIONS WERE IMPOSED. PLEASE DISREGARD REMOVAL REQUEST. Summary: IN SEPTEMBER, 1991, PAINEWEBBER INCORPORATED("PAINEWEBBER") ENTERED INTO AN AGREEMENT WITH THE STATE OF OKLAHOMA DEPARTMENT OF SECURITIES, WHEREBY PAINEWEBBER, WITHOUT ADMITTING OR DENYING VARIOUS ALLEGED VIOLATIONS, CONSENTED TO THE FOLLOWING CONDITIONS: (A) PAINEWEBBER AGREED TO COMPLY WITH ALL PROVISIONS OF THE OKLAHOMA SECURITIES ACT ("ACT") AND THE RULES PROMULGATED PURSUANT THERETO IN CONNECTION WITH ANY ACTIVITIES CONDUCTED IN OR FOR THE STATE OF OKLAHOMA; (B) PAINEWEBBER AGREED TO REGISTER ANY AGENTS CONDUCTING INVESTMENT ADVISORY SERVICES WITHIN THE STATE OF OKLAHOMA AS INVESTMENT ADVISER REPRESENTATIVES; AND FINALLY, (C) PAINEWEBBER AGREED TO REFRAIN FROM REFERRING ITS OKLAHOMA CUSTOMERS TO INVESTMENT ADVISERS NOT APPROPRIATELY REGISTERED UNDER THE ACT. NO FURTHER SANCTIONS WERE IMPOSED. PLEASE DISREGARD REMOVAL REQUEST.
Allegations: THIS MATTER AROSE AS THE RESULT OF AN INVESTIGATION CONDUCTED BY THE DIVISION INTO PAINEWEBBER'S INVESTMENT ADVISORY ACTIVITY IN CONNECTICUT; FURTHER THE DIVISION CONDUCTED A SEPARATE INVESTIGATION INTO THE ACTIVITIES OF ONE OF PAINEWEBBER'S REGISTERED REPRESENTATIVES IN REFERENCE TO THE SUITABILITY OF VARIOUS SECURITIES WHICH THAT INDIVIDUAL RECOMMENDED TO CERTAIN OF HIS/HER CLIENTS WHO WERE CONNECTICUT RESIDENTS. THE INVESTIGATION REVEALED THAT PAINEWEBBER MAY HAVE VIOLATED SECTION 36-474(C) OF THE CONNECTICUT UNIFORM SECURITIES ACT (THE "ACT") BY FAILING TO PROPERLY REGISTER BROKER/DEALER REPRESENTATIVES AS INVESTMENT ADVISER AGENTS PURSUANT TO THE REQUIREMENTS OF THE ACT; THE INVESTIGATION FURTHER REVEALED THAT PAINEWEBBER MAY HAVE VIOLATED SECTION 36-472 OF THE ACT BASED UPON THE ACTIVITIES OF ITS REGISTERED REPRESENTATIVE WHO WAS ALLEGED TO HAVE MADE UNSUITABLE RECOMMENDATIONS TO HIS/HER CLIENTS WHO WERE CONNECTICUT RESIDENTS. Status: Final Sanction Detail: IN SEPTEMBER, 1991, PAINEWEBBER INCORPORATED ("PAINEWEBBER") ENTERED INTO A STIPULATION AND AGREEMENT WITH THE STATE OF CONNECTICUT, DEPARTMENT OF BANKING, SECURITIES AND BUSINESS INVESTMENTS DIVISION ("DIVISION"), WHEREBY PAINEWEBBER, WITHOUT ADMITTING OR DENYING VARIOUS ALLEGED VIOLATIONS, CONSENTED TO THE IMPOSITION OF A PENALTY IN THE AMOUNT OF $50,000.00 BY THE DIVISION; IN ADDITION, PAINEWEBBER AGREED TO REIMBURSE THE DIVISION THE SUM OF $25,000.00 FOR COSTS OF THE INVESTIGATION BY THE DIVISION; FINALLY, PAINEWEBBER AGREED TO COMPLY WITH CERTAIN UNDERTAKINGS SET-FORTH IN THE STIPULATION AND AGREEMENT. Summary: BASED UPON THE STIPULATION AND AGREEMENT, THE COMMISSIONER OF BANKING FOR THE DEPARTMENT OF BANKING ENTERED AN ORDER WITHDRAWING THE NOTICE OF INTENT TO FINE AND NOTICE OF INTENT TO SUSPEND REGISTRATION AS A BROKER-DELAER AND INVESTMENT ADVISER WITHOUT PREJUDICE ON SEPTEMBER 30, 1991, WHICH NOTICES RESULTED FROM THE INVESTIGATION DESCRIBED HEREIN. PLEASE DISREGARD REMOVAL REQUEST.
Allegations: THIS MATTER AROSE AS THE RESULT OF A ROUTINE EXAMINATION OF ONE OF PAINEWEBBER'S BRANCHES LOCATED IN OKLAHOMA. THE EXAMINATION REVEALED THAT THREE (3) PAINEWEBBER BROKER/DEALER REPRESENTATIVES MAY HAVE ENGAGED IN RENDERING FEE BASED INVESTMENT ADVISORY SERVICES WITHOUT BEING REGISTERED AS INVESTMENT ADVISOR REPRESENTATIVES, IN APPARENT VIOLATION OF SECTION 201(C) OF THE ACT; FURTHER, THE EXAMINATION REVEALED THAT PAINEWEBBER MAY HAVE MADE CLIENT REFERRALS TO INVESTMENT ADVISERS WHO MAY NOT HAVE BEEN REGISTERED WITH THE STATE IN VIOLATION OF SECTION 201(C) OF THE ACT. Status: Final Summary: IN SEPTEMBER, 1991, PAINEWEBBER INCORPORATED("PAINEWEBBER") ENTERED INTO AN AGREEMENT WITH THE STATE OF OKLAHOMA DEPARTMENT OF SECURITIES, WHEREBY PAINEWEBBER, WITHOUT ADMITTING OR DENYING VARIOUS ALLEGED VIOLATIONS, CONSENTED TO THE FOLLOWING CONDITIONS: (A) PAINEWEBBER AGREED TO COMPLY WITH ALL PROVISIONS OF THE OKLAHOMA SECURITIES ACT ("ACT") AND THE RULES PROMULGATED PURSUANT THERETO IN CONNECTION WITH ANY ACTIVITIES CONDUCTED IN OR FOR THE STATE OF OKLAHOMA; (B) PAINEWEBBER AGREED TO REGISTER ANY AGENTS CONDUCTING INVESTMENT ADVISORY SERVICES WITHIN THE STATE OF OKLAHOMA AS INVESTMENT ADVISER REPRESENTATIVES; AND FINALLY, (C) PAINEWEBBER AGREED TO REFRAIN FROM REFERRING ITS OKLAHOMA CUSTOMERS TO INVESTMENT ADVISERS NOT APPROPRIATELY REGISTERED UNDER THE ACT. NO FURTHER SANCTIONS WERE IMPOSED. PLEASE DISREGARD REMOVAL REQUEST.
Allegations: IN EARLIER ORDER, DATED JANUARY 28, 2019, STATE ALLEGED A FORMER UBS AGENT RECOMMENDED CERTAIN GOLD & PRECIOUS METALS SECURITIES TO CERTAIN CLIENTS. AS A RESULT OF THESE RECOMMENDATIONS, STATE ALLEGED, 18 CLIENTS BOUGHT AND CAME TO HOLD AN UNSUITABLE OVERCONCENTRATION OF SAID SECURITIES. IN FINAL ORDER, DATED AUGUST 5, 2019, REPORTED HERE, STATE FINDS THAT UBS FULFILLED THE REQUIREMENTS OF THE EARLIER SETTLEMENT ORDER OF JANUARY 28, 2019, AND DISMISSED THE CASE. Status: Final Sanction Detail: IN STATE SETTLEMENT ORDER OF JANUARY 28, 2019, FIRM AGREED TO PAY UP TO 18 CUSTOMERS AN AMOUNT UP TO $288,970.20. BY FINAL ORDER DATED AUGUST 5, 2019, STATE FOUND THAT UBS FULFILLED THE REQUIREMENTS OF THE JANUARY 28, 2019 SETTLEMENT ORDER AND DISMISSED THE CASE. Summary: IN STATE SETTLEMENT ORDER OF JANUARY 28, 2019, FIRM AGREED TO PAY UP TO 18 CUSTOMERS AN AMOUNT UP TO $288,970.20. BY FINAL ORDER DATED AUGUST 5, 2019, STATE FOUND THAT UBS FULFILLED THE REQUIREMENTS OF THE JANUARY 28, 2019 SETTLEMENT ORDER AND DISMISSED THE CASE.
Allegations: ALLEGED TO HAVE SOLICITED, NEGOTIATED AND/OR EFFECTED INSURACE POLICIES WITH AN EXPIRED PRODUCER LICENSE AND TO HAVE CHANGED HIS BUSINESS ADDRESS WITHOUT PROPER NOTIFICATION TO THE COMMISSIONER OF INSURANCE, THEREBY ALLEGEDLY VIOLATING N.J.S.A. 17:22A-1.3 (A), (B) & (C), N.J.S.A. 17:22A-3, N.J.S.A. 17:22 A-17A(11). Status: Final Sanction Detail: AGREED TO CONSENT ORDER ADMITTING THE ALLEGATIONS PAID A FINE IN THE AMOUNT OF $750.00 AND AGREED TO CEASE AND DESIST FROM ENGAGING IN THE CONDUCT WHICH GAVE RISE TO THE ORDER Summary: I BELIEVED THAT MY NEW FIRM WOULD FILE A CHANGE OF ADDRESS AS HAD BEEN DONE WITH MY PREVIOUS FIRM ON EARLIER OCCASIONS. AS MY ADDRESS WAS INCORRECT IN THE COMMISSIONERS OFFICE, I DID NOT RECEIVE NOTICE OF PENDING LICENSE RENEWAL AND WAS HTEREFORE UNAWARE THAT MY LICENSE HAD LAPSED WHEN I SOLD THE POLICIES AT ISSUE. I HAVE SINCE CORRECTED THE ADDRESS RECORD AND MY LICENSE HAS BEEN RENEWED.
Allegations: THE DEPARTMENT ALLEGED THAT UBS FINANCIAL SERVICES INC. (UBS) DID NOT TAKE SUFFICIENT MEASURES TO ENSURE THAT CERTAIN UBS REGISTERED REPRESENTATIVES AND INVETMENT ADVISORS INFORMED THEIR MUTUAL FUNDS CLIENTS IN ILLINOIS REGARDING THE TRANFERABILITY OF UBS FUNDS. FIVE CLIENTS RECEIVED REMEDIATION IN THE TOTAL AMOUNT OF $723.27 Status: Final Sanction Detail: NO SANCTIONS. REMEDIATION TO FIVE CLIENTS FOR CONTINGENT DEFERRAL SALES CHARGES. CONTRIBUTION TO STATE INVESTO EDUCATION FUND. Summary: REMEDATIONS OF CONTINGENT DEFERRED SALES CHARGES TO FIVE CLIENTS. CONTRIBUTION TO STATE'S INVESTOR EDUCATION FUND.
Allegations: ELDERLY INVESTOR WAS SOLICITED TO PURCHASE A MUTUAL FUND WHEN THE TWO UBS AGENTS WERE UNLICENSED IN THE STATE OF NEW HAMPSHIRE AT THE TIME. Status: Final Sanction Detail: FINE $7500.00, RESTITUTION $60,000.00 AND COSTS $5000.00
Allegations: FAILURE TO PROPERLY REGISTER AN EMPLOYEE IN THE DISTRICT OF COLUMBIA Status: Final Sanction Detail: IN DECEMBER OF 1991, THE PUBLIC SERVICE COMMISSION OF THE DISTRICT OF COLUMBIA FINED PAINEWEBBER INCORPORATED $1,500.00 FOR FAILURE TO PROPERLY REGISTER AN EMPLOYEE IN THAT JURISDICTION. Summary: IN DECEMBER OF 1991, THE PUBLIC SERVICE COMMISSION OF THE DISTRICT OF COLUMBIA FINED PAINEWEBBER INCORPORATED $1,500.00 FOR FAILURE TO PROPERLY REGISTER AN EMPLOYEE IN THAT JURISDICTION.
Allegations: BREACH OF RULE 5.49 OF THE SECURITIES AND FUTURES ASSOCIATION ("SFA") RULES AND SUP 17.4R AND SUP 15.61R OF THE FSA RULES. Status: Final Sanction Detail: UBS WEALTH MANAGEMENT WAS FINED GBP 100,000 (USD 171,960) Summary: UBS AG HAS A WEALTH MANAGEMENT DIVISION THAT CARRIES OUT TRANSACTIONS ON BEHALF OF IT'S CLIENTS WHICH ARE REQUIRED TO BE REPORTED IN ACCORDANCE WITH SUP 17.4 R. SINCE OCTOBER 1999, ALL EQUITY TRANSACTIONS UNDERTAKEN BY UBS WEALTH MANAGEMENT HAD BEEN INCORRECTLY HARD CODED AS PRINCIPAL WHEN THEY SHOULD HAVE BEEN REPORTED AS AGENT.
Allegations: ON APRIL 20TH, UBS LIMITED, A FOREIGN AFFILIATE OF UBS SECURITIES LLC, UBS FINANCIAL SERVICES INC AND UBS SERVICES USA LLC WAS NOTIFIED THAT IT WAS BEING FINED 300,000 EUROS ($384,000 USD) BY THE BANK OF GREECE FOR ITS BREACH OF THE UNDERWRITING REGULATION. THE BASIS FOR THE FINE IS THAT UBS LIMITED FAILED TO TAKE ALL MEASURES, AS REQUIRED UNDER THE GREEK REGULATION ON UNDERWRITING, TO PREVENT ITS AFFILIATED COMPANY, UBS AG (LONDON BRANCH), FROM PURCHASING AGRICULTURAL BANK OF GREECE ("ABG") SHARES ON A PROPRIETARY BASIS BETWEEN 9 JUNE AND 4 OCTOBER 2005. THE REGULATION REQUIRES (ARTICLE 6(8)) AN UNDERWRITER TO TAKE CARE TO ENSURE THAT ITS AFFILIATES DO NOT PURCHASE SHARES OF THE COMPANY FOR WHOM UBS ACTED AS UNDERWRITER DURING THE SENSITIVE PERIOD (FROM THE DATE UBS IS MANDATED TO THREE MONTHS AFTER THE TRANSACTION). THE VIOLATION WAS UNINTENTIAL AND THERE WAS NO ALLEGATION AGAINST UBS LIMITED OF MARKET ABUSE OR MANIPULATION. Status: Final Sanction Detail: ON APRIL 20TH, UBS LIMITED, A FOREIGN AFFILIATE OF UBS SECURITIES LLC, UBS FINANCIAL SERVICES INC AND UBS SERVICES USA LLC WAS NOTIFIED THAT IT WAS BEING FINED 300,000 EUROS ($384,000 USD) BY THE BANK OF GREECE FOR ITS BREACH OF THE UNDERWRITING REGULATION. Summary: ON APRIL 20TH, UBS LIMITED, A FOREIGN AFFILIATE OF UBS SECURITIES LLC, UBS FINANCIAL SERVICES INC AND UBS SERVICES USA LLC WAS NOTIFIED THAT IT WAS BEING FINED 300,000 EUROS ($384,000 USD) BY THE BANK OF GREECE FOR ITS BREACH OF THE UNDERWRITING REGULATION. THE BASIS FOR THE FINE IS THAT UBS LIMITED FAILED TO TAKE ALL MEASURES, AS REQUIRED UNDER THE GREEK REGULATION ON UNDERWRITING, TO PREVENT ITS AFFILIATED COMPANY, UBS AG (LONDON BRANCH), FROM PURCHASING AGRICULTURAL BANK OF GREECE ("ABG") SHARES ON A PROPRIETARY BASIS BETWEEN 9 JUNE AND 4 OCTOBER 2005.
Allegations: UBS EXECUTED A NON BONAFIDE TRANSITORY EXCHANGE FOR RELATED POSITION (EFRP) TRANSACTION IN CONTRAVENTION OF RULE 538C. WHILE ACTING SOLELY AS A BROKER FOR A CUSTOMER, UBS ERRONEOUSLY SUBMITTED A BLOCK TRADE TO THE EXCHANGE AS AN EFRP. THE EFRP WAS NON BONAFIDE AS THERE WAS NO CORRESPONDING RELATED OTC POSITION. IN MISTAKENLY TRANSMITTING THE TRANSACTION TO THE EXCHANGE AS AN EFRP RATHER THAN A BLOCK TRADE, UBS CONTRAVENED RULE 438X. Status: Final Sanction Detail: $30000.00
Allegations: STATE AGS ALLEGED THAT UBS AG'S USD LIBOR SUBMISSIONS ON OCCASION IN 2006-09 WERE INFLUENCED BY DIRECTIVES TO AVOID REPUTATIONAL HARM AND/OR ITS YEN LIBOR SUBMISSIONS AT TIMES WERE FALSE AND THAT UBS AG DID NOT DISCLOSE THIS ALLEGED CONDUCT TO GOVERNMENT AND NON-PROFIT SWAP COUNTERPARTIES. Status: Final Sanction Detail: SETTLEMENT AGREEMENT PROVIDES FOR PAYMENT OF $68 MILLION BY UBS AG BY JUNE 20, 2019. $64.6 MILLION IS RESTITUTION; NONE IS A FINE OR PENALTY. Summary: SETTLEMENT AGREEMENT EXECUTED 12/21/18. PAYMENT TO BE MADE BY UBS AG BY JUNE 20, 2019.
Allegations: THE SFC FINED AND REPRIMANDED UBS AG (UBS) FOR OVERCHARGING SOME CLIENTS OVER A TEN-YEAR PERIOD AND FOR RELATED SERIOUS SYSTEMIC INTERNAL CONTROL FAILURES. THE SFC'S INVESTIGATIONS REVEALED THAT BETWEEN 2008 AND 2015, THE CLIENT ADVISORS AND CLIENT ADVISORS' ASSISTANTS IN UBS'S WEALTH MANAGEMENT DIVISION HAD OVERCHARGED CLIENTS WHEN CONDUCTING BOND AND STRUCTURED NOTE TRADES BY INCREASING THE SPREAD CHARGED AFTER THE EXECUTION OF TRADES WITHOUT CLIENTS' KNOWLEDGE; BETWEEN 2008 AND 2017, UBS HAD ALSO CHARGED ITS CLIENTS FEES IN EXCESS OF ITS STANDARD DISCLOSURES OR RATES. THE ENFORCEMENT ACTIONS FOLLOWED UBS'S REPORTING TO THE RELEVANT REGULATORS IN HONG KONG IN 2016 AND SFC'S SUBSEQUENT INVESTIGATIONS. UBS HAS AGREED TO REPAY THE AFFECTED CLIENTS BY REPAYING THEM THE FULL VALUE OF THE OVERCHARGED AMOUNT TOGETHER WITH INTEREST. UBS HAS ALREADY COMMENCED THE REPAYMENT PROCESS TO AFFECTED CLIENTS ON 29 NOVEMBER 2019. Status: Final Sanction Detail: AS PART OF THE SETTLEMENT, UBS AG HAS AGREED TO REPAY THE CLIENTS ALL OVERCHARGES, INCLUDING INTEREST. AMOUNT: ~$ 51,000,000.00 (HK$400M) Summary: THE SFC FINED AND REPRIMANDED UBS AG (UBS) FOR OVERCHARGING SOME CLIENTS OVER A TEN-YEAR PERIOD AND FOR RELATED SERIOUS SYSTEMIC INTERNAL CONTROL FAILURES. THE SFC'S INVESTIGATIONS REVEALED THAT BETWEEN 2008 AND 2015, THE CLIENT ADVISORS AND CLIENT ADVISORS' ASSISTANTS IN UBS'S WEALTH MANAGEMENT DIVISION HAD OVERCHARGED CLIENTS WHEN CONDUCTING BOND AND STRUCTURED NOTE TRADES BY INCREASING THE SPREAD CHARGED AFTER THE EXECUTION OF TRADES WITHOUT CLIENTS' KNOWLEDGE; BETWEEN 2008 AND 2017, UBS HAD ALSO CHARGED ITS CLIENTS FEES IN EXCESS OF ITS STANDARD DISCLOSURES OR RATES. THE ENFORCEMENT ACTIONS FOLLOWED UBS'S REPORTING TO THE RELEVANT REGULATORS IN HONG KONG IN 2016 AND SFC'S SUBSEQUENT INVESTIGATIONS. UBS HAS AGREED TO REPAY THE AFFECTED CLIENTS BY REPAYING THEM THE FULL VALUE OF THE OVERCHARGED AMOUNT TOGETHER WITH INTEREST. UBS HAS ALREADY COMMENCED THE REPAYMENT PROCESS TO AFFECTED CLIENTS ON 29 NOVEMBER 2019.
Allegations: THE MAS HAS IMPOSED A CIVIL PENALTY ON UBS AG (UBS), FOR ACTS OF ITS CLIENT ADVISORS THAT CONTRAVENED SECTION 201(B) OF THE SECURITIES AND FUTURES ACT (SFA). UBS CLIENT ADVISORS HAD ENGAGED IN ACTS THAT DECEIVED OR WERE LIKELY TO DECEIVE CLIENTS ABOUT THE SPREADS AND/OR INTERBANK PRICES FOR TRANSACTIONS IN OVER-THE-COUNTER (OTC) BONDS AND STRUCTURED PRODUCTS. THE ENFORCEMENT ACTION FOLLOWED UBS'S REPORTING OF THE MISCONDUCT TO MAS, AND MAS'S SUBSEQUENT INVESTIGATIONS. THE ENFORCEMENT ACTION AND PENALTY TOOK INTO ACCOUNT THE FACT THAT UBS HAS UNDERTAKEN TO COMPENSATE AFFECTED CLIENTS AND THE FACT THAT THE BANK RENDERED FULL COOPERATION TO MAS DURING THE INVESTIGATION. Status: Final Sanction Detail: CIVIL PENALTY OF SGD11.2 MILLION WAS PAID ON 14 NOVEMBER 2019. Summary: THE MAS HAS IMPOSED A CIVIL PENALTY ON UBS AG (UBS), FOR ACTS OF ITS CLIENT ADVISORS THAT CONTRAVENED SECTION 201(B) OF THE SECURITIES AND FUTURES ACT (SFA). UBS CLIENT ADVISORS HAD ENGAGED IN ACTS THAT DECEIVED OR WERE LIKELY TO DECEIVE CLIENTS ABOUT THE SPREADS AND/OR INTERBANK PRICES FOR TRANSACTIONS IN OVER-THE-COUNTER (OTC) BONDS AND STRUCTURED PRODUCTS. THE ENFORCEMENT ACTION FOLLOWED UBS'S REPORTING OF THE MISCONDUCT TO MAS, AND MAS'S SUBSEQUENT INVESTIGATIONS. THE ENFORCEMENT ACTION AND PENALTY TOOK INTO ACCOUNT THE FACT THAT UBS HAS UNDERTAKEN TO COMPENSATE AFFECTED CLIENTS AND THE FACT THAT THE BANK RENDERED FULL COOPERATION TO MAS DURING THE INVESTIGATION.
Allegations: THE SFC FINED AND REPRIMANDED UBS AG AND UBS SECURITIES ASIA LIMITED (COLLECTIVELY "UBS") HK$9.8M AND HK$1.75M RESPECTIVELY OVER VARIOUS REGULATORY BREACHES WHICH CONCERNED UBS'S SYSTEMS AND CONTROLS. THE SFC FOUND THAT UBS FAILED TO: - MAKE PROPER DISCLOSURE OF ITS FINANCIAL INTERESTS IN SOME HONG KONG LISTED COMPANIES COVERED IN ITS RESEARCH REPORTS DUE TO MULTIPLE DATA FEED LOGIC ERROS IN A LEGACY DATA SOURCE USED BY UBS FOR TRACKING ITS SHAREHOLDING POSITIONS. - OBTAIN VALID STATNDING AUTHORITIES FROM 91 CLIENTS WHO WERE NOT QUALIFIED AS PROFESSIONAL INVESTORS AND ISSUE CONTRACT NOTES TO THEM IN RESPECT OF 913 SECURITIES POOLED LENDING TRANSACTIONS ENTERED INTO WITH THESE CLIENTS. - RECORD CLIENT ORDER INSTRUCTIONS RECEIVED THROUGH 35 TELEPHONE LINES. - FOLLOW APPLICABLE REGULATORY GUIDELINES RELATING TO ASSESSMENT OF CLIENTS' DERIVATIVES KNOWLEDGE. - DISCLOSE TO 15 CLIENTS A KEY FEATURE OF A STRUCTURED NOTE BEFORE SELLING THEM THE NOTE. Status: Final Sanction Detail: AS PART OF THE SETTLEMENT, UBS HAS AGREED TO PAY A FINE TO THE SFC IN THE AMOUNT OF HKD11.55M (~USD 1.48M). Summary: THE SFC FINED AND REPRIMANDED UBS AG AND UBS SECURITIES ASIA LIMITED (COLLECTIVELY "UBS") HK$9.8M AND HK$1.75M RESPECTIVELY OVER VARIOUS REGULATORY BREACHES WHICH CONCERNED UBS'S SYSTEMS AND CONTROLS. THE SFC FOUND THAT UBS FAILED TO: -MAKE PROPER DISCLOSURE OF ITS FINANCIAL INTERESTS IN SOME HONG KONG LISTED COMPANIES COVERED IN ITS RESEARCH REPORTS DUE TO MULTIPLE DATA FEED LOGIC ERROS IN A LEGACY DATA SOURCE USED BY UBS FOR TRACKING ITS SHAREHOLDING POSITIONS. -OBTAIN VALID STATNDING AUTHORITIES FROM 91 CLIENTS WHO WERE NOT QUALIFIED AS PROFESSIONAL INVESTORS AND ISSUE CONTRACT NOTES TO THEM IN RESPECT OF 913 SECURITIES POOLED LENDING TRANSACTIONS ENTERED INTO WITH THESE CLIENTS. -RECORD CLIENT ORDER INSTRUCTIONS RECEIVED THROUGH 35 TELEPHONE LINES. -FOLLOW APPLICABLE REGULATORY GUIDELINES RELATING TO ASSESSMENT OF CLIENTS' DERIVATIVES KNOWLEDGE. -DISCLOSE TO 15 CLIENTS A KEY FEATURE OF A STRUCTURED NOTE BEFORE SELLING THEM THE NOTE.
Allegations: UNAUTHORIZED TRANSFER OF FUNDS FROM MONEY MARKET TO COMMODITY ACCOUNT. Status: Final Sanction Detail: ON JUNE 30, 1981, MR. SUTTON'S REGISTRATION IN ARKANSAS WAS SUSPENDED RETROACTIVELY FOR THE PERIOD JANUARY 23, 1981 THROUGH JUNE 12, 1981. Summary: THE ORDER RESULTED FROM MONEY TRANSFERS BETWEEN A CLIENT'S MONEY MARKET ACCOUNT AND COMMODITIES ACCOUNT IN ORDER TO MEET MARGIN REQUIREMENTS IN THE COMMODITIES ACCOUNT. THE CLIENT WAS INFORMED OF ALL TRANSFERS BOTH BY PHONE AND MAIL.
Allegations: THE NOTICE OF HEARING ALLEGES MISREPRESENTATION, OMISSION, FRAUD, CONFLICT OF INTEREST, AND FAILURE TO PROPERLY TRAIN FINANCIAL ADVISORS RELATING TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES. THE FIRM DENIES THE ALLEGATIONS CONTAINED WITHIN THE NOTICE. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN, UBS FINANCIAL SERVICES, INC. AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY. ADDITIONALLY, TEXAS WILL RECEIVE A TOTAL PAYMENT OF $6,530,432.94 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION. Summary: ON AUGUST 11, 2008 THE TEXAS STATE SECURITIES BOARD FILED A MOTION TO DISMISS BASED ON A PROSPECTIVE SETTLEMENT AGREEMENT. THE MOTION TO DISMISS WAS GRANTED ON AUGUST 20, 2008. THIS SETTLEMENT WAS FINALIZED ON 3/4/10.
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES Status: Final Sanction Detail: UBS SHALL CEASE AND DESIST FROM VIOLATING THE ALABAMA SECURITIES ACT. UBS HAS PAID THE SUM OF $328,180.42 TO THE STATE OF ALABAMA. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN, UBS FINANCIAL SERVICES,INC.AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, ALABAMA WILL RECEIVE A TOTAL PAYMENT OF $328,180.42 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION.
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES Status: Final Sanction Detail: UBS SHALL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT. UBS HAS PAID THE SUM OF $2,588,077.74 OF WHICH $647,019.00 IS PAYABLE TO THE INVESTOR PROTECTION TRUST AND $1,941,058.74 IS PAYABLE TO THE COMMONWEALTH OF PENNSYLVANIA. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN, UBS FINANCIAL SERVICES, INC. AND UBS SECURITIES LLC AGREED TO AN OFFER OF SETTLEMENT PURSUANT TO WHICH UBS AGREED TO REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, PENNSYLVANIA WILL RECEIVE A TOTAL PAYMENT OF $2,588,077.74 FROM UBS,FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION.
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES Status: Final Sanction Detail: UBS SHALL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT. UBS HAS PAID THE SUM OF $340,227.90 TO WASHINGTON D.C. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN, UBS FINANCIAL SERVICES, INC. AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, WASHINGTON D.C. WILL RECEIVE A TOTAL PAYMENT OF $340,227.90 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION. THIS FILING FURTHER CLARIFIES OCCURRENCE NUMBER 1408448 PREVIOUSLY FILED.
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES Status: Final Sanction Detail: UBS SHALL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT. UBS HAS PAID THE SUM OF $6,581,232.48 TO FLORIDA. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN, UBS FINANCIAL SERVICES, INC. AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, FLORIDA WILL RECEIVE A TOTAL PAYMENT OF $6,581,232.48 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION. THIS FILING FURTHER CLARIFIES OCCURRENCE NUMBER 1408448 PREVIOUSLY FILED.
Allegations: THE NEW JERSEY BUREAU OF SECURITIES ("NJBOS") ALLEGED THAT THE FIRM FAILED TO SUPERVISE BROKERS WHO WITH THEIR CLIENTS ENGAGED IN DECEPTIVE MARKET TIMING OF MUTUAL FUNDS AND VARIABLE INSURANCE PRODUCTS, AND THAT THE FIRM VIOLATED BOOKS AND RECORDS OBLIGATIONS RELATED TO RETENTION OF CERTAIN INTERNAL EMAILS AND RECORDS OF VARIABLE INSURANCE PRODUCTS SUB-ACCOUNT TRANSFERS. Status: Final Sanction Detail: CIVIL PENALTY OF $12 MILLION FOR FAILURE TO SUPERVISE, PLUS $750,000 FOR BOOKS AND RECORDS VIOLATIONS; $12 MILLION FOR INVESTIGATION COSTS AND INVESTOR EDUCATION AND OTHER ENFORCEMENT INITIATIVES. FIRM ALSO AGREED TO RETAIN OUTSIDE COUNSEL TO REVIEW PROCEDURES RELATED TO THE ALLEGED FAILURES AND VIOLATIONS.PAYMENT OF THE REGULATORY FINES WAS MADE ON 1/13/06. Summary: NJBOS ALLEGED THAT THE FIRM FAILED TO SUPERVISE BROKERS WHO WITH THEIR CLIENTS ENGAGED IN DECEPTIVE MARKET TIMING OF MUTUAL FUNDS AND VARIABLE INSURANCE PRODUCTS.THROUGH AN AGREED CONSENT ORDER THE FIRM WAS FINED A TOTAL OF $24,750,000.
Allegations: THE PETITION ALLEGES THAT UBS SOLD LEHMAN STRUCTURED PRODUCTS TO CLIENTS WHO WERE NOT MADE AWARE OF THE RISKS OF THESE PRODUCTS. THE PETITION SPECIFICALLY REFERS TO THREE PARTICULAR INVESTORS. THE ACTION ALSO ALLEGES THAT UBS FAILED TO INFORM CLIENTS OF LEHMAN'S FINANCIAL CONDITION PRIOR TO LEHMAN'S BANKRUPTCY AND FURTHER ASSERTS THAT THE FIRM'S RECOMMENDATIONS TO A SMALL NUMBER OF NEW HAMPSHIRE RESIDENTS TO PURCHASE LEHMAN STRUCTURED PRODUCTS WERE UNSUITABLE. Status: Final Sanction Detail: ADMINSTRATIVE FINE OF $100,000; INVESTIGATION COSTS OF $200,000; ADMINISTRATIVE PAYMENT OF $700,000. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS AND FINDINGS, THE FIRM CONSENTED TO THE CONSENT ORDER AND: PAID AN ADMINISTRATIVE FINE OF $100,000 ON SEPTEMBER 1, 2011; PAID INVESTIGATION COSTS OF $200,000 ON SEPTEMBER 1, 2011; AND AGREED TO ESTABLISH A SEGREGATED INTEREST-BEARING ACCOUNT BY SEPTEMBER 22, 2011 WITH AN ADMINISTRATIVE PAYMENT OF $700,000.
Allegations: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE PENNSYLVANIA SECURITIES COMMISSION FOUND THAT THE FIRM FAILED TO REASONABLY SUPERVISE THREE AGENTS IN ONE BRANCH OFFICE RELATING TO THE SALE OF CERTAIN STRUCTURED PRODUCTS ISSUED BY LEHMAN BROTHERS TO TWO INVESTORS AND THAT SUCH CONDUCT FORMED A BASIS TO SANCTION THE FIRM UNDER SECTION 305 (A)(VII) OF THE PENNSYLVANIA SECURITIES ACT OF 1972, 70 P.S. SECTION 1-305(A)(VII). Status: Final Sanction Detail: ADMINSTRATIVE ASSESSMENT OF $200,000; LEGAL AND INVESTIGATION COSTS OF $75,000. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO THE COMMISSION'S FINDINGS OF FACT, CONCLUSION OF LAW AND ORDER AND AGREED TO PAY AN ADMINISTRATIVE ASSESSMENT OF $200,000 ON MARCH 22, 2012; AND PAY LEGAL AND INVESTIGATION COSTS OF $75,000 ON MARCH 22, 2012.
Allegations: THE PENNSYLVANIA SECURITIES COMMISSION ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1)MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM PENNSYLVANIA CUSTOMERS WERE REGISTERED IN PENNSYLVANIA, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS CENSURED AND ORDERED TO PAY A TOTAL OF $143,960.00 TO THE STATE OF PENNSYLVANIA. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: ALLEGED THAT ONE OF PAINEWEBBER'S REGISTERED REPRESENTATIVES DOING BUSINESS IN THE STATE HAD NOT BEEN PROPERLY REGISTERED AT ALL RELEVANT TIMES. Status: Final Sanction Detail: PAINEWEBBER INCORPORATED CONSENTED TO ENTRY OF AN ORDER BY THE MARYLAND DIVISION OF SECURITIES ALLEGING THAT ONE OF S REGISTERED REPRESENTATIVES DOING BUSINESS IN THE STATE HAD NOT BEEN PROPERLY REGISTERED AT ALL RELEVANT TIMES. THE FIRM AGREED TO PAY A $2500 FINE.
Allegations: THE NORTH CAROLINA DEPARTMENT OF THE SECRETARY OF STATE SECURITIES DIVISION ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM NORTH CAROLINA CUSTOMERS WERE REGISTERED IN THE STATE OF NORTH CAROLINA, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS ORDERED TO PAY A CIVIL MONETARY FINE OF $25,000 TO THE STATE OF NORTH CAROLINA. ADDITIONALLY, $126,705.94 WAS PAID TO THE STATE FOR COSTS OF INVESTIGATION. IN ADDITION, UBS WAS ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN NORTH CAROLINA BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN THE STATE OF NORTH CAROLINA. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE FIRM CONSENTED TO THE ASSESSMENT OF A CIVIL MONETARY PENALTY FOR FAILING TO HAVE A RISK-BASED AML PROGRAM THAT ADDRESSED THE RISKS ASSOCIATED WITH REGARD TO BROKERAGE ACCOUNTS THAT INCLUDED BANKING-LIKE SERVICES. BEGINNING IN 2004, THE FIRM FAILED TO ADEQUATELY MONITOR FOREIGN CURRENCY WIRE TRANSFERS CONDUCTED THROUGH COMMODITIES AND BROKERAGE ACCOUNTS WHICH RESULTED IN THE FIRM FAILING TO IDENTIFY AND INVESTIGATE POTENTIALLY SUSPICIOUS ACTIVITY. THE FIRM DID NOT DEVOTE SUFFICIENT RESOURCES TO ITS AML PROGRAM DURING 2004 TO APRIL 2017. THE FIRM WAS ALSO NOT PERFORMING PERIODIC REVIEWS OF ITS CORRESPONDENT ACCOUNTS FOR FOREIGN FINANCIAL INSTITUTIONS. IN ACCORDANCE WITH FINCEN POLICY, THE FIRM ADMITTED THE FACTS SET FORTH IN THE CONSENT. FINCEN ASSESSED A TOTAL PENALTY OF $14.5 MILLION AND DEEMED IT SATISFIED IF THE FIRM PAID FINCEN $5 MILLION AND $5 MILLION TO THE SEC AND $4.5 TO FINRA IN RELATED ENFORCEMENT ACTIONS. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE ASSESSMENT OF A CIVIL MONETARY PENALTY FOR FAILING TO HAVE A RISK-BASED AML PROGRAM THAT ADDRESSED THE RISKS ASSOCIATED WITH REGARD TO BROKERAGE ACCOUNTS THAT INCLUDED BANKING-LIKE SERVICES. BEGINNING IN 2004, THE FIRM FAILED TO ADEQUATELY MONITOR FOREIGN CURRENCY WIRE TRANSFERS CONDUCTED THROUGH COMMODITIES AND BROKERAGE ACCOUNTS WHICH RESULTED IN THE FIRM FAILING TO IDENTIFY AND INVESTIGATE POTENTIALLY SUSPICIOUS ACTIVITY. THE FIRM DID NOT DEVOTE SUFFICIENT RESOURCES TO ITS AML PROGRAM DURING 2004 TO APRIL 2017. THE FIRM WAS ALSO NOT PERFORMING PERIODIC REVIEWS OF ITS CORRESPONDENT ACCOUNTS FOR FOREIGN FINANCIAL INSTITUTIONS. IN ACCORDANCE WITH FINCEN POLICY, THE FIRM ADMITTED THE FACTS SET FORTH IN THE CONSENT. FINCEN ASSESSED A TOTAL PENALTY OF $14.5 MILLION AND DEEMED IT SATISFIED IF THE FIRM PAID FINCEN $5 MILLION AND $5 MILLION TO THE SEC AND $4.5 TO FINRA IN RELATED ENFORCEMENT ACTIONS.
Allegations: A REVIEW BY THE REPORTING ACCOUNTANTS OF THE SFA FOUND PAINEWEBBER INTERNATIONAL UK (PWUK) TO BE IN BREACH OF PRINCIPLE 9 IN THAT IT FAILED TO ORGANISE AND CONTROL ITS INTERNAL AFFAIRS ACCORDING TO SFA'S STATEMENT OF PRINCIPLES. Status: Final Sanction Detail: PWUK HAS BEEN REPRIMANDED AND FINED $350,000 (POUNDS). IN ADDITION PWUK WILL PAY A CONTRIBUTION TO SFA'S COSTS OF $10,000 (POUNDS). Summary: THE SFA REVIEW FOUND PWUK TO HAVE FAILED TO ESTABLISH AND MAINTAIN ADEQUATE AND SUFFICIENT MANAGEMENT STRUCTURE AND PROCESSES IN THE APPLICATION OF ITS ANTI-MONEY LAUNDERING PROCEDURES.
Allegations: ON OR ABOUT JULY 24, 2023, THE SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY (FINMA) CONCLUDED PROCEEDINGS AGAINST CREDIT SUISSE, FINDING THAT CREDIT SUISSE HAS SERIOUSLY AND SYSTEMATICALLY VIOLATED FINANCIAL MARKET LAW IN ITS RELATIONSHIP WITH THE ARCHEGOS FAMILY OFFICE DUE TO VARIOUS ORGANIZATIONAL DEFICIENCIES AND INSUFFICIENT RISK MANAGEMENT. Status: Final Sanction Detail: FINMA IS ORDERING CORRECTIVE MEASURES DIRECTED AT CREDIT SUISSE AG AND UBS GROUP AG, AS THE LEGAL SUCCESSOR OF CREDIT SUISSE GROUP AG, UPON COMPLETION OF THE MERGER BETWEEN THE TWO BANKS. FINMA REQUIRES UBS TO APPLY ITS RESTRICTIONS/LIMITSON PROPRIETARY POSITIONS RELATING TO INDIVIDUAL CLIENTS THROUGHOUT THE ENTIRE FINANCIAL GROUP. ADDITIONALLY, THE COMPENSATION SYSTEM OF THE ENTIRE FINANCIAL GROUP MUST PROVIDE FOR BONUS ALLOCATION CRITERIA THAT TAKE INTO ACCOUNT RISK APPETITE. UBS HAS CORRESPONDING RULES IN PLACE, WHICH FINMA ORDERS TO BE LEGALLY BINDING FOR THE ENTIRE FINANCIAL GROUP.
Allegations: THE FRB CONSENT ORDER, ARISING FROM RISK MANAGEMENT FAILINGS ASSOCIATED WITH THE MARCH 2021 DEFAULT OF ARCHEGOS CAPITAL MANAGEMENT LP, ALLEGES VIOLATIONS UNDER SECTION 8(I)(2) OF THE FEDERAL DEPOSIT INSURANCE ACT, AS WELL AS SECTIONS 252.155-157 OF REGULATION YY OF THE BOARD OF GOVERNORS; THE ALLEGATIONS ARE BASED ON FINDINGS THAT CREDIT SUISSE HAD DEFICIENCIES IN RISK MANAGEMENT, LACKING ADEQUATE GOVERNANCE, EXPERIENCED STAFF WITH SUFFICIENT STATURE, AND SUFFICIENT DATA QUALITY AND MODEL RISK MANAGEMENT TO ENSURE THAT ACTIVITIES CONDUCTED BY ARCHEGOS WERE PROPERLY RISK-MANAGED. Status: Final Sanction Detail: THE BOARD OF GOVERNORS JOINTLY ASSESSED CS AND UBS A CIVIL MONETARY IN THE AMOUNT OF $268,494,109.20, WHICH WAS PAID ON JULY 24, 2023. Summary: ON JULY 21, 2023, CREDIT SUISSE AND UBS AGREED TO THE ISSUANCE OF A CEASE AND DESIST ORDER AND CIVIL MONEY PENALTY ASSESSMENT ISSUED BY THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM, AGREEING TO PAYMENT OF A CIVIL MONEY PENALTY IN THE AMOUNT OF $268,494,109.20; ACCOUNTABILITY FOR EMPLOYEES INVOLVED IN MISCONDUCT; AND ADOPTION OF A WRITTEN MANAGEMENT OVERSIGHT PLAN. THE AGREEMENT RESOLVED CLAIMS THAT CS FAILED TO ADDRESS IDENTIFIED RISKS ASSOCIATED WITH ARCHEGOS' PORTFOLIO.
Allegations: THE DEPARTMENT ALLEGES THAT THE REGISTRANT HAD NOT COMPILED WITH THE STATE'S INSURANCE LICENSE CONTINUING EDUCATION REQUIREMENTS REQUIRED BY SECTION 626.2815 OF THE FLORIDA STATUTES AND RULE 69B-228.220, FLORIDA ADMINISTRATIVE CODE, FOR THE COMPLIANCE PERIOD ENDING JANUARY 31, 2008. Status: Final Sanction Detail: CONTINUING EDUCATION REQUIREMENTS HAVE BEEN MET AS OF THE DATE OF THIS FILING AND THE FINE WAS PAID ON JUNE 27, 2008. Summary: THIS SANCTION WAS A RESULT OF AN ADMINISTRATIVE OVERSIGHT RELATING TO ELIGIBLE COURSES REQUIRED AND HOURS NEEDED FOR COMPLETION. I COMPLETED THE REQUIRED CONTINUING EDUCATION REQUIREMENTS IMMEDIATELY UPON BEING NOTIFIED AND STEPS HAVE BEEN TAKEN TO PREVENT THIS FROM HAPPENING AGAIN.
Allegations: THE DEPARTMENT ALLEGES THAT THE REGISTRANT HAD NOT COMPLIED WITH THE STATE'S INSURANCE LICENSE CONTINUING EDUCATION REQUIREMENTS REQUIRED BY SECTION 626.2815 OF THE FLORIDA STATUTES AND RULE 69B-228.220, FLORIDA ADMINISTRATIVE CODE, FOR THE COMPLIANCE PERIOD ENDING DECEMBER 31, 2007 Status: Final Sanction Detail: CONTINUING EDUCATION REQUIREMENTS HAVE BEEN MET AS OF THE DATE OF THIS FILING AND THE FINE WAS PAID ON MARCH 11, 2008. Summary: THIS SANCTION WAS A RESULT OF AN ADMINISTRATIVE OVERSIGHT RELATING TO ELIGIBLE COURSES REQUIRED AND HOURS NEEDED FOR COMPLETION. I COMPLETED THE REQUIRED CONTINUING EDUCATION REQUIREMENTS IMMEDIATELY UPON BEING NOTIFIED AND STEPS HAVE BEEN TAKEN TO PREVENT THIS FROM HAPPENING AGAIN.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 204(A)(G) OF THE PUERTO RICO UNIFORM SECURITIES ACT AND SECTION 26.1 OF REGULATION 6078 PROMULGATED THEREUNDER IN ISSUING RESEARCH REPORTS. APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED UNDER SECTION 204(A)(J) OF THE PUERTO RICO UNIFORM SECURITIES ACT AND SECTIONS 25.4.4 AND 28.2 OF REGULATION 6078 PROMULGATED THEREUNDER. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTION 204 OF THE PUERTO RICO UNIFORM SECURITIES ACT AND REGULATION 6078 PROMULGATED THEREUNDER. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTION 204 OF THE PUERTO RICO UNIFORM SECURITIES ACT AND REGULATION 6078 PROMULGATED THEREUNDER IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $293,457 IS ALLOCATED TO THE COMMONWEALTH OF PUERTO RICO) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE COMMISSIONER OF FINANCIAL INSTITUTIONS OF PUERTO RICO CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SECTION 204 OF THE PUERTO RICO UNIFORM SECURITIES ACT AND REGULATION 6078 PROMULGATED THEREUNDER. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECTION 204 OF THE PUERTO RICO UNIFORM SECURITIES ACT AND REGULATION 6078 PROMULGATED THEREUNDER IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $293,457 IS ALLOCATED TO THE COMMONWEALTH OF PUERTO RICO) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OHTER EMPLOYEES IN THE SALES OF THESE INTEREST Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $435922.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENTS. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTI STATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH THE FLORIDA PURSUANT TO THAT AGREEMENT
Allegations: THE FSA FOUND THAT BETWEEN JANUARY 1, 2005 AND DECEMBER 31, 2010, UBS BREACHED PRINCIPLES 3 AND 5 OF THE FSA'S PRINCIPLES FOR BUSINESSES THROUGH MISCONDUCT RELATING TO THE CALCULATION OF LIBOR AND EURIBOR. Status: Final Sanction Detail: ON DECEMBER 19, 2012, UBS ENTERED INTO A SETTLEMENT AGREEMENT WITH THE FSA PURSUANT TO WHICH UBS AGREED TO PAY A FINE OF GBP 160,000,000 TO THE FSA. CONVERTED TO $259,984,000.00 AT THE DECEMBER 19TH 2012 CONVERSION RATE.
Allegations: THE CFTC ALLEGED THAT DURING THE RELEVANT PERIOD (JULY 8, 2019 TO DECEMBER 23, 2019) UBS AG FAILED TO KEEP REQUIRED VOICE RECORDING FILES CONTAINING ORAL COMMUNICATIONS RELATED TO REGULATED SWAP ACTIVITY AND PRE-EXECUTION TRADE INFORMATION FROM, DESPITE THE ONE-YEAR RETENTION PERIOD REQUIRED UNDER REGULATION 23.203(B)(2), 17 C.F.R. § 23.203(B)(2) (2020) AND THAT THESE FAILURES VIOLATED SECTION 4S(G)(1) OF THE ACT AND REGULATIONS 23.201(A)(1), 23.202(A)(1) AND 23.203(B)(1). Status: Final Sanction Detail: FINE WAS PAID ON OR ABOUT NOVEMBER 10, 2021. Summary: 13.PROVIDE A BRIEF SUMMARY OF DETAILS RELATED TO THE ACTION STATUS AND (OR) DISPOSITION AND INCLUDE RELEVANT TERMS, CONDITIONS AND DATES. (THE INFORMATION MUST FIT WITHIN THE SPACE PROVIDED.) THE ORDER FINDS THAT PRIOR TO JUNE 2019, UBS, TO COMPLY WITH ITS RECORDKEEPING OBLIGATIONS AS A SWAP DEALER, IMPLEMENTED MULTIPLE SOFTWARE SYSTEMS TO: (1) OPERATE ITS TRADER TURRET COMMUNICATION DEVICES; (2) RECORD CALLS OCCURRING ON THESE TRADER TURRETS; AND (3) STORE THE VOICE RECORDING FILES THAT WERE GENERATED FROM THE RECORDED CALLS. THE RECORDING SYSTEM HAD A KNOWN FAILURE IN WHICH, AT TIMES, THE MULTIPLE SYSTEMS FAILED TO SYNCHRONIZE CERTAIN CALL DATA, INCLUDING THE UBS TRADER'S IDENTITY, WHICH WOULD NOT TRANSFER TO UBS'S VOICE RECORDING SYSTEM ALONG WITH THE CORRESPONDING VOICE RECORDING. THIS SYNCHRONIZATION FAILURE CREATED A POPULATION OF VOICE RECORDING FILES THAT WERE NOT ASSIGNED TO A PARTICULAR TRADER. THESE UNASSIGNED VOICE RECORDING FILES, CATEGORIZED AS "TRADER 0" RECORDINGS, WERE TRANSFERRED TO UBS AG'S LONG-TERM STORAGE SYSTEMS WHERE THEY WERE TO BE RETAINED FOR FIVE YEARS. AS OF JULY 8, 2019, UBS BEGAN PREMATURELY DELETING, AFTER ONLY ONE DAY OF RETENTION, VOICE RECORDING FILES WHICH INCLUDED VOICE RECORDINGS CONTAINING PRE-EXECUTION SWAPS TRADE INFORMATION THAT WERE REQUIRED TO BE RETAINED FOR ONE YEAR. THIS WAS A RESULT OF A TECHNOLOGY ANALYST BELIEVING THAT THE VOICE RECORDINGS WERE TEST FILES THAT DID NOT NEED TO BE RETAINED AND RE-DESIGNATING THOSE FILES WHICH RESET THE RETENTION PERIOD FOR THESE FILES FROM FIVE YEARS TO ONE DAY. IN DECEMBER 2019, UBS INADVERTENTLY LEARNED ABOUT THE PREMATURE DELETION OF THESE AUDIO FILES FROM ITS SYSTEMS WHILE IT WAS SEARCHING FOR, BUT NOT FINDING, SPECIFIC VOICE RECORDING FILES THAT IT KNEW SHOULD HAVE BEEN IN ITS RETENTION SYSTEMS. UPON DISCOVERY OF THE ERRONEOUS DELETIONS OF RECORDINGS, UBS DID AN INTERNAL REVIEW TO DETERMINE THE UNIVERSE OF IMPACTED VOICE RECORDING FILES. THE ANALYST'S ERROR RESULTED IN THE DELETION OF OVER 1,000 HOURS, OR ROUGHLY 2.76 PERCENT OF TOTAL U.S. RECORDED VOLUME, DURING JULY 8, 2019 THROUGH DECEMBER 23, 2019. THE DELETED FILES INCLUDED VOICE RECORDINGS CONTAINING PRE-EXECUTION SWAPS INFORMATION SUCH AS QUOTES, SOLICITATIONS, BIDS, OFFERS, INSTRUCTIONS, TRADING, AND PRICES THAT LEAD TO THE EXECUTION OF SWAPS, ALL OF WHICH ARE REQUIRED BY COMMISSION REGULATIONS TO BE RETAINED. UPON DISCOVERING ITS POTENTIAL VIOLATION OF CFTC REGULATIONS, UBS PROMPTLY SELF-REPORTED THIS VIOLATION TO CFTC STAFF VIA TELEPHONE, FOLLOWED BY FORMALLY SUBMITTING A COMPREHENSIVE WRITTEN SELF-REPORT. UBS COOPERATED WITH CFTC STAFF IN ITS INVESTIGATION AND PROACTIVELY ENGAGED IN REMEDIAL PROCEDURES TO ENSURE NO "TRADER 0" RECORDINGS ARE PREMATURELY DELETED IN THE FUTURE.
Allegations: ALLEGATIONS THAT THE FIRM FAILED TO SUPERVISE REGISTERED REPRESNEATIVES ENGAGED IN SALES PRACTICE ISSUES. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTION DETAIL IS UNAVAILABLE. Summary: WITHOUT ADMITTING OR DENYING THE SECS' FINDINGS, THE FIRM CONSENTED TO THE ORDER.
Allegations: ALLEGATIONS RELATE TO THE FIRM'S BEING NAMED IN A CLIENT INITIATED CLAIM AS THE SUPERVISOR OF A REGISTERD REPRESENTATIVE. Status: Final Sanction Detail: SACTIONS WERE ORDERED WITH INTEREST AT AT AN ANNUAL RATE OF 6.39 PERCENT, COMPOUNDED ANNUALLY.
Allegations: ALLEGED VIOLATIONS OF THE COMMODITY EXCHANGE ACT IN THAT THE FIRM WAS NAMED IN A CLIENT INITIATED REPARATIONS PROCEEDING AS THE SUPERVISOR OF A REGISTERED REPRESENTATIVE. Status: Final Sanction Detail: CLIENT WAS ALSO AWARDED ANNUAL COMPOUND INTEREST AND FILING FEES.
Allegations: UBS AG EXCEEDED THE NYMEX'S POSITION LIMITS ON CERTAIN NATURAL GAS, HEATING OIL AND PLATINUM FUTURES CONTRACTS ON MORE THAN ONE OCCASSION FROM IN OR ABOUT DECEMBER 2006 THROUGH IN OR ABOUT MARCH 2008. Status: Final Sanction Detail: CEASE AND DESIST, MONETARY FINE
Allegations: THE COMMODITY FUTURES TRADING COMMISSION ("COMMISSION") FOUND THAT FROM 2018 TO SEPTEMBER 2022 ("RELEVANT PERIOD") UBS FINANCIAL SERVICES INC., UBS SECURITIES LLC, AND UBS AG (COLLECTIVELY "UBS" OR "RESPONDENTS") VIOLATED SECTIONS 4G,4S(F)(1)(C), 4S(G)(1) AND (3), AND 4S(H)(1)(B) OF THE COMMODITY EXCHANGE ACT ("ACT"), 7 U.S.C. §§ 6G,6S(F)(1)(C), 6S(G)(1), (3), 6S(H)(1)(B), AND COMMISSION REGULATIONS ("REGULATIONS") 1.31, 1.35,23.201(A), 23.202(A)(1) AND (B)(1), 23.602(A), AND 166.3, 17 C.F.R. §§ 1.31, 1.35, 23.201(A), 23.202(A)(1),(B)(1), 23.602(A), 166.3 (2021). THE COMMISSION FOUND THAT DURING THE RELEVANT PERIOD, UBS EMPLOYEES, INCLUDING THOSE AT SENIOR LEVELS, COMMUNICATED BOTH INTERNALLY AND EXTERNALLY USING UNAPPROVED METHODS, INCLUDING VIA PERSONAL TEXT MESSAGES AND WHATSAPP MESSAGES. THE COMMISSION FOUND THAT THESE WRITTEN COMMUNICATIONS WERE BOTH SENT TO AND RECEIVED BY UBS EMPLOYEES, INCLUDING MESSAGES RELATED TO RESPONDENTS' BUSINESS AS COMMISSION REGISTRANTS, THAT WERE REQUIRED TO BE MAINTAINED UNDER COMMISSION-MANDATED RECORDKEEPING REQUIREMENTS, BUT THAT GENERALLY WERE NOT MAINTAINED AND PRESERVED BY UBS, AND THAT UBS GENERALLY WOULD NOT HAVE BEEN ABLE TO FURNISH PROMPTLY TO THE COMMISSION IF AND WHEN REQUESTED. THE COMMISSION ALSO FOUND THAT, AS A RESULT OF THE WIDESPREAD USE OF UNAPPROVED METHODS OF COMMUNICATION BY UBS EMPLOYEES, AND UBS'S FAILURE TO MAINTAIN AND PRESERVE THOSE COMMUNICATIONS, UBS ALSO FAILED TO KEEP FULL, COMPLETE AND SYSTEMATIC RECORDS OF ALL TRANSACTIONS RELATING TO ITS BUSINESS OF DEALING IN COMMODITY INTERESTS, IN VIOLATION OF SECTION 4G OF THE ACT, AND REGULATION 1.35. BY FAILING TO KEEP ALL COMMISSION-REQUIRED RECORDS IN SUCH A MANNER AS TO MAKE THEM "READILY ACCESSIBLE," UBS VIOLATED REGULATION 1.31. IN ADDITION, THE COMMISSION FOUND THAT THE CONDUCT DESCRIBED ABOVE VIOLATED UBS'S OWN POLICIES AND PROCEDURES, WHICH PROHIBITED SUCH COMMUNICATIONS, AND THAT UBS DID NOT MAINTAIN ADEQUATE INTERNAL CONTROLS OVER THE USE OF UNAPPROVED COMMUNICATION METHODS FOR BUSINESS-RELATED WRITTEN ELECTRONIC COMMUNICATIONS AND FAILED TO IMPLEMENT A DILIGENT SUPERVISORY SYSTEM TO ENSURE COMPLIANCE WITH BOTH COMMISSION RECORDKEEPING REQUIREMENTS AND THE FIRM'S OWN POLICIES AND PROCEDURES. ACCORDINGLY, THE COMMISSION FOUND THAT UBS FAILED TO DILIGENTLY SUPERVISE MATTERS RELATED TO ITS BUSINESS AS A COMMISSION REGISTRANT AND FAILED TO SUPERVISE DILIGENTLY ITS OFFICERS, EMPLOYEES, AND AGENTS, IN VIOLATION OF REGULATION 166.3. Status: Final Sanction Detail: THE FIRM SHALL CEASE AND DESIST FROM VIOLATING SECTION 4G OF THE ACT, 7 U.S.C. § 6G, AND REGULATIONS 1.31, 1.35, AND 166.3, 17 C.F.R. §§ 1.31, 1.35, 166.3 (2021); SHALL PAY, JOINTLY ANDSEVERALLY, A CIVIL MONETARY PENALTY IN THE AMOUNT OF $75,000,000 ("CMP OBLIGATION"), WITHIN FOURTEEN DAYS OF THE DATE OF THE ENTRY OF THIS ORDER; AND SHALL COMPLY WITH THE CONDITIONS AND UNDERTAKINGS SET FORTH IN THE OFFER. RESPONDENTS TIMELY PAID, IN FULL, THE CIVIL MONETARY PENALTY ON OCTOBER 7, 2022. Summary: RESPONDENTS SUBMITTED AN OFFER OF SETTLEMENT, WHICH THE COMMISSION ACCEPTED. THE FIRM FAILED TO SUPERVISE DILIGENTLY ITS OFFICERS, EMPLOYEES, AND AGENTS IN VIOLATION OF REGULATION 166.3. ACCORDINGLY THE COMMISSION ORDERED THAT RESPONDENTS (I) CEASE AND DESIST FROM VIOLATING SECTION 4G OF THE ACT, 7 U.S.C. § 6G, AND REGULATIONS 1.31, 1.35, AND 166.3, 17 C.F.R. §§ 1.31, 1.35, 166.3 (2021); (II) PAY, JOINTLY AND SEVERALLY, A CIVIL MONETARY PENALTY IN THE AMOUNT OF $75,000,000, WITHIN 14 DAYS OF THE DATE OF ENTRY OF THE ORDER. RESPONDENTS TIMELY PAID, IN FULL, THE CIVIL MONETARY PENALTY ON OCTOBER 7, 2022. RESPONDENTS ARE ALSO ORDERED TO COMPLY WITH THE UNDERTAKINGS SET FORTH IN THE OFFER.
Allegations: ALLEGED VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND 17 C.F.R. & 240.17A-3 AND 240.17A-4. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTION DETAIL IS UNAVAILABLE. Summary: THE ADMINISTRATIVE PROCEEDING WAS INSTITUTED JOINTLY BY THE SEC, THE OFFICE OF THE COMPTROLLER OF THE CURRENCY AND THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM AGAINST NINETY EIGHT BROKER DEALERS. THE $100,000.00 CIVIL PENALTY PAID BY THE FIRM WAS ASSESSED ON A $5,165,000.00 TOTAL AGAINST ALL FIRMS.
Allegations: ON FEBRUARY 12, 2004, UBS FINANCIAL SERVICES, INC., ALONG WITH 6 OTHER FIRMS, SETTLED WITH BOTH THE SEC AND NASD ACTIONS RELATING TO THE FIRM'S FAILURE TO UNIFORMLY PROVIDE BREAKPOINT DISCOUNTS TO CLIENTS DURING 2001 AND 2002. BREAKPOINT DISCOUNTS ARE VOLUME DISCOUNTS APPLICABLE TO FRONT-END SALES CHARGES ON CLASS A MUTUAL FUND SHARES. THE SEC AND NASD EACH BROUGHT CASES AGAINST A GROUP OF 7 FIRMS, AND THE NASD SEPARATELY BROUGHT ACTIONS AGAINST 8 OTHER FIRMS. Status: Final Sanction Detail: TO RESOLVE THE ACTIONS, ALL FIFTEEN FIRMS AGREED TO REVIEW ALL FRONT-END LOAD MUTUAL FUND TRADES IN EXCESS OF $2,500 BETWEEEN JANUARY 1, 2001 AND NOVEMBER 3, 2003, TO PROVIDE WRITTEN NOTIFICATION OF THE BREAKPOINTS PROBLEM TO EACH CUSTOMER WHO PURCHASED CLASS A SHARES FROM JAUNARY 1, 1999 TO NOVEMBER 3, 2002 TO ADVISE THESE CUSTOMERS THAT THEY MAY BE ENTITLED TO A REFUND; TO PROVIDE REFUNDS WHERE APPROPRIATE; AND TO PAY A FINE EQUAL TO THE AMOUNT OF THE FIRM'S PROJECTED OVERCHARGES. ALONG WITH OTHER FIRMS IN THE GROUP SETTLING WITH BOTH THE SEC AND NASD, UBS FINANCIAL SERVICES, INC. WAS FOUND TO HAVE VIOLATED SECTION 17(A)(2) OF THE SECURITIES ACT OF 1933 AND RULE 10B-10 UNDER THE SECURITIES EXCHANGE ACT OF 1934. THE NASD CHARGED ALL FIFTEEN FIRMS WITH VIOLATIONS OF ITS JUST AND EQUITABLE PRINCIPLES OF TRADE RULE. UBS FINANCIAL SERVICES WILL PAY A FINE OF $4,621,768, SPLIT EVENLY BETWEEN THE SEC AND NASD.
Allegations: ON SEPTEMBER 30, 2015 UBS FINANCIAL SERVICES INC. CONSENTED TO AND BECAME THE SUBJECT OF AN ORDER BY THE U.S. SECURITIES AND EXCHANGE COMMISSION ("SEC") IN CONNECTION WITH THE SEC'S MUNICIPALITIES CONTINUING DISCLOSURE COOPERATION INITIATIVE ("MCDC INITIATIVE"). AT APPROXIMATELY THE SAME TIME, 21 OTHER FIRMS ALSO CONSENTED TO AND BECAME THE SUBJECT OF SIMILAR ORDERS BY THE SEC. UNDER THE MCDC INITIATIVE, THE FIRM AND OTHER UNDERWRITERS, IN THEIR CAPACITY AS UNDERWRITERS INVOLVED IN THE OFFER AND SALE OF MUNICIPAL SECURITIES, SELF-REPORTED POSSIBLE VIOLATIONS INVOLVING MATERIALLY INACCURATE STATEMENTS, RELATING TO ISSUER PRIOR COMPLIANCE WITH CONTINUING DISCLOSURE OBLIGATIONS SPECIFIED IN RULE 15C2-12, MADE IN OFFICIAL STATEMENTS. THE ORDER CONTAINS A FINDING THAT THE FIRM VIOLATED SECTION 17(A)(2) OF THE SECURITIES ACT OF 1933 BY FAILING TO FORM A REASONABLE BASIS THROUGH ADEQUATE DUE DILIGENCE FOR BELIEVING THE TRUTHFULLNESS OF ASSERTIONS BY ISSUERS AND/OR OBLIGORS REGARDING THEIR COMPLIANCE WITH PREVIOUS CONTINUING DISCLOSURE UNDERTAKINGS PURSUANT TO RULE 15C2-12 IN CONNECTION WITH THE FIRM'S UNDERWRITING OF MUNICIPAL SECURITIES. WITHOUT ADMITTING OR DENYING THE UNDERLYING ALLEGATIONS AND WITHOUT ADJUDICATION OF ANY ISSUE OF LAW OR FACT, THE FIRM CONSENTED TO A CEASE AND DESIST ORDER IMPOSING A CENSURE, A CIVIL MONETARY PENALTY OF $480,000 AND ORDERING AN UNDERTAKING TO RETAIN AN INDEPENDENT CONSULTANT TO PROVIDE RECOMMENDATIONS REGARDING THE FIRM'S MUNICIPAL UNDERWRITING DUE DILIGENCE AND PROCEDURES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS CONTAINED IN THE MCDC ORDER, WITH THE EXCEPTION OF THE COMMISSION'S JURISDICTION OVER IT AND THE SUBJECT MATTER OF THE PROCEEDINGS, UBS FINANCIAL SERVICES INC. AGREED TO CONSENT TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A)(2) OF THE SECURITIES ACT, (B) PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $480,000.00 AND (C) COMPLY WITH CERTAIN UNDERTAKINGS. Summary: THE MCDC WAS A VOLUNTARY INITIATE IN WHICH THE SEC ENCOURAGED MUNICIPAL ISSUERS AND UNDERWRITERS TO SELF-REPORT VIOLATIONS INVOLVING MATERIALLY INACCURATE STATEMENTS RELATING TO PRIOR COMPLIANCE WITH THE CONTINUING DISCLOSURE OBLIGATIONS SPECIFIED IN RULE 15C2-12 UNDER THE SECURITIES EXCHANGE ACT.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTIONS 15(B) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND SECTIONS 203(E) AND 203 (K) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT") AGAINST UBS FINANCIAL SERVICES INC. ("UBS" OR "RESPONDENT"). THE COMMISSION FINDS THAT THESE PROCEEDINGS INVOLVE A COMPLEX INVESTMENT STRATEGY UBS MARKETED AND SOLD TO APPROXIMATELY 600 ADVISORY CLIENTS BETWEEN FEBRUARY 2016 AND FEBRUARY 2017 ("RELEVANT PERIOD") CALLED THE "YIELD ENHANCEMENT STRATEGY" ("YES"). UBS OFFERED YES THROUGH ITS PLATFORM OF DOMESTIC FINANCIAL ADVISORS WHO, IN TURN, RECOMMENDED IT TO THEIR CLIENTS. UBS CLIENTS ALLOCATED APPROXIMATELY $2 BILLION IN ASSETS TO THE PROGRAM DURING THE RELEVANT PERIOD. YES WAS INTENDED TO GENERATE PROFITS BY USING AN EXISTING PORTFOLIO OF DEBT OR EQUITY SECURITIES AS COLLATERAL TO PURCHASE AND SELL A COMBINATION OF OPTIONS ON THE S&P 500. YES HAD THE POTENTIAL TO GENERATE MODEST RETURNS DURING PERIODS OF LOW MARKET VOLATILITY; HOWEVER, THE STRATEGY COULD -- AND EVENTUALLY DID - SUFFER LOSSES DURING PERIODS OF HIGH MARKET VOLATILITY. UBS PROVIDED ITS FINANCIAL ADVISORS INADEQUATE TRAINING OR DEDICATED SUPERVISORY OVERSIGHT IN THIS COMPLEX OPTIONS TRADING STRATEGY DURING THE RELEVANT PERIOD, AS A RESULT CERTAIN OF THEM DID NOT UNDERSTAND THE SIGNIFICANT DOWNSIDE RISK. UBS ROLLED OUT FORMAL TRAINING AND OTHER ENHANCED SUPERVISORY CONTROLS AFTER A COMPREHENSIVE "FRONT-TO-BACK" REVIEW IN EARLY 2017. YES GENERATED MODEST RETURNS FOR THE FIRST COUPLE OF YEARS WHEN MARKET VOLATILITY WAS LOW; HOWEVER, THE STRATEGY BEGAN EXPERIENCING LOSSES IN EARLY 2018 AS MARKET VOLATILITY BEGAN TO INCREASE AND SUFFERED A 13% LOSS IN DECEMBER 2018 AND AN 18% LOSS FOR CALENDAR YEAR 2018. CERTAIN FINANCIAL ADVISORS AND CLIENTS EXPRESSED SURPRISE BY THESE LOSSES, AND CERTAIN CLIENTS CLOSED THEIR YES ACCOUNTS. Status: Final Sanction Detail: UBS SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 206(4) AND RULE 206(4)-7 PROMULGATED THEREUNDER; IS CENSURED; AND SHALL PAY DISGORGEMENT $5.8 MILLION, PREJUDGMENT INTEREST $1.4 MILLION, AND A CIVIL MONETARY PENALTY $17.4 MILLION, TOTALING $24.6 MILLION, OF WHICH $7.2 MILLION SHALL BE DEEMED SATISIFED BY PAYMENTS PREVIOUSLY MADE BY UBS TO INVESTORS.
Allegations: THE SEC FOUND THAT UBS FUND ADVISOR LLC, FAILED TO REASONABLY SUPERVISE UBS WILLOW MANAGEMENT LLC, BY FAILING TO DIRECT UBS WILLOW MANAGEMENT LLC TO INVEST WILLOW FUND ASSETS IN A MANNER CONSISTENT WITH ITS DISCLOSED INVESTMENT STRATEGY, TO DIRECT UBS WILLOW MANAGEMENT TO DISCLOSE THE CHANGED INVESTMENT STRATEGY, AND TO PREVENT UBS WILLOW MANAGEMENT FROM MAKING MATERIAL MISREPRESENTATIONS ABOUT THE FUND'S STRATEGY. UBS FUND ADVISOR NEITHER ADMITTED NOR DENIED THE FINDINGS. Status: Final Sanction Detail: DISGORGEMENT $8,223,110.00; PREJUDGMENT INTEREST $1,373,436.74; CIVIL MONEY PENALTY $3,000,000.00; INVESTOR LOSSES $4,903,620.00 Summary: UBS WILLOW MANAGEMENT LLC WAS ALSO A RESPONDENT IN THE CASE BUT IS NO LONGER IN EXISTENCE.
Allegations: THE CFTC ALLEGED THAT UBS AG, BY AND THROUGH THE ACTS OF CERTAIN PRECIOUS METALS SPOT TRADERS, ATTEMPTED TO MANIPULATE THE PRICE OF PRECIOUS METALS FUTURES CONTRACTS THROUGH SPOOFING AND ATTEMPTED TO MANIPULATE THE PRICE OF PRECIOUS METALS FUTURES CONTRACTS IN ORDER TO TRIGGER CUSTOMER STOP LOSS ORDERS. Status: Final Sanction Detail: $15,000,000 CIVIL MONETARY PENALTY WAS PAID BY UBS AG ON FEBRUARY 6, 2018.
Allegations: WASH TRADING VIOLATIONS/RULE VIOLATIONS ALLEGED ONLY (NO ACTUAL DAMAGES) Status: Final Sanction Detail: CEASE AND DESIST ORDER AND A $1,000.00 FINE PAYED TO KANSAS CITY BOARD OF TRADE. Summary: NOT PROVIDED
Allegations: ON OCTOBER 27, 2017, UBS FINANCIAL SERVICES INC. ("UBSFSI") ENTERED INTO A SETTLEMENT WITH THE SEC RESULTING IN THE SEC ISSUING AN ORDER (THE "ORDER") TO WHICH UBSFSI CONSENTED. THE ORDER CHARGED THAT UBSFI VIOLATED SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT OF 1933 BASED ON THE SEC'S FINDING THAT, FROM AT LEAST JANUARY 2010 THROUGH JUNE 2015, UBSFSI DID NOT HAVE ADEQUATE SYSTEMS AND CONTROLS TO DETERMINE WHETHER RETIREMENT PLAN AND CHARITABLE ORGANIZATION CUSTOMERS WERE ELIGIBLE TO RECEIVE WAIVERS OF SALES CHARGES ON CERTAIN MUTUAL FUND PURCHASES. AS A RESULT, UBSFI RECOMMENDED AND SOLD A MORE EXPENSIVE MUTUAL FUND SHARE CLASS TO THESE CUSTOMERS WHEN THEY WERE ELIGIBLE FOR A LESS EXPENSIVE SHARE CLASS. UBSFSI DID NOT DISCLOSE THAT IT WOULD RECEIVE GREATER COMPENSATION FROM THESE CUSTOMERS' PURCHASES OF THE MORE EXPENSIVE SHARE CLASS, OR THAT THE PURCHASE OF THE MORE EXPENSIVE SHARE CLASS WOULD NEGATIVELY IMPACT THE OVERALL RETURN ON THE CUSTOMERS' INVESTMENTS, IN LIGHT OF THE DIFFERENT FEE STRUCTURES FOR THE DIFFERENT FUND SHARE CLASSES. THE ORDER NOTED THAT UBSFI ALREADY HAS ISSUED PAYMENTS TO THE AFFECTED CUSTOMERS REFUNDING THE EXCESS FEES, AND ALREADY HAS CONVERTED EXISTING ELIGIBLE CUSTOMERS TO THE LOWER COST SHARES CLASSES. Status: Final Sanction Detail: UBS PAID THE $3.5 MILLION CIVIL MONEY PENALTY ON 11/13/2017 Summary: SOLELY FOR THE PURPOSE OF SETTLING THESE PROCEEDINGS, UBSFSI CONSENTED TO THE ORDER WITHOUT ADMITTING OR DENYING THE FINDINGS IN THE ORDER, EXCEPT AS TO THE SEC'S JURISDICTION OVER IT AND THE SUBJECT MATTER. THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ALLEGED THAT UBS NEGLIGENTLY MADE MISLEADING STATEMENTS AND OMISSIONS IN THE OFFER OR SALE OF SECURITIES, WHICH VIOLATED SECTION 17(A)(2)OF THE SECURITIES ACT. UBS HAS NEITHER ADMITTED OR DENIED THESE FINDINGS. Status: Final Sanction Detail: CEASE AND DESIST ORDER, (1) $10,000,000 IN DISGORGEMENT, (2) $1.5 MILLION IN PREJUDGMENT INTEREST; AND (3) $8,000,000 CIVIL MONETARY PENALTY.
Allegations: PRELIMINARY DETERMINATION TO RECOMMEND DISCIPLINARY ACTION FOR VIOLATIONS OF NASD MARKETPLACE RULE 6520(A) AND NASD CONDUCT RULE 2110. Status: Pending
Allegations: TRANSMITTAL OF DRAFT AWC TO RESOLVE CHAREGES UNDER CONSIDERATION BY NASDR THAT FIRM VIOLATED IM-2110-1 AND NASD CONDUCT RULE 2110. Status: Pending
Allegations: HCMC THE GREEK REGULATOR IS ALLEGING THAT UBS LIMITED HAD BREACHED CERTAIN PROVISIONS OF GREEK LAW ARTICLE 14 OF LAW 3340/2005 BY PUBLISHING A RESEARCH NOTE WHICH CONTAINED AN INCORRECT PRICE. Status: Pending
Allegations: VIOLATIONS OF ARTICLE III, SECTIONS 1, 2, 15, 18 AND 27 OF THE RULES OF FAIR PRACTICE, IN THAT THE FIRM, THROUGH A BRANCH OFFICE MANAGER, FAILED TO ESTABLISH, MAINTAIN AND/OR ENFORCE WRITTEN SUPERVISORY PROCEDURES. THE ITEM WAS APPEALED AND AMENDED IN THE THE ALLEGATIONS IN THE FOURTH CAUSE WERE CHANGED TO DELETE ARTICLE III, SECTIONS 18 AND 19 OF THE RULES OF FAIR PRACTICE. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTION DETAIL IS UNAVAILABLE.
Allegations: DUE TO THE AGE OF THE ITEM, THE ALLEGATIONS ARE UNAVAILABLE. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTION DETAIL IS UNAVAILABLE.
Allegations: DUE TO THE AGE OF THE ITEM, THE EXACT DETAILS ARE UNAVAILABLE. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTIN DETAIL IS UNAVAILABLE.
Allegations: DUE TO THE AGE OF THE ITEM, THE SPECIFIC ALLEGATIONS ARE UNAVAILABLE. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, SANCTION DETIAL IS UNAVAILABLE.
Allegations: DUE TO THE AGE OF THE ITEM, THE PRINCIPAL ALLEGATIONS ARE UNAVAILABLE. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, SACTION DETAIL IS UNAVAILABLE.
Allegations: DUE TO THE AGE OF THE ITEM, THE ALLEGATIONS ARE UNAVAILABLE. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTION DETAIL IS UNAVAILABLE.
Allegations: DUE TO THE AGE OF THE ITEM, THE ALLEGATIONS ARE UNAVAILABLE. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTION DETAIL IS UNAVAILBLE.
Allegations: DUE TO THE AGE OF THE ITEM, THE ALLEGATIONS ARE UNAVAILABLE. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTION DETAIL IS UNAVAILABLE.
Allegations: VIOLATION OF PART VI, SECTION 2(D) OF SCHEDULE D FOR ENTERING NASDAQU QUOTATIONS CONTAINING EXCESS SPREADS. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTION DETAIL IS UNAVAILABLE.
Allegations: VIOLATION OF ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE, IN THAT THE FIRM FAILED TO FILE AN ACCURATE UNIFORM TERMINATION NOTICE FOR SECURITIES INDUSTRY REGISTRATION BY FAILING TO INDICATE THAT IT WAS CONDUCTING AN INVESTIGATION. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTION DETIAL IS UNAVAILABLE.
Allegations: ALLEGED VIOLATIONS OF PART VI, SECTION 2(D) OF SCHEDULE D FOR ENTERING NASDAQ QUOTATIONS CONTAINING EXCESS SPREADS. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTION DETAIL IS UNAVAILABLE.
Allegations: ALLEGED THAT THE FIRM FAILED TO ENFORCE WRITTEN PROCEDURES OF THE MEMBER RELATING TO THE SUPERVISION OF A REGISTERED REPRESENTATIVE. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTION DETAIL IS UNAVAILABLE.
Allegations: ALLEGED FAILURE TO SUPERVISE VIOLATION OF A REGISTERED REPRESENTATIVE. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTION DETAIL IS UNAVAILABLE.
Allegations: ALLEGED VIOLATION OF MSRB RULES A-13 AND G-12(J) IN THAT THE FIRM FAILED IN CONNECTION WITH CERTAIN MUNICIPAL UNDERWRITINGS, WHICH THE FIRM MANAGED, TO PAY THE UNDERWRITING ASSESSMENT FEE TO THE MSRB WITHIN THIRTY CALENDAR DAYS FOLLOWING THE DTE OF THE SETTLEMENT WITH THE ISSUER. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTION DETAIL IS UNAVAILABLE.
Allegations: VIOLATIONS OF PART VI, SECTION 4(A) OF SCHEDULE D IN THAT THE FIRM FAILED TO REPORT ITS NASDAQ VOLUME. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTION DETAIL IS UNAVAILABLE.
Allegations: ALLEGED VIOLATIONS OF THE JUST AND EQUITABLE PRINCIPLES OF TRADE. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTION DETAIL IS UNAVAILABLE. Summary: FOR THE SOLE PURPOSE OF SETTLING THE PROCEEDING AND WITHOUT ADMITTING OR DENYING GUILT, THE FIRM CONSENTED TO A FINDING THAT IT ENGAGED IN CONDUCT INCONSISTENT WITH THE JUST AND EQUITABLE PRINCIPLES OF TRADE.
Allegations: ALLEGED VIOLATION OF EXCHANGE RULE 351(A)(80 IN THAT THE FIRM DID NOT PROMPLTY REPORT TO THE ECHANGE THAT A CLAIM FOR DAMAGES BY A CUSTOMER HAD BEEN SETTLED IN EXCESS OF $5000.00 Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTION DETAIL IS UNAVAILABLE.
Allegations: IN REVIEW #MRD200234808, THE DEPARTMENT OF MARKET REGULATION REVIEWED TRANSACTIONS REPORTED FOR THE PERIOD OF JANUARY 2, 2002 THROUGH MARCH 31, 2002. THE NASD FINDS THAT THE FIRM VIOLATED MARKETPLACE RULE 6130(B)AND NASD CONDUCT RULE 2110 IN THAT THEY FAILED TO ACCEPT OR DECLINE IN ACT 159 TRANSACTIONS IN ELIGIBLE SECURITIES WITHIN 20 MINUTES AFTER EXECUTION. Status: Final Sanction Detail: A FINE OF $5000.00 WAS IMPOSED. PAYMENT WAS ISSUED ON APRIL 1, 2003. Summary: THE DEPARMENT OF MARKET REGULATION FOUND THAT THE FIRM VIOLATED MARKETPLACE RULE 6130(B) AND NASD CONDUCT RULE 2110. THE FIRM EXECUTED A LETTER OF ACCPETANCE, WAIVER AND CONSENT ("AWC") AND PAID A FINE OF $5000.00
Allegations: IN REVIEW #MRD200130199 THE DEPARTMENT OF MARKET REGULATION REVIEWED TRANSACTIONS REPORTED TO THE AUTOMATED CONFIRMATION TRANSACTION SERVICE ("ACT") DURING THE PERIOD OF JANUARY 2, 2001 THROUGH MARCH 31, 2001. THE NASD FINDS THAT THE FIRM VIOLATED NASD CONDUCT RULE 2110 AND MARKETPLACE RULE 6620(A) REGARDING FAILURE TO TRANSMIT THROUGH ACT 339 LAST SALE REPORTS OF TRANSACTIONS IN OTC EQUITY SECURITIES WITHIN 90 SECONDS AFTER EXECUTION. Status: Final Sanction Detail: A FINE OF $5000.00 WAS IMPOSED. PAYMENT WAS ISSUED ON 04/01/2003. Summary: THE DEPARTMENT OF MARKET REGULATION FOUND THAT THE FIRM VIOLATED NASD MARKET PLACE RULE 6620(A) AND NASD CONDUCT RULE 2110. THE FIRM EXECUTED A LETTER OF ACCEPTANCE, WAIVER AND CONSENT ("AWC") AND PAID A FINE OF $5000.00
Allegations: NASD MARKETPLACE RULE 6955 (A)- RESPONDENT MEMBER DURING JANUARY 2, 2001 THROUGH FEBRUARY 8, 2001 FAILED TO SUBMIT REEQUIRED INFORMATION ON OATS ON 27 BUSINESS DAYS. Status: Final Sanction Detail: FIRM FINED $4000. Summary: RESPONDENT MEMBER FAILED TO SUBMIT REQUIRED INFORMATION TO OATS ON 27 BUSINESS DAYS. MEMBER AGREED TO PAY A $4000 FINE.
Allegations: ON 05/14/2003 THE APPLICANT REPORTED THAT THE NYSE ALLEGED THAT THE FIRM VIOLATED CERTAIN NYSE RULES IN CONNECTION WITH THE SALE AND MARKETING OF CALLABLE CD'S BY NOT EXERCISING DUE DILIGENCE TO LEARN CERTAIN ESSENTIAL FACTS ABOUT CERTAIN CUSTOMERS AND BY NOT MAKING CERTAIN ADEQUATE DISCLOSURES RELATING TO CALLABLE CD'S. THE CONDUCT ENDED IN 2000 Status: Final Sanction Detail: THE FIRM CONSENTED TO A CENSURE AND $175,000.00. THE DECISION BECAME FINAL 25 CALENDAR DAYS AFTER NOTICE OF THE HEARING ON JUNE 4, 2003.
Allegations: ALLEGED VIOLATIONS OF ARTICLE III, SECTION 2 AGAINST AN EMPLOYEE IN THE FIRMS RESEARCH DIVISION FOR CHANGING A PREVIOUSLY PUBLISHED RECOMMENDATION ON THE BASIS OF MATERAIL NON-PUBLIC INFORMATION Status: Final Sanction Detail: FINE OF $25,000.00, WHICH WAS PAID ON 06/24/1988. Summary: ITEM WAS APPEALED TO THE BOARD OF GOVERNORS, WHO RENDERED A DECISION ON DECEMBER 1, 1986, DISMISSING ALL ALLEGATIONS EXCEPT THOSE INVOLVING THE FIRM'S VIOLATIONS OF PART IX, SECTION 2 OF THE SCHEDULE D FOR FAILING TO REPORT CERTAIN TRANSACTIONS INVOLVING THE SECURITY IN QUESTION.
Allegations: ALLGED VIOLATION OF NFA BYLAW 1101 AND COMPLIANCE RULE 2-4. Status: Final Sanction Detail: THE FIRM NEITHER ADMITTED NOR DENIED THE ALLEGATIONS AND AGREED TO REFRAIN FROM VIOLATIONS OF NFA REQUIREMENTS.
Allegations: NASD CONDUCT RULE 2110 AND NASD MARKETPLACE RULE 6955(A) - THE RESPONDENT MEMBER ("FIRM") FAILED TO PROVIDE THE ROUTING FIRM NEW ORDER REPORTS SUBMITTED BY FIRM FOR WHOLESALE ORDERS RECEIVED ELECTRONICALLY FROM ANOTHER REPORTING MEMBER. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT MEMBER CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $7,500. Summary: THE NASD FOUND THAT UBS FINANCIAL SERVICES FAILED TO PROVIDE THE ROUTING FIRM NEW ORDER REPORTS SUBMITTED BY FIRM FOR WHOLESALE ORDERS RECEIVED ELECTRONICALLY FROM ANOTHER REPORTING MEMBER. THE FIRM WAS CENSURED AND FINED $7,500.
Allegations: NASD CONDUCT RULE 2110 AND 3010 - RESPONDENT MEMBER'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO SHORT SALES TRANSACTIONS REPORTED TO AUTOMATED CONFIRMATION TRANSACTION SERVICE ("ACT") ON ITS BEHALF. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE RESPONDENT MEMBER CONSENTED TO THE FINDING OF THE ALLEGATIONS AND TO THE FOLLOWING SANCTIONS: FINED $5,000. Summary: MEMBER'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO SHORT SALES TRANSACTIONS REPORTED TO ACT ON ITS BEHALF. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE RESPONDENT MEMBER CONSENTED TO THE FINDING OF THE ALLEGATIONS AND TO THE FOLLOWING SANCTIONS: FINED $5,000.
Allegations: ON FEBRUARY 12, 2004, UBS FINANCIAL SERVICES, INC., ALONG WITH 6 OTHER FIRMS, SETTLED WITH BOTH THE SEC AND NASD ACTIONS RELATING TO THE FIRM'S FAILURE TO UNIFORMLY PROVIDE BREAKPOINT DISCOUNTS TO CLIENTS DURING 2001 AND 2002. BREAKPOINT DISCOUNTS ARE VOLUME DISCOUNTS APPLICABLE TO FRONT-END SALES CHARGES ON CLASS A MUTUAL FUND SHARES. THE SEC AND NASD EACH BROUGHT CASES AGAINST A GROUP OF 7 FIRMS, AND THE NASD SEPARATELY BROUGHT ACTIONS AGAINST 8 OTHER FIRMS. Status: Final Sanction Detail: TO RESOLVE THE ACTIONS, ALL FIFTEEN FIRMS AGREED TO REVIEW ALL FRONT-END LOAD MUTUAL FUND TRADES IN EXCESS OF $2,500 BETWEEEN JANUARY 1, 2001 AND NOVEMBER 3, 2003, TO PROVIDE WRITTEN NOTIFICATION OF THE BREAKPOINTS PROBLEM TO EACH CUSTOMER WHO PURCHASED CLASS A SHARES FROM JAUNARY 1, 1999 TO NOVEMBER 3, 2002 TO ADVISE THESE CUSTOMERS THAT THEY MAY BE ENTITLED TO A REFUND; TO PROVIDE REFUNDS WHERE APPROPRIATE; AND TO PAY A FINE EQUAL TO THE AMOUNT OF THE FIRM'S PROJECTED OVERCHARGES. ALONG WITH OTHER FIRMS IN THE GROUP SETTLING WITH BOTH THE SEC AND NASD, UBS FINANCIAL SERVICES, INC. WAS FOUND TO HAVE VIOLATED SECTION 17(A)(2) OF THE SECURITIES ACT OF 1933 AND RULE 10B-10 UNDER THE SECURITIES EXCHANGE ACT OF 1934. THE NASD CHARGED ALL FIFTEEN FIRMS WITH VIOLATIONS OF ITS JUST AND EQUITABLE PRINCIPLES OF TRADE RULE. UBS FINANCIAL SERVICES WILL PAY A FINE OF $4,621,768, SPLIT EVENLY BETWEEN THE SEC AND NASD.
Allegations: BETWEEN JULY 2002 AND MAY 2003, UBS FINANCIAL SERVICES INC. DISTRIBUTED TWENTY-THREE PIECES OF SALES LITERATURE REGARDING PRIVATELY PLACED REGISTERED INVESTMENT COMPANIES TO ITS CUSTOMERS THAT DID NOT COMPLY WITH NASD CONDUCT RULES 2210(D)(1)(A) AND 2110. THESE INCLUDED ONE SALES PRESENTATION, AND TWENTY-TWO FUND UPDATES IN THE FORM OF QUARTERLY CLIENT LETTERS OR FUND FACT SHEETS. Status: Final Sanction Detail: UBS FINANCIAL SERVICES PAID A FINE OF $85,000.00. Summary: UBS FINANCIAL SERVICES SUBMITTED A LETTER OF ACCEPTANCE, WAIVER AND CONSENT REGARDING VIOLATIONS OF NASD CONDUCT RULES 2210(D)(1)(A) AND 2110. THE FIRM ALSO CONSENTED TO THE IMPOSITION OF A CENSURE, A FINE OF $85,000 AND AN UNDERTAKING TO TIMELY FILE WITHIN 30 DAYS OF 7/7/04 CERTAIN MATERIAL REGARDING PRIVATELY PLACED REGISTERED INVESTMENT COMPANIES.
Allegations: NASD ALLEGED VIOLATIONS OF CONDUCT RULES 2110 AND 2320 IN THAT, IN 70 TRANSACTIONS, UBS FINANCIAL SERVICES INC. ("UBS-FS") FAILED TO ASCERTAIN THE BEST INTER-DEALER MARKET SO THAT THE RESULTANT PRICE TO THE CUSTOMER WAS AS FAVORABLE AS POSSIBLE. IN ADDITION, NASD ALLEGED VIOLATION OF SEC RULE 10B-10(A)(2)(II)(B), IN THAT 56 TRADES, IN WHICH UBS-FS ACTED AS PRINCIPAL, UBS-FS PROVIDED CUSTOMERS WRITTEN NOTIFICATION OF YIELD INFORMATION, BUT FAILED TO PROVIDE REPORTED TRADE PRICE AND THE DIFFERENCE BETWEEN REPORTED TRADE PRICE AND PRICE TO CUSTOMER AND, IN ANOTHER 11 INSTANCES, UBS-FS FAILED TO PROVIDE THE CUSTOMERS REPORTED TRADE PRICE AND THE DIFFERENCE BETWEEN REPORTED TRADE PRICE AND PRICE TO CUSTOMER. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, UBS-FS CONSENTED TO A CENSURE AND $30,000 FINE (CONSISTING OF $25,000 FOR VIOLATION OF BEST EXECUTION RULES AND $5,000 FOR VIOLATIONS OF SEC RULE 10B-10) AND RESTITUTION IN THE AMOUNT OF $2,388.58, PLUS INTEREST.
Allegations: ON MAY 6, 2005, UBS FINANCIAL SERVICES, INC., WITHOUT ADMITTING OR DENYING THE FINDINGS, SIGNED A LETTER OF ACCEPTANCE, WAIVER AND CONSENT WITH THE NATIONAL ASSOCIATION OF SECURITIES DEALERS INC. ("NASD") RELATING TO THE FIRM'S MARKETING AND SALE OF A NON-PROPRIETARY MANAGED FUTURES FUND (THE "FUND") TO CERTAIN CUSTOMERS. THE NASD REVIEWED THE PERIOD JANUARY 2002 TO DECEMBER 2003, DURING WHICH TIME MORE THAN 4,000 UBS CUSTOMERS PURCHASED THE FUND. THE NASD FOUND THAT 14 CUSTOMERS MADE INVESTMENTS IN THE FUND THAT EXCEEDED 10% OF THEIR NET WORTH, WHICH WAS NOT PERMITTED BY THE PROSPECTUS. THE NASD ALSO FOUND THAT THE FIRM DID NOT MAINTAIN CERTAIN RECORDS DISCLOSING THE BASIS UPON WHICH SUITABILITY DETERMINATIONS WERE MADE WHEN THE FUND WAS RECOMMENDED TO CUSTOMERS, DID NOT ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM RELATED TO MAINTAINING THESE RECORDS AND DID NOT ADEQUATELY DESCRIBE CERTAIN OF THE RISKS OF INVESTING IN MANAGED FUTURES ON THE FIRM'S PUBLIC WEBSITE. Status: Final Sanction Detail: FINE OF $175,000 TO BE PAID WITHIN 10 DAYS OF NOTICE OF ACCEPTANCE OF THE AWC. Summary: ON MAY 6, 2005, UBS FINANCIAL SERVICES, INC., WITHOUT ADMITTING OR DENYING THE FINDINGS, SIGNED A LETTER OF ACCEPTANCE, WAIVER AND CONSENT WITH THE NATIONAL ASSOCIATION OF SECURITIES DEALERS INC. ("NASD") RELATING TO THE FIRM'S MARKETING AND SALE OF A NON-PROPRIETARY MANAGED FUTURES FUND (THE "FUND") TO CERTAIN CUSTOMERS. TO RESOLVE THIS MATTER, THE FIRM AGREED TO A CENSURE, A FINE OF $175,000, AND AGREED TO OFFER RESTITUTION TO THE 14 AFFECTED CUSTOMERS.
Allegations: UBS FINANCIAL SERVICES INC. SIGNED AN ACCEPTANCE WAIVER AND CONCENT (AWC) PURSUANT TO A REVIEW BY THE MARKET REGULATION DEPARTMENT WHEREBY IN THE LAST QUARTER OF 2003 AND THE THIRD QUARTER OF 2004, THE FIRM FAILED TO ACCEPT OR DECLINE A NUMBER OF TRANSACTIONS IN THE AUTOMATED CONFIRMATION TRANSACTION SERVICE (ACT) IN VIOLATION OF NASD CONDUCT RULE 2110 AND NASD MARKETPLACE RULE 6130(B). DURING THE REVIEW PERIODS THE FIRMS SUPERVISORY SYSTEM DID NOT INCLUDE WRITTEN SUPERVISORY PROCEDURES REGARDING TRADE REPORTING AS REQUIRED BY NASD MARKETPLACE RULE 6130(B), A VIOLATION OF NASD CONDUCT RULES 2110 AND 3010. Status: Final Sanction Detail: THE $42,500.00 FINES WERE PAID UPON ACCEPTANCE OF THE AWC. Summary: UBS FINANCIAL SERVICES INC. SIGNED AN ACCEPTANCE WAIVER AND CONCENT (AWC) PURSUANT TO A REVIEW BY THE MARKET REGULATION DEPARTMENT OF THE NASD. THE FIRM ALSO CONSENTED TO A CENSURE AND FINES TOTALLING $42,500.00.
Allegations: ON MAY 26, 2006, UBS FINANCIAL SERVICES INC., (FORMERLY KNOWN AS UBS PAINEWEBBER INC.), WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS OR FINDINGS, EXECUTED A STIPULATION OF FACTS AND CONSENT TO PENALTY WITH THE NEW YORK STOCK EXCHANGE ("NYSE") RELATING TO DISCRETE ISSUES IDENTIFIED IN VARIOUS BRANCH OFFICES DURING THE NYSE MEMBER FRIM REGULATION'S ANNUAL SALES PRACTICE EXAMINATIONS IN 2003 AND 2004. THE STIPULATION RESULTED IN NYSE HEARING BOARD DECISION 06-116, DATED7/5/2006 WHICH WAS FINALIZED ON AUGUST 4, 2006, AND WHICH CENSURES THE FIRM AND IMPOSES A FINE OF $175,000. THE DECISION SETS FORTH THAT, DURING 2003 AND 2004 IN CERTAIN BRANCHES, THE FIRM DID NOT: 1)EXCERCISE REASONABLE SUPERVISION AND CONTROL, INCLUDING A SEPERATE SYSTEM OF FOLLOW-UP AND REVIEW, WITH RESPECT TO THE REVIEW OF CERTAIN COMMUNICATIONS, TRADE CORRECTIONS, REVIEW OF TRADES IN CUSTOMER ACCOUNTS, RECORDS OF CUSTOMER ADDRESSES, AND RESTRICTIONS OF ACCOUNTS IN WHICH CUSTOMERS HAD RENEGED ON TRADES; 2)OBTAIN APPROPRIATE SUPERVISORY APPROVAL FOR CERTAIN ACCOUNT DESIGNATION CHANGES PRIOR TO EFFECTING SUCH CHANGES; 3)FREEZE OR RESTRICT CERTAIN CUSTOMER ACCOUNTS IN WHICH CUSTOMERS HAD RENEGED ON TRADES; 4)MAINTAIN ADEQUATE MEMORANDA OF CERTAIN ORDERS THAT CONTAINED ALL OF THE REQUIRED ELEMENTS; AND 5)EXCERCISE DUEDILIGENCE IN CERTAIN ACCOUNTS THAT USED POST OFFICE BOX ADDRESSES, AND WHERE ACCOUNT DOCUMENTS WERE SENT TO A THIRD PARTY. Status: Final Sanction Detail: THE STIPULATION RESULTED IN NYSE HEARING BOARD DECISION 06-116, WHICH WAS FINALIZED ON AUGUST 4, 2006, AND WHICH CENSURES THE FIRM AND IMPOSES A FINE OF $175,000. THE DECISION FURTHER SETS FORTH THAT THE NYSE REGULATION TOOK INTO CONSIDERATION THAT NONE OF THE IDENTIFIED DEFICIENCIES INVOLVED SITUATIONS WHERE CUSTOMERS WERE HARMED AND THAT THE FIRM QUICKLY TOOK STEPS TO CORRECT THE AFOREMENTIONED DEFICIENCIES. Summary: UBS FINANCIAL SERVICES INC., (FORMERLY KNOWN AS UBS PAINEWEBBER INC.), WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS OR FINDINGS, ENTERED INTO A STIPULATION OF FACTS AND CONSENT TO PENALTY WITH THE NEW YORK STOCK EXCHANGE ("NYSE") RELATING TO DISCRETE ISSUES IDENTIFIED IN VARIOUS BRANCH OFFICES DURING THE NYSE MEMBER FRIM REGULATION'S ANNUAL SALES PRACTICE EXAMINATIONS IN 2003 AND 2004. NYSE HEARING BOARD DECISION 06-116 CENSURES THE FIRM AND IMPOSES A FINE OF $175,000.
Allegations: NASD CONDUCT RULES 2110 AND 2320 - DURING THE PERIOD JANUARY 1, 2005 - MARCH 31, 2005 IN 5 CUSTOMER TRANSACTIONS, UBS FINANCIAL SERVICES INC. DID NOT USE REASONABLE DILIGENCE TO ASCERTAIN THE BEST INTER-DEALER MARKET AND DID NOT BUY OR SELL IN SUCH MARKET SO THAT THE RESULTANT PRICES TO THE 5 CUSTOMERS WERE AS FAVORABLE AS POSSIBLE UNDER PREVAILING MARKET CONDITIONS. Status: Final Sanction Detail: RESTITUTION IS TO BE PAID NO LATER THAN 120 DAYS AFTER ACCEPTANCE OF THE AWC BY FINRA. Summary: DURING THE PERIOD JANUARY 1, 2005 - MARCH 31, 2005 IN 5 CUSTOMER TRANSACTIONS, UBS FINANCIAL SERVICES INC. DID NOT USE REASONABLE DILIGENCE TO ASCERTAIN THE BEST INTER-DEALER MARKET. WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE FOLLOWING SANCTIONS: A CENSURE, A $30,000 FINE AND RESTITUTION TO THE 5 CUSTOMERS IN THE TOTAL AMOUNT OF $11,630, PLUS INTEREST.
Allegations: THE FIRM, WITHOUT ADMITTING OR DENYING GUILT, CONSENTED TO FINDINGS THAT IT A) VIOLATED NYSE RULE 401(A) BY NOT ENSURING DELIVERY OF PROSPECTUSES IN CONNECTION WITH SALES OF CERTAIN REGISTERED SECURITIES IN VIOLATION OF SECTION 5(B)(2) OF SECURITIES ACT OF 1933 AND B) VIOLATED NYSE RULE 342 BY NOT PROVIDING FOR, ESTABLISHING OR MAINTAINING APPROPRIATE PROCEDURES OF SUPERVISION AND CONTROL, INCLUDING SYSTEM OF FOLLOW UP AND REVIEW, WITH RESPECT TO OPERATIONAL AND TECHNOLOGICAL ACTIVITIES REGARDING THE DELIVERY OF PROSPECTUSES. Status: Final Sanction Detail: CENSURE AND FINE OF $500,000. Summary: THE FIRM, WITHOUT ADMITTING OR DENYING GUILT, CONSENTED TO FINDINGS THAT IT A) VIOLATED NYSE RULE 401(A) BY NOT ENSURING DELIVERY OF PROSPECTUSES IN CONNECTION WITH SALES OF CERTAIN REGISTERED SECURITIES AND B) VIOLATED NYSE RULE 342 BY NOT PROVIDING FOR, ESTABLISHING OR MAINTAINING APPROPRIATE PROCEDURES OF SUPERVISION AND CONTROL. THE FIRM CONSENTED TO A CENSURE AND FINE OF $500,000 AND AN UNDERTAKING TO PROVIDE ENFORCEMENT, WITHIN 90 DAYS, WITH A WRITTEN CERTIFICATION THAT THE FIRM'S CURRENT POLICIES AND PROCEDURES.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO A FINDING THAT, FROM JANUARY 1, 2002 TO DECEMBER 31, 2004, IT DID NOT FILE CERTAIN AMENDMENTS TO FORMS U4 AND U5 ON A TIMELY BASIS AND DID NOT HAVE ADEQUATE SUPERVISORY SYSTEMS IN PLACE TO ACHIEVE COMPLIANCE WITH THE RULES REQUIRING THAT IT DO SO. THE FIRM ALSO CONSENTED TO A FINDING THAT, FROM JANUARY 1, 2002 TO DECEMBER 31, 2004, IT DID NOT FILE CERTAIN AMENDMENTS TO FORMS U4 AND U5 AND THAT, FROM JANUARY 1, 2002 TO JUNE 18, 2003, IT DID NOT FILE CERTAIN FORMS U5 ON A TIMELY BASIS AND WITH ACCURATE TERMINATION DATES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO RECEIVING A CENSURE, TO PAYING A $370,000 FINE, AND TO CONDUCTING AN AUDIT TO ASSESS THE EFFECTIVENESS OF ITS SYSTEMS AND PROCEDURES FOR ACHIEVING COMPLIANCE WITH THE FIRM'S REPORTING OBLIGATION WITH RESPECT TO THE TIMELY FILING OF CERTAIN REQUIRED AMENDMENTS TO FORMS U4 AND U5. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS,THE FIRM CONSENTED TO A FINDING THAT, FROM JANUARY 1, 2002 TO DECEMBER 31, 2004, IT DID NOT FILE CERTAIN AMENDMENTS TO FORMS U4 AND U5 ON A TIMELY BASIS AND THAT, FROM JANUARY 1, 2002 TO JUNE 18, 2003, IT DID NOT FILE CERTAIN FORMS U5 ON A TIMELY BASIS AND WITH ACCURATE TERMINATION DATES. WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO RECEIVING A CENSURE, TO PAYING A $370,000 FINE, AND TO CONDUCTING AN AUDIT TO ASSESS THE EFFECTIVENESS OF ITS SYSTEMS AND PROCEDURES FOR ACHIEVING COMPLIANCE WITH THE FIRM'S REPORTING OBLIGATION.
Allegations: NASD RULES 2110, 2310 AND 3010: THIS MATTER ARISES IN PART FROM A REVIEW OF UBS FINANCIAL SERVICES INC. ("UBSFS" OR THE "FIRM") SALE OF CLASS B MUTUAL FUND SHARES BETWEEN JANUARY 1, 2002 AND MAY 31, 2003 AND THE SALE OF CLASS C MUTUAL FUND SHARES BETWEEN JANUARY 1, 2002 AND SEPTEMBER 30, 2003 (COLLECTIVELY THE "CLASS B AND CLASS C SHARE REVIEW PERIOD"). WITHIN THE CLASS B AND CLASS C SHARE REVIEW PERIOD UBSFS EFFECTED TRANSACTIONS WHERE IT MADE RECOMMENDATIONS TO CUSTOMERS TO PURCHASE CLASS B AND CLASS C SHARES THROUGH ITS REGISTERED REPRESENTATIVES WHERE AN EQUAL INVESTMENT IN CLASS A SHARES WOULD GENERALLY HAVE BEEN MORE ADVANTAGEOUS FOR CERTAIN CUSTOMERS. THIS MATTER ALSO ARISES FROM A REVIEW OF UBSFS' SALE OF SHARES OF VARIOUS CLASSES OF MUTUAL FUNDS WHERE, BETWEEN JANUARY 1,2002 THROUGH JUNE 30, 2004 (THE "NAV REVIEW PERIOD"), UBSFS DID NOT PROVIDE CERTAIN INVESTORS THE OPPORTUNITY TO PURCHASE CLASS A SHARES OF CERTAIN MUTUAL FUNDS AT NAV WHERE THE RELEVANT MUTUAL FUND HAD AN NAV TRANSFER PROGRAM APPLICABLE TO THOSE PARTICULAR TRANSACTIONS. DURING THE RELEVANT REVIEW PERIOD, UBSFS DID NOT ESTABLISH, MAINTAIN AND ENFORCE SUPERVISORY SYSTEMS AND PROCEDURES REASONABLY DESIGNED TO A) IDENTIFY NAV TRANSFER PROGRAMS OFFERED BY THE MUTUAL FUNDS THAT IT SOLD TO ITS CUSTOMERS AND B) PROVIDE CONSIDERATION TO, ON A CONSISTENT BASIS, THE BENEFITS OF THE VARIOUS MUTUAL FUND SHARE CLASSES AS THEY APPLIED TO INDIVIDUAL CUSTOMERS. Status: Final Sanction Detail: THE FIRM MUST COMPLY WITH A NUMBER OF UNDERTAKINGS OUTLINED IN "OTHER SANCTIONS" ABOVE.
Allegations: NASD RULES 2110, 2320: IN TRANSACTIONS FOR OR WITH A CUSTOMER, THE FIRM DID NOT USE REASONABLE DILIGENCE TO ASCERTAIN THE BEST INTER-DEALER MARKET AND DID NOT BUY OR SELL IN SUCH MARKET SO THAT THE RESULTANT PRICE TO ITS CUSTOMER WAS AS FAVORABLE AS POSSIBLE UNDER PREVAILING MARKET CONDITIONS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED AND FINED $11,500.
Allegations: MSRB RULES G-17, G-30(B) - UBS FINANCIAL SERVICES INC. PURCHASED OR SOLD MUNICIPAL SECURITIES AS AGENT FOR A CUSTOMER FOR A COMMISSION OR SERVICE CHARGE THAT WAS IN EXCESS OF A FAIR AND REASONABLE AMOUNT, TAKING INTO CONSIDERATION ALL RELEVANT FACTORS, INCLUDING THE AVAILABILITY OF THE SECURITIES INVOLVED IN THE TRANSACTION, THE EXPENSE OF EXECUTING OR FILLING THE CUSTOMER'S ORDER, THE VALUE OF THE SERVICES RENDERED BY THE BROKER, DEALER OR MUNICIPAL SECURITIES DEALER, AND THE AMOUNT OF ANY OTHER COMPENSATION RECEIVED OR TO BE RECEIVED BY THE BROKER, DEALER OR MUNICIPAL SECURITIES DEALER IN CONNECTION WITH THE TRANSACTION. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED, FINED $17,000 AND REQUIRED TO PAY $1,620.25, PLUS INTEREST, IN RESTITUTION TO AN INVESTOR. A REGISTERED PRINCIPAL OF THE FIRM SHALL SUBMIT SATISFACTORY PROOF OF PAYMENT OF THE RESTITUTION, OR OF REASONABLE AND DOCUMENTED EFFORTS UNDERTAKEN TO EFFECT RESTITUTION TO FINRA NO LATER THAN 120 DAYS AFTER ACCEPTANCE OF THIS AWC. ANY UNDISTRIBUTED RESTITUTION AND INTEREST SHALL BE FORWARDED TO THE APPROPRIATE ESCHEAT, UNCLAIMED PROPERTY OR ABANDONED PROPERTY FUND FOR THE STATE IN WHICH THE CUSTOMER LAST RESIDED. THE FIRM MADE RESTITUTION TOTALING $6,583.60 FOR THE OTHER CUSTOMER TRANSACTIONS AND FOR WHICH NO ADDITIONAL RESTITUTION IS REQUIRED.
Allegations: FINRA ALLEGED THAT THE FIRM PERMITTED CERTAIN HOME OFFICE EMPLOYEES TO FUNCTION AS PRINCIPALS OR REPRESENTATIVES WITHOUT THE REQUISITE REGISTRATION, AND THAT WITH RESPECT TO SUCH EMPLOYEES THE FIRM DID NOT HAVE ADEQUATE POLICIES AND PROCEDURES REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH APPLICABLE REGISTRATION RULES. Status: Final Sanction Detail: UBS WILL PAY THE FINE OF $200,000.00 AND AGREES TO THE UNDERTKAING AND CENSURE IMPOSED BY FINRA Summary: THE FIRM WILL UNDERTAKE A REVIEW OF ITS SUPERVISORY SYSTEM AND PROCEDURES CONCERNING COMPLIANCE WITH APPLICABLE REGISTRATION REQUIREMENTS FOR HOME OFFICE EMPLOYEES AND WILL REPORT TO FINRA THE RESULTS OF THAT REVIEW WITHIN 120 DAYS OF THE ISSUANCE OF THE AWC.
Allegations: UBS FINANCIAL SERVICES, INC. FAILED TO REPORT TO THE TRADE REPORTING AND COMPLIANCE ENGINE (TRACE) BLOCK TRANSACTIONS IN TRACE-ELIGIBLE SECURITIES WITHIN 15 MINUTES OF THE TIME OF EXECUTION. THE FIRM FAILED TO REPORT TO TRACE S1 TRANSACTIONS IN TRACE-ELIGIBLE SECURITIES AND TRACE-ELIGIBLE DEBT SECURITIES WITHIN 15 MINUTES OF THE TIME OF EXECUTION. THIS CONDUCT CONSTITUTES VIOLATIONS OF FINRA RULE 6730(A) AND FINRA RULE 2010. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS- CENSURED AND FINED $60,000.
Allegations: FINRA ALLEGED THAT DURING THE PERIOD NOVEMBER 2004 THROUGH SEPTEMBER 2006, UBS FINANCIAL SERVICES INC. VIOLATED MUNICIPAL SECURITIES RULEMAKING BOARD ("MSRB") RULE 0-27 BY FAILING TO REASONABLY SUPERVISE CERTAIN CROSS-TRADING OF MUNICIPAL BONDS BY RETAIL CUSTOMERS, IN THAT THE FIRM LACKED ADEQUATE POLICIES AND PROCEDURES TO MONITOR THIS TYPE OF TRADING. IN ADDITION, THE FIRM FAILED TO CONDUCT ADEQUATE FOLLOW-UP ON RED FLAGS WHICH PUT IT ON NOTICE THAT ONE OF ITS REGISTERED REPRESENTATIVES MAY HAVE BEEN EXERCISING DISCRETION IN CUSTOMER ACCOUNTS TO ENGAGE IN UNSUITABLE CROSS-TRADING OF MUNICIPAL BONDS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS AND WAS CENSURED AND FINED $300,000.
Allegations: BETWEEN MARCH AND MAY 2007, UBS FAILED TO ADEQUATELY SUPERVISE THE RECOMMENDATIONS OF ALTERNATIVE INVESTMENTS MADE BY ONE OF ITS REGISTERED REPRESENTATIVES TO AN INSTITUTIONAL CUSTOMER OF THE FIRM. THOSE RECOMMENDATIONS WERE INCONSISTENT WITH THE INVESTMENT POLICY MAINTAINED BY THE CUSTOMER. IN ADDITION, UBS FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN SUPERVISORY PROCEDURES (WSPS) REASONABLY DESIGNED TO ENSURE THE PROPER SUPERVISION OF CERTAIN INSTITUTIONAL ACCOUNTS SUBJECT TO ASSET ALLOCATION RESTRICTIONS AND PROVIDE ITS SUPERVISORS WITH TOOLS PERMITTING THE REVIEW AND ASSESSMENT OF CONCENTRATION LEVELS IN ALTERNATIVE INVESTMENTS. AS A RESULT OF THE REFERENCED ACTS OR OMISSIONS, UBS VIOLATED NASD RULES 3010 AND 2110. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE THE FIRM WAS CENSURED AND FINED $50,000.
Allegations: FINRA ALLEGED THAT THE FIRM DID NOT HAVE ANY SUPERVISORY PROCEDURES IN PLACE TO ENSURE THAT THE PAYROLL DEPARTMENT NOTIFIED COMPLIANCE OR SUPERVISORY PERSONNEL TO DETERMINE IF THE WAGE GARNISHMENTS THEY RECEIVED INVOLVED A REPORTABLE EVENT ON A FORM U4. WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO FINDINGS THAT IT FAILED TO AMEND, OR TIMELY AMEND, THE FORM U4 FOR A SMALL NUMBER OF REGISTERED REPRESENTATIVES TO REPORT UNSATISFIED TAX LIENS AND CIVIL JUDGMENTS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $500,000.
Allegations: THE NFA ALLEGED THAT, ON OCTOBER 7, 2014, THE FIRM'S BANK DEPOSITORY AUTO-SWEPT FUNDS FROM A CUSTOMER SECURED AMOUNT FUNDS ACCOUNT TO A NON-SECURED AMOUNT FUNDS ACCOUNT IN AN AMOUNT EXCEEDING 25% OF THE TARGET RESIDUAL INTEREST AMOUNT WITHOUT OBTAINING WRITTEN PRE-APPROVAL OF A FINANCIAL PRINCIPAL AND SUBMITTING THE PRE-APPROVAL TO THE NFA. THE FUNDS WERE SWEPT BACK INTO THE SECURED AMOUNT FUNDS ACCOUNT ON OCTOBER 8, 2014. THE NFA FURTHER ALLEGES THAT, ON OCTOBER 24, 2014, A FIRM EMPLOYEE INADVERTENTLY MOVED FUNDS FROM THE FIRM'S CUSTOMER SECURED AMOUNT FUNDS ACCOUNT TO A NON-SECURIED AMOUNT FUNDS ACCOUNT IN AN AMOUNT EXCEEDING 25% OF THE TARGET RESIDIUAL INTEREST AMOUNT WITHOUT OBTAINING WRITTEN PRE-APPROVAL OF A FINANCIAL PRINCIPAL AND SUBMITTING THE PRE-APPROVAL TO THE NFA. NO CLIENTS WERE HARMED. Status: Final Sanction Detail: THE FIRM WAS FINED $17,500.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT THE ACCURATE TIME OF EXECUTION OF TRANSACTIONS IN TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)-ELIGIBLE SECURITIZED PRODUCTS TO TRACE. THE FINDINGS STATED THAT THE FIRM FAILED TO RECORD THE CORRECT TIME OF EXECUTION ON THE MEMORANDUM OF BROKERAGE ORDERS OF SECURITIZED PRODUCT TRANSACTIONS. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO REPORT TRANSACTIONS IN TRACE-ELIGIBLE S1 AGENCY DEBT SECURITIES WITHIN 15 MINUTES OF THE TIME OF EXECUTION TO TRACE. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $45,000.
Allegations: VIOLATION OF SECTION 27 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE. Status: Final Sanction Detail: IN DECEMBER 1981, A DISTRICT BUSINESS CONDUCT COMMITTEE OF THE NASD IMPOSED A PENALTY OF A CENSURE AND $5,000 FINE JOINTLY AND SEVERALLY AGAINST PAINE, WEBBER, JACKSON & CURTIS INCORPORATED AND TWO OF ITS EX-BRANCH MANAGERS FOR A VIOLATION OF SECTION 27 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE.
Allegations: VIOLATION OF CBOE RULE 6.74(B). "CROSSING" ORDERS. Status: Final Sanction Detail: PAINEWEBBER SUBMITTED AN OFFER OF SETTLEMENT WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, TO A FINDING OF VIOLATION OF CBOE RULE 6.74(B). "CROSSING" ORDERS. PAINEWEBBER PAID A FINE OF $10,000.00 AND WAS CENSURED.
Allegations: COMPUTER ENTRY ERROR CAUSED CERTAIN ORDERS FOR CORRESPONDENTS TO BE IMPROPERLY DESIGNATED AS CUSTOMER ORDERS, ALLOWING THEM TO BE EXECUTED THE RETAIL AUTOMATED EXECUTION SYSTEM ("RAES"). FAILED TO PREVENT ONE CLIENT FROM "FREE-RIDING") Status: Final Sanction Detail: PAINEWEBBER, WITHOUT ADMITTING OR DENYING THE ALLEGED VIOLATIONS, CONSENTED TO A FINE OF $50,000, A CENSURE, AND TO PERFORM THE UNDERTAKINGS SET FORTH IN THE QUESTION BELOW. Summary: PWI AGREED: A) TO SUBMIT TO THE CBOE WITHIN 60 DAYS WRITTEN PROCEDURES CONCERNING THE ENTRY AND EXECUTION OF ALL BROKER-DEALER ACCOUNT ORDERS, AND THE SUBMISSION TO THE CBOE OF TRADE INFORMATION COVERING SUCH ORDERS; AND B) TO RETAIN A CONSULTANT TO REVIEW THESE PROCEDURES FOR THE DETECTION OF FREE RIDING, AND PROCEDURES FOR THE ENFORCEMENT OF 90-DAY RESTRICTIONS. THIS REVIEW SHALL BE SUBMITTED TO THE CBOE WITHIN 6 MONTHS.
Allegations: VIOLATION OF THE EXCHANGE'S POSITION LIMITS. Status: Final Sanction Detail: IN APRIL, 1979, THE CHICAGO BOARD OF OPTIONS EXCHANGE ADMONISHED AND FINED PAINE, WEBBER, JACKSON & CURTIS, INC. $500.00 FOR A VIOLATION OF THAT EXCHANGE'S POSITION LIMITS.
Allegations: VIOLATION OF THE NATIONAL ASSOCIATION OF SECURITIES DEALERS FREE RIDING AND WITHHOLDING RULES. Status: Final Sanction Detail: IN JANUARY, 1971, PAINE, WEBBER, JACKSON & CURTIS INCORPORATED WAS CENSURED AND FINED IN THE AMOUNT OF $200.00 BY THE NATIONAL ASSOCIATION OF SECURITIES DEALERS. THIS CENSURE AND FINE WERE IMPOSED UPON PAINE, WEBBER, JACKSON & CURTIS, INC. FOR VIOLATION OF THE NATIONAL ASSOCIATION OF SECURITIES DEALERS FREE RIDING AND WITHHOLDING RULES.
Allegations: VIOLATED VARIOUSLY ARTICLE III SECTIONS 1 AND 27 OF THE NASD'S RULES OF FAIR PRACTICE AND PART IX, SECTION 2 OF SCHEDULE D OF THE NASD'S BY-LAWS. Status: Final Sanction Detail: ON FEBRUARY 7, 1986, THE MARKET SURVEILLANCE COMMITTEE OF THE NASD FOUND THAT PAINEWEBBER INC. AND TWO OF ITS EMPLOYEES VIOLATED VARIOUSLY ARTICLE III SECTIONS 1 AND 27 OF THE NASD'S RULES OF FAIR PRACTICE AND PART IX, SECTION 2 OF SCHEDULE D OF THE NASD'S BY-LAWS, CENSURED AND FINED PAINEWEBBER $50,000, AND REQUIRED THE ADOPTION OF CERTAIN PROCEDURES. PAINEWEBBER AND THE EMPLOYEES HAVE FILED AN APPLICATION FOR REVIEW AND APPEAL OF THE DECISION BY THE NASD'S BOARD OF GOVERNORS. ALL PENALTIES HAVE BEEN STAYED PENDING COMPLETION OF THE BOARD'S REVIEW.
Allegations: FAILURE TO ADEQUATELY SUPERVISE THE ACTIVITIES OF A FORMER BRANCH MANAGER. Status: Final Sanction Detail: IN DECEMBER 1981, PAINE, WEBBER, JACKSON & CURTIS INCORPORATED CONSENTED TO A FINE OF $2,000 IMPOSED BY THE NASD FOR FAILING TO ADEQUATELY SUPERVISE THE ACTIVITIES OF A FORMER BRANCH MANAGER.
Allegations: ALLEGED VIOLATIONS OF THE ASSOCIATION'S FREE-RIDING AND WITHHOLDING INTERPRETATION. Status: Final Sanction Detail: IN NOVEMBER, 1985, THE BOARD OF GOVERNORS OF THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ACCEPTED AN OFFER OF SETTLEMENT FINING PAINEWEBBER INC $2,000.00 AND CENSURING FOUR INDIVIDUALS FOR ALLEGED VIOLATIONS OF THE ASSOCIATION'S FREE-RIDING AND WITHHOLDING INTERPRETATION.
Allegations: FAILURE TO REPORT VOLUME ON NASDAQ Status: Final Sanction Detail: IN DECEMBER, 1980, PAINE, WEBBER, JACKSON & CURTIS INC. CONSENTED TO A $100.00 FINE IMPOSED BY THE NASD FOR FAILURE TO REPORT VOLUME ON NASDAQ.
Allegations: FOR REPEATED FAILURES TO REPORT NASDQ VOLUME ON APPROXIMATELY 17 OCCASIONS BETWEEN MARCH 1983 AND MAY 1983. Status: Final Sanction Detail: IN DECEMBER 1983, PAINE WEBBER JACKSON & CURTIS WAS FINED $2500 BY THE TRADING COMMITTEE OF THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC., FOR REPEATED FAILURES TO REPORT NASDQ VOLUME ON APPROXIMATELY 17 OCCASIONS BETWEEN MARCH 1983 AND MAY 1983.
Allegations: FAILURE TO PROPERLY SUPERVISE THE ACTIVITIES OF A FORMER STOCKBROKER AND BRANCH OFFICE CASHIER. Status: Final Sanction Detail: IN MARCH, 1971, PAINE, WEBBER, JACKSON & CURTIS INCORPORATED WAS CENSURED BY THE NASD IN THAT IT FAILED TO PROPERLY SUPERVISE THE ACTIVITIES OF A FORMER STOCKBROKER AND BRANCH OFFICE CASHIER. IN CONJUNCTION WITH THE SAME ACTION, THE OPERATIONS MANAGER OF THE BRANCH OFFICE WAS ALSO CENSURED.
Allegations: VIOLATION OF SECTION 1 AND 27 OF ARTICLE II OF THE ASSOCIATION'S RULES OF FAIR PRACTICE Status: Final Sanction Detail: IN DECEMBER 1982, PAINE, WEBBER, JACKSON & CURTIS, INCORPORATED STIPULATED AND CONSENTED TO THE IMPOSITION OF A CENSURE BY THE NASD FOR A VIOLATION OF SECTION 1 AND 27 OF ARTICLE II OF THE ASSOCIATION'S RULES OF FAIR PRACTICE.
Allegations: ALLEGED RULE VIOLATIONS REGARDING THE FAILURE TO ESTABLISH AND MAINTAIN PROCEDURES FOR SECURING FLOOR ORDER FORMS USED ON THE EXCHANGE FLOOR Status: Final Sanction Detail: IN MAY 1984, PAINE WEBBER JACKSON & CURTIS RECEIVED A SEVERE REPRIMAND FROM THE CHICAGO BOARD OF TRADE FLOOR GOVERNORS COMMITTEE, PURSUANT TO AN OFFER OF SETTLEMENT FOR ALLEGED RULE VIOLATIONS REGARDING THE FAILURE TO ESTABLISH AND MAINTAIN PROCEDURES FOR SECURING FLOOR ORDER FORMS USED ON THE EXCHANGE FLOOR.
Allegations: FAILURE TO SUPERVISE THE ACTIVITIES OF A RESPONDENT BROKER IN CONNECTION WITH A SPECIFIC CUSTOMER ACCOUNT Status: Final Sanction Detail: IN JANUARY 1984, PAINE WEBBER JACKSON & CURTIS AND BLYTHE EASTMAN DILLON AND CO., INC., WERE EACH CENSURED AND RESPECTIVELY FINED $750 AND $2500 FOR ALLEGEDLY FAILING TO SUPERVISE THE ACTIVITIES OF A RESPONDENT BROKER IN CONNECTION WITH A SPECIFIC CUSTOMER ACCOUNT. THE DECISION RESULTED FROM AN OFFER OF SETTLEMENT SUBMITTED BY PAINE WEBBER AND BLYTHE AND ACCEPTED BY THE ASSOCIATION.
Allegations: VIOLATIONS OF EXCHANGE RULE 904 Status: Final Sanction Detail: IN JUNE 1983, PAINE WEBBER JACKSON & CURTIS, INC., WAS FINED $2500 BY THE AMERICAN STOCK EXCHANGE PURSUANT TO A STIPULATION AND CONSENT TO PENALTY SUBMITTED BY THE FIRM IN RESPONSE TO CHARGES OF VIOLATIONS OF EXCHANGE RULE 904.
Allegations: FAILURE TO OBTAIN THEIR PRIOR APPROVAL FOR AN OFF-FLOOR TRADE ON A SECURITY LISTED ON THAT EXCHANGE. Status: Final Sanction Detail: IN AUGUST,1971, PAINE, WEBBER, JACKSON & CURTIS WAS FINED BY THE PHILADELPHIA-BOSTON AND WASHINGTON STOCK EXCHANGE FOR FAILURE TO OBTAIN THEIR PRIOR APPROVAL FOR AN OFF-FLOOR TRADE ON A SECURITY LISTED ON THAT EXCHANGE.
Allegations: FAILURE TO OBTAIN THE PRIOR APPROVAL OF THE NASD TO RE-ENTER A QUOTATION OF NASDAQ. Status: Final Sanction Detail: IN MAY, 1981, PAINE, WEBBER, JACKSON & CURTIS, INC. CONSENTED TO A $200.00 FINE IMPOSED BY THE NASD FOR FAILURE TO OBTAIN THE PRIOR APPROVAL OF THE NASD TO RE-ENTER A QUOTATION OF NASDAQ.
Allegations: A PURPORTED VIOLATION OF COMMODITY EXCHANGE INC. EMERGENCY RULE. Status: Final Sanction Detail: IN APRIL, 1981, PAINE WEBBER, JACKSON & CURTIS, INC. CONSENTED TO A FINE OF $25,000 IMPOSED BY THE COMMODITY EXCHANGE, INC. A PURPORTED VIOLATION OF COMMODITY EXCHANGE INC. EMERGENCY RULE.
Allegations: VIOLATION OF REGULATION 545.01 AND 545.02 CONCERNING THE TIMELY FILING OF ACCURATE INFORMATION AND REPORTS WITH THE EXCHANGE. Status: Final Sanction Detail: IN OCTOBER 1984, THE BUSINESS CONDUCT COMMITTEE OF THE CHICAGO BOARD OF TRADE IMPOSED A FINE OF $1,000 UPON PAINEWEBBER FOR VIOLATION OF REGULATION 545.01 AND 545.02 CONCERNING THE TIMELY FILING OF ACCURATE INFORMATION AND REPORTS WITH THE EXCHANGE.
Allegations: ALLEGED THAT PWI EXERCISED CONVERSION RIGHTS OF CUSTOMERS SECURITIES WITHOUT THEIR AUTHORIZATION; EXERCISED CUSTOMERS EXPIRING RIGHTS AND WARRANTS WITHOUT THEIR AUTHORIZATION; VIOLATED SEC RGULATION 240.17(A)(3) BY FAILING TO MAKE AND KEEP CURRENT BOOKS AND RECORDS Status: Final Sanction Detail: CENSURE; PAID $65,000 FINE AND AN UNDERTAKING
Allegations: FREE-RIDING AND WITHHOLDING VIOLATIONS Status: Final Sanction Detail: IN AUGUST 1983, THE BOARD OF GOVERNORS OF THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC., AFFIRMED THE DECISION OF ITS SEATTLE DISTRICT BUSINESS CONDUCT COMM. TO CENSURE PAINEWEBBER JACKSON & CURTIS, INC., AND TO FINE THE FIRM $5000 IN CONNECTION WITH THE ASSOCIATION'S FREE-RIDING AND WITHHOLDING VIOLATIONS
Allegations: VIOLATIONS OF THE EXCESS SPREAD RULES UNDER SCHEDULE D OF THE ASSOCIATION'S BY-LAWS DURING THE PERIOD OCTOBER THROUGH DECEMBER 1983. Status: Final Sanction Detail: IN FEBRUARY 1984, PAINE WEBBER JACKSON & CURTIS WAS FINED $250 BY THE TRADING COMMITTEE OF THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC., PURSUANT TO THE ASSOCIATION'S SUMMARY COMPLAINT PROCEDURE, FOR VIOLATIONS OF THE EXCESS SPREAD RULES UNDER SCHEDULE D OF THE ASSOCIATION'S BY-LAWS DURING THE PERIOD OCTOBER THROUGH DECEMBER 1983.
Allegations: NASDR ALLEGED THAT PAINEWEBBER FAILED TO ENSURE THAT CERTAIN PERSONS WERE PROPERLY REGISTERED AS GENERAL SECURITIES REPRESENTATIVES OR GENERAL SECURITIES PRINCIPALS WITH THE ASSOCIATION. Status: Final Sanction Detail: PAINEWEBBER AGREED TO A CENSURE, A $50,000 FINE AND INTERNAL REVIEW OF ITS SUPERVISORY PROCUDURES RELATING TO THE REGISTRATION OF PERSONNEL. Summary: ALTHOUGH THE SUBJECT MATTER OF THIS ACTION INVOLVED THE REGISTRATION STATUS OF ONLY SEVEN OF PAINEWEBBER'S MORE THAN 10,000 REGISTERED EMPLOYEES, SUBSEQUENTLY PAINEWEBBER'S REGISTRATION DEPARTMENT HAS IMPLEMENTED A SERIES OF CHANGES (INCLUDING STAFFING CHANGES, IMPROVED INTERACTION WITH BUSINESS UNITS, SYSTEMS CHANGES AND ENHANCED REVIEW OF PRE-EXISTING DOCUMENTATION TO STRENGTHEN IT REGISTRATIONS FUNCTIONS.
Allegations: ALLEGED THAT PAINEWEBBER HAD VIOLATED NFA BY-LAW 1101 BY TRANSACTING BUSINESS WITH NON-MEMBERS OF THE NFA WHO WERE REQUIRED TO BE REGISTERED WITH THE COMMODITY FUTURES TRADING COMMISSION ("CFTC"); FURTHER, THAT PAINEWEBBER HAD FAILED TO OBSERVE HIGH STANDARDS OF COMMERCIAL HONOR AND JUST AND EQUITABLE PRINCIPLES OF TRADE, IN VIOLATION OF NFA COMPLIANCE RULE 2-4, IN THAT PAINEWEBBER ALLEGEDLY KNEW OR IN THE EXERCISE OF REASONABLE DILIGENCE SHOULD HAVE KNOWN THAT IT WAS TRANSACTING CUSTOMER BUSINESS WITH UNREGISTERED PERSONS WHO WERE REQUIRED TO BE REGISTERED BUT WHO WERE NOT SO REGISTERED. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS CONTAINED IN THE COMPLAINT, PAINEWEBBER SUBMITTED AN OFFER OF SETTLEMENT. THE SETTLEMENT WAS ACCEPTED BY THE COMMITTEE ON SEPTEMBER 26, 1991, AND IN CONNECTION THEREWITH, THE COMMITTEE IMPOSED A $25,000.00 FINE ON PAINEWEBBER. Summary: IN JUNE, 1991, THE NATIONAL FUTURES ASSOCIATION ("NFA:) EASTERN REGIONAL BUSINESS CONDUCT COMMITTEE ("COMMITTEE") ISSUED A COMPLAINT (91-BCC-015) AGAINST PAINEWEBBER INCORPORATED ("PAINEWEBBER") WHICH ALLEGED THAT PAINEWEBBER HAD VIOLATED NFA BY-LAW 1101 BY TRANSACTING BUSINESS WITH NON-MEMBERS OF THE NFA WHO WERE REQUIRED TO BE REGISTERED WITH THE COMMODITY FUTURES TRADING COMMISSION ("CFTC"); FURTHER, THAT PAINEWEBBER HAD FAILED TO OBSERVE HIGH STANDARDS OF COMMERCIAL HONOR AND JUST AND EQUITABLE PRINCIPLES OF TRADE, IN VIOLATION OF NFA COMPLIANCE RULE 2-4, IN THAT PAINEWEBBER ALLEGEDLY KNEW OR IN THE EXERCISE OF REASONABLE DILIGENCE SHOULD HAVE KNOWN THAT IT WAS TRANSACTING CUSTOMER BUSINESS WITH UNREGISTERED PERSONS WHO WERE REQUIRED TO BE REGISTERED BUT WHO WERE NOT SO REGISTERED.
Allegations: VIOLATION OF REG. 2442.01. I.E., FAILURE TO DELIVER U.S. T-NOTES ON A TIMELY BASIS. Status: Final Sanction Detail: ON DECEMBER, 1988 PAINEWEBBER INCORPORATED WAS FINED $25,000.00 BY THE CHICAGO BOARD OF TRADE FOR VIOLATION OF REG. 2442.01. I.E., FAILURE TO DELIVER U.S. T-NOTES ON A TIMELY BASIS.
Allegations: A FINDING THAT PAINEWEBBER AND RESPONDENT BRANCH OFFICE MANAGER HAD ALLOWED AN EMPLOYEE OF THE FIRM TO ISSUE SALES LITERATURE WHICH DID NOT ADEQUATELY EXPLAIN THE RISKS ASSOCIATED WITH INDEX OPTION TRADING. Status: Final Sanction Detail: IN MARCH, 1988 PAINEWEBBER SUBMITTED AN OFFER OF SETTLEMENT TO THE BUSINESS CONDUCT COMMITTEE OF THE CHICAGO BOARD OF OPTIONS EXCHANGE. PAINEWEBBER AGREED TO A JOINT AND SEVERAL FINE OF $1,000.00 ALONG WITH ITS RESPONDENT BRANCH OFFICE MANAGER. THE OFFER OF SETTLEMENT WAS IN CONNECTION WITH A FINDING THAT PAINEWEBBER AND RESPONDENT BRANCH OFFICE MANAGER HAD ALLOWED AN EMPLOYEE OF THE FIRM TO ISSUE SALES LITERATURE WHICH DID NOT ADEQUATELY EXPLAIN THE RISKS ASSOCIATED WITH INDEX OPTION TRADING.
Allegations: ALLEGATIONS THAT TWO RESPONDENT EMPLOYEES FAILED TO PROPERLY DISCLOSE A BREAKPOINT SITUATION TO A MUTUAL FUNDS CUSTOMER. Status: Final Sanction Detail: IN AUGUST, 1988 PAINEWEBBER PAID A JOINT AND SEVERAL FINE OF $1,000.00 ALONG WITH TWO RESPONDENT EMPLOYEES TO THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. DISTRICT NO. 5 PAINEWEBBER SUBMITTED A LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO THE DISTRICT BUSINESS CONDUCT COMMITTEE CONCERNING ALLEGATIONS THAT ITS EMPLOYEES FAILED TO PROPERLY DISCLOSE A BREAKPOINT SITUATION TO A MUTUAL FUNDS CUSTOMER.
Allegations: A VIOLATION OF RULES 4.1, 4.2, AND 15.1 OF THAT EXCHANGE. Status: Final Sanction Detail: IN JULY, 1982, PAINE, WEBBER, JACKSON & CURTIS, INC. STIPULATED AND CONSENTED TO A FINE OF $5,000.00 BY THE CHICAGO BOARD OF OPTIONS EXCHANGE, INC. FOR A VIOLATION OF RULES 4.1, 4.2, AND 15.1 OF THAT EXCHANGE.
Allegations: ALLEGED VIOLATIONS OF NFA AND CFTC RULES, IN THAT PAINEWEBBER CARRIED ACCOUNTS IN THE NAMES OF ENTITIES WHICH WERE, IN FACT, UNREGISTERED COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS ACTING FOR POOL INVESTORS. Status: Final Sanction Detail: IN MARCH, 1987, THE NATIONAL FUTURES ASSOCIATION ACCEPTED AN OFFER OF SETTLEMENT FROM PAINEWEBBER, INC. IN CONNECTION WITH ALLEGED VIOLATIONS OF NFA AND CFTC RULES, IN THAT PAINEWEBBER CARRIED ACCOUNTS IN THE NAMES OF ENTITIES WHICH WERE, IN FACT, UNREGISTERED COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS ACTING FOR POOL INVESTORS. THE SETTLEMENT REQUIRED A PAYMENT BY PAINEWEBBER OF A $15,000.00 FINE AND AN UNDERTAKING THAT THE FIRM SHALL REFRAIN FROM FURTHER VIOLATIONS OF NFA REQUIREMENTS.
Allegations: ALLEGED VIOLATION OF THE ASSOCIATION'S RULES REQUIRING A PROMPT RESPONSE TO REQUESTS BY THE ASSOCIATION TO PROVIDE INFORMATION AND DOCUMENTS IN CONNECTION WITH AN INVESTIGATION BY THE ASSOCIATION'S DISTRICT NO. 10 STAFF Status: Final Sanction Detail: IN JUNE, 1985, PAINE, WEBBER, JACKSON & CURTIS WAS CENSURED AND FINED $1,000 BY THE NATIONAL ASSOCIATION OF SECURITIES DEALERS INC., PURSUANT TO ITS SUMMARY COMPLAINT PROCEDURE, FOR VIOLATING THE ASSOCIATION'S RULES REQUIRING A PROMPT RESPONSE TO REQUESTS BY THE ASSOCIATION TO PROVIDE INFORMATION AND DOCUMENTS IN CONNECTION WITH AN INVESTIGATION BY THE ASSOCIATION'S DISTRICT NO. 10 STAFF.
Allegations: FAILURE TO OBTAIN THE PRIOR APPROVAL OF THE NASD TO RE-ENTER QUOTATION ON NASD. Status: Final Sanction Detail: IN MARCH, 1981, PAINE, WEBBER, JACKSON & CURTIS, INC. CONSENTED TO A $100.00 FINE IMPOSED BY THE NASD FOR FAILURE TO OBTAIN THE PRIOR APPROVAL OF THE NASD TO RE-ENTER QUOTATION ON NASD.
Allegations: FAILURE TO REPORT VOLUME ON NASDAQ. Status: Final Sanction Detail: IN JULY, 1980, PAINE, WEBBER, JACKSON & CURTIS, INC CONSENTED TO A $50.00 FINE IMPOSED BY THE NASD FOR FAILURE TO REPORT VOLUME ON NASDAQ.
Allegations: VIOLATION OF SEC REGULATIONS 24017A-13 AND 24015C3-3 (H) AND NEW YORK STOCK EXCHANGE RULES 440, 440.10 (2) AND 342.(A). Status: Final Sanction Detail: IN DECEMBER, 1980, PAINE, WEBBER, JACKSON & CURTIS, INC. CONSENTED TO THE IMPOSITION OF A CENSURE AND A FINE OF $300.00 BY THE NEW YORK STOCK EXCHANGE FOR VIOLATION OF SEC REGULATIONS 24017A-13 AND 24015C3-3 (H) AND NEW YORK STOCK EXCHANGE RULES 440, 440.10 (2) AND 342.(A).
Allegations: FAILING TO REGISTER AN EMPLOYEE AS A REGISTERED PRINCIPAL. Status: Final Sanction Detail: IN NOVEMBER, 1977, A DISTRICT BUSINESS CONDUCT COMMITTEE OF THE NASD FINED PAINE, WEBBER, JACKSON & CURTIS, INC. $500.00 FOR FAILING TO REGISTER AN EMPLOYEE AS A REGISTERED PRINCIPAL.
Allegations: VIOLATIONS OF THE NASD RULES OF FAIR PRACTICE. Status: Final Sanction Detail: IN APRIL, 1972, THE NASD CENSURED AND FINED PAINE, WEBBER, JACKSON & CURTIS INCORPORATED $250.00. ALSO A BRANCH MANAGER AND A FORMER EMPLOYEE WERE BOTH CENSURED AND FINED $250.00 FOR VIOLATIONS OF THE NASD RULES OF FAIR PRACTICE.
Allegations: CERTAIN NASD RULE VIOLATIONS ALLEGED TO HAVE OCCURRED IN JULY 1997. Status: Final Sanction Detail: ON OCTOBER 27, 1998, PAINWEBBER RECEIVED NOTIFICATION THAT THE NASDR ACCEPTED THE FIRM'S OFFER OF SETTLEMENT OF CERTAIN NASD RULE VIOLATIONS ALLEGED TO HAVE OCCURRED IN JULY 1997. UNDER THE TERMS OF THIS SETTLEMNT, PAINEWEBBER NEITHER ADMITTED NOR DENIED LIABILITY AND AGREED TO PAY A FINE OF $4,500. Summary: ON OCTOBER 27, 1998, PAINWEBBER RECEIVED NOTIFICATION THAT THE NASDR ACCEPTED THE FIRM'S OFFER OF SETTLEMENT OF CERTAIN NASD RULE VIOLATIONS ALLEGED TO HAVE OCCURRED IN JULY 1997. UNDER THE TERMS OF THIS SETTLEMNT, PAINEWEBBER NEITHER ADMITTED NOR DENIED LIABILITY AND AGREED TO PAY A FINE OF $4,500. NASDR FOUND THAT THE FIRM: (I) FAILED TO DISPLAY IMMEDIATELY 3 CUSTOMER LIMIT ORDERS THAT WOULD HAVE IMPROVED THE FIRM'S QUOTED PRICE; (II) FAILED TO ASCERTAIN THE BEST INTERDEALER MARKET IN EXECUTING THREE CUSTOMER ORDERS; AND (III) FAILED TO ADVISE ITS CUSTOMERS THAT THE PRICES SET FORTH IN THEIR TRADE CONFIRMATIONS WAS THE SAME AS THE TRANSACTION PRICE REPORTED TO THE NASD.
Allegations: VIOLATIONS OF THE FREE-RIDING AND WITHHOLDING INTERPRETATION UNDER ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE OF THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Status: Final Sanction Detail: IN JANUARY 1984, PAINE WEBBER JACKSON & CURTIS WAS CENSURED AND FINED $1500 FOR ALLEGED VIOLATIONS OF THE FREE-RIDING AND WITHHOLDING INTERPRETATION UNDER ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE OF THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. THE DECISION RESULTED FROM AN OFFER OF SETTLEMENT SUBMITTED BY PAINE WEBBER AND ACCEPTED BY THE ASSOCIATION.
Allegations: WITHOUT ADMITTING OR DENYING, THE FIRM AGREED TO AN ADMINISTRATIVE ORDER IMPOSING A CENSURE AND FINE OF $125,000.00 FOR CERTAIN ALLEGED LATE OR ERRONEOUS FILINGS OF FORMS U-4, U-5 AND RE-3 Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING, THE FIRM AGREED TO AN ADMINISTRATIVE ORDER IMPOSING A CENSURE AND FINE OF $125,000.00 FOR CERTAIN ALLEGED LATE OR ERRONEOUS FILINGS OF FORMS U-4, U-5 AND RE-3 Summary: ON NOVEMBER 23, 1998, THE NEW YORK STOCK EXCHANGE MADE FINAL A DECISION TO CENSURE AND FINE THE FIRM FOR HAVING FILING MISTAKES THAT WERE LATE OR CONTAINED AN ERROR. MOST OF THE ERRORS RELATED TO CLERICAL DATA-ENTRY MISTAKES. THE NEW YORK STOCK EXCHANGE DID NOT LOSE ANY JURISDICTION AS A RESULT OF THE FILINGS AT ISSUE.
Allegations: THE FIRM CONSENTED TO A $1,000 FINE FOR ALLEGED VIOLATIONS OF THE LIMIT ORDER HANDLING RULES (NASD CONDUCT RULE 2110), AND TO A $1,000 FINE FOR FAILING TO TIME STAMP THREE (3) ORDER TICKETS IN ALLEGED VIOLATIONS OF SECURITIES EXCHANGE ACT RULE 17A-3)A)(6) AND NASD CONDUCT RULE 3110" Status: Final Sanction Detail: THE FIRM CONSENTED TO A $1,000 FINE FOR ALLEGED VIOLATIONS OF THE LIMIT ORDER HANDLING RULES (NASD CONDUCT RULE 2110), AND TO A $1,000 FINE FOR FAILING TO TIME STAMP THREE (3) ORDER TICKETS IN ALLEGED VIOLATION OF SECURITIES EXCHANGE ACT RULE 17A-3(A)(6) AND NASD CONDUCT RULE 3110".
Allegations: THE CBOT ALLEGED THAT PAINEWEBBER FAILED TO TIMELY STAMP AND COLLECT TRADING DOCUMENTS AND FAILED TO SUBMIT ACCURATE TRADE INFORMATION IN VIOLATION OF CBOT REGULATIONS 332.02,332.05 AND 332.08 Status: Final Sanction Detail: PAINEWEBBER FINED $250.00
Allegations: ALLEGED THAT PAINEWEBBER ACCEPTED ORDERS FROM ONE OF ITS CUSTOMERS, AT VARIOUS TIMES DURING 1987, WITHOUT OBTAINING AND RECORDING PRIOR TO THEIR EXECUTION THE SPECIFIC ACCOUNTS FOR WHICH THE ORDERS WERE PLACED IN VIOLATION OF EXCHANGE RUEL 536 (RECORDS FOR ORDERS AND PERSONAL TRANSACTIONS). Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS CONTAINED IN THE NOTICE OF CHARGE, PAINEWEBBER SUBMITTED AN OFFER OF SETTLEMENT TO THE CME BUSINESS CONDUCT COMMITTEE, FINANCIAL DIVISION, ON SEPTEMBER 4, 1991. ON OCTOBERR 29, 1991, THE BUSINESS CONDUCT COMMITTEE, FINANCIAL DIVISION, ACCEPTED AN OFFER OF SETTLEMENT, SUBMITTED BY PAINEWEBBER AND IN CONNECTION THEREWITH THE COMMITTEE IMPOSED A $35,000.00 FINE ON PAINWEBBER.
Allegations: ALLEGED THAT PAINEWEBBER DID NOT TIMELY AMEND THE U-5 TERMINATION NOTICE FOR ONE OF ITS REGISTERED REPRESENTATIVES TO DISCLOSE A PENDING INVESTIGATION. Status: Final Sanction Detail: IN AUGUST, 1991, PAINEWEBBER INCORPORATED ("PAINEWEBBER") AGREED TO ENTER INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT ("AWC") WITH THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC., DISTRICT BUSINESS CONDUCT COMMITTEE FOR DISTRICT NO. 6 WHEREBY PAINEWEBBER WAS CENSURED AND FINED $5,000.00. WITHOUT ADMITTING OR DENYING THE FACTS AS OUTLINED IN THE AWC, IT WAS DETERMINED THAT PAINEWEBBER DID NOT TIMELY AMEND THE U-5 TERMINATION NOTICE FOR ONE OF ITS REGISTERED REPRESENTATIVES TO DISCLOSE A PENDING INVESTIGATION.
Allegations: ALLEGED NASDAQ TRADE REPORTING VIOLATIONS ON EIGHT OCCASIONS IN JANUARY AND FEBRUARY 1987 Status: Final Sanction Detail: IN APRIL, 1987, PAINEWEBBER ACCEPTED A FINE OF $500.00 WITHOUT CONTEST FROM THE NATIONAL ASSOCIATION OF SECURITIES DEALERS' MARKET SURVEILLANCE COMMITTEE TO RESOLVE CHARGES OF NASDAQ TRADE REPORTING VIOLATIONS ON EIGHT OCCASIONS IN JANUARY AND FEBRUARY 1987.
Allegations: FAILURE TO SUPERVISE THE ACTIVITIES OF A RESPONDENT BROKER IN CONNECTION WITH UNSUITABLE TRANSACTIONS IN A SINGLE CLIENT'S ACCOUNT. Status: Final Sanction Detail: IN AUGUST, 1984, PAINE, WEBBER, JACKSON & CURTIS, WAS CENSURED AND FINED $5,000.00 PURSUANT TO A DECISION OF THE BOARD OF GOVERNORS OF THE NATIONAL ASSOCIATION OF SECURITIES DEALERS INC. FOR FAILURE TO SUPERVISE THE ACTIVITIES OF A RESPONDENT BROKER IN CONNECTION WITH UNSUITABLE TRANSACTIONS IN A SINGLE CLIENT'S ACCOUNT.
Allegations: COMMITTEE ON BUSINESS CONDUCT ALLEGED THAT PAINEWEBBER HAD VIOLATED COMEX RULES 4.97 AND 3.13(A)(III); AND PATRICK SWEENY HAD VIOLATED COMEX RULES 4.21, 4.22, 4.24(E), 4.27, 4.31, 4.34 4.81, AND 4.97. Status: Final Sanction Detail: SWEENY AND PAINEWEBBER SUBMITTED AN OFFER OF SETTLEMENT, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, AND IN CONNECTION WITH THE SETTLEMENT, SWEENY IS TO BE FINED $20,000, PAINEWEBBER FINED $10,000, AND BOTH ARE ORDERED TO CEASE & DESIST FROM FUTURE VIOLATIONS. FURTHER DIRECTING THAT SWEENY NOT REAPPLY FOR MEMBERSHIP ON THE EXCHANGE FOR A PERIOD OF 180 DAYS
Allegations: ALLEGED THAT CERTAIN REGISTERED REPRESENTATIVES EMPLOYED BY PAINEWEBBER HAD, ON OCCASION USED CERTAIN ADVETTISING AND SALES LITERATURE THAT HAD NOT BEEN PROPERLY REVIEWED AND APPROVED. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGED VIOLATIONS, FIRM AGREED TO A CENSURE AND $7500 FINE
Allegations: THE CHICAGO BOARD OF TRADE ("CBOT") FLOOR GOVERRNORS COMMITTEE ISSUED TWO (2) SEPARATE "CHARGE LETTERS", ONE TO A CURRENT PAINEWEBBER EMPLOYEE, TERRANCE SHANAHAN AND ONE TO PAINEWEBBER INCORPORATED, IN WHICH THE CBOT DETERMINED THAT THERE WAS A REASONABLE BASIS FOR TAKING DISCIPLINARY ACTION AGAINST BOTH THE EMPLOYEE AND PAINEWEBBER FOR VARIOUS ALLEGED VIOLATIONS OF THE FOLLOWING CBOT RULES: REGULATION 350.05(F),545.00, 545.01, 504.00, 301.05 AND APPENDIX 3B - AND REGULATIONS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS CONTAINED IN THE CHARGE LETTERS, PAINEWEBBER AND SHANAHAN SUBMITTED AND OFFER OF SETTLEMENT TO THE FLOOR GOVERNORS COMMITTEE OF THE CBOT. THE SETTLEMENT WAS ACCEPTED BY THE FLOOR GOVERNORS COMMITTEE ON MAY 21,1992 AND IN CONNECTION THEREWITH, THE COMMITTEE IMPOSED A FINE UPON PAINEWEBBER IN THE AMOUNT OF $15,000.00 AND A FINE UPON SHANAHAN OF $5,000.00.
Allegations: IT WAS ALLEGED THAT PAINEWEBBER A MARKET MAKER IN THE STOCK OF ROADWAY SERVICES, INC., HAD BACKED-AWAY FROM A MARKET QUOTATION WHICH PAINEWEBBER HAD DISPLAYED FOR THE ISSUE ON THE NASDAQ SYSTEM ON DECEMBERR 11, 1991, IN VIOLATION OF PART IV, SECTION 2(B) OF SCHEDULE D OF THE ASSOCIATION'S BY-LAWS. Status: Final Sanction Detail: IN FEBRUARY 1992, PAINEWEBBER INCORPORATED ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT ("AWC") WITH THE NATIONAL ASSOCIATION OF SECURITIES DEALERS INC. ("NASD") SURVEILLANCE COMMITTEE (CMS-9200007-AWC), WHEREBY PAINEWEBBER WITHOUT ADMITTING OR DENYING VARIOUS ALLEGED VIOLATIONS, CONSENTED TO PAY A FINE OF $500.00.
Allegations: IN JUNE 1990, THE CHICAGO MERCANTILE EXCHANGE (CME) PROBABLE CAUSE COMMITTEE ISSUED A NOTICE OF CHARGE (90-FPC-3010) AGAINST PAINEWEBBER INCORPORATED ("PAINEWEBBER") AND ITS EMPLOYEES JOSEPH SAVINO ("SAVINO") AND STEVEN BAUER ("BAUER") WHICH ALLEGED THAT THE RESPONDENTS VIOLATED CME RULE 433.B (UNCOMMERCIAL CONDUCT) IN THAT TO RESOLVE AN ERROR, ON SEPTEMBER 27, 1989, SAVINO AND BAUER INITIATED A 5-CONTRACT SPZ TRADE BETWEEN A PAINEWEBBER HOUSE ACCOUNT AND ANOTHER MEMBER'CCOUNT WHICH WAS NOT EXECUTED IN THE PIT BY OPEN OUTCRY. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS CONTAINED IN THE NOTICE OF CHARGE, PAINEWEBBER, SAVINO AND BAUER SUBMITTED AN OFFER OF SETTLEMENT. THE SETTLEMENT WAS ACCEPTED BY THE FLOOR PRACTICES COMMITTEE, FINANCIAL DIVISION OF THE CME ("COMMITTEE") ON OCTOBER 8, 1990, AND IN CONNECTION THEREWITH THE COMMITTEE IMPOSED A $1,000.00 FINE ON EACH OF THE RESPONDENTS.
Allegations: PWI FAILED TO RESPOND TO INFORMATION REQUESTS IN A TIMELY MANNER REGARDING 3 CUSTOMER COMPLAINTS & 2 TERMINIATIONS AND FAILED TO TIMELY FILE AMENDMENTS TO UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION ON SIX SEPARATE OCCASIONS Status: Final Sanction Detail: PAINEWEBBER, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CONSENTED TO THE IMPOSITION OF A CENSURE AND MONETARY FINE OF $8,000
Allegations: BETWEEN SEPTEMBER 1995 AND SEPTEMBER 1996, PAINEWEBER INCORPORATED ALLEGEDLY FAILED ON NUMEROUS OCCASIONS TO SUBMIT OFFICIAL STATEMENTS AND/OR OTHER DOCUMENTS TO THE MSRB WITHIN THE TIME LIMITS PRESCRIBED UNDER MSRB RULE G-36 AND ALLEGEDLY FAILED TO MAINTAIN CERTAIN REQUIRED BY MSRB RULE G-8(A)(XV)" Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PAINEWEBBER INCORPORATED CONSENTED IMPOSITION OF A CENSURE AND A $25,000 FINE FOR THE ALLEGED VIOLATIONS DESCRIBED ABOVE. Summary: BEFORE THESE PROCEEDINGS WERE INSTITUTED, PAINEWEBBER HAD ALREADY TAKEN STEPS TO IMPLEMENT NEW POLICIES AND PROCEDURES DESIGNED TO IMPROVE THE FIRM'S COMPLIANCE WITH THESE FILING AND RECORDKEEPING REQUIREMENTS.
Allegations: THE ALLEGATIONS CONCERNED A FAILURE BY PAINEWEBBER TO PROPERLY TIME-STAMP FLOOR ORDER TICKETS AND FLOOR ORDERS; AND THAT PAINEWEBBER FAILED TO PROVIDE CERTAIN FLOOR ORDER TICKETS AND DISCRETIONARY ORDER TICKETS AND THEREBY FAILED TO KEEP ACCURATE AND COMPLETE BOOKS AND RECORDS. Status: Final Sanction Detail: IN OCTOBER, 1988, PAINEWEBBER INCORPORATED WAS FINED $500.00 BY THE CHICAGO BOARD OF TRADE. THE ALLEGATIONS CONCERNED A FAILURE BY PAINEWEBBER TO PROPERLY TIME-STAMP FLOOR ORDER TICKETS AND FLOOR ORDERS; AND THAT PAINEWEBBER FAILED TO PROVIDE CERTAIN FLOOR ORDER TICKETS AND DISCRETIONARY ORDER TICKETS AND THEREBY FAILED TO KEEP ACCURATE AND COMPLETE BOOKS AND RECORDS.
Allegations: FOR VIOLATION OF SECTION 1, ARTICLE III OF THE ASSOCIATION'S RULES OF FAIR PRACTICE Status: Final Sanction Detail: IN OCTOBER, 1982, THE DISTRICT BUSINESS CONDUCT COMMITTEE OF THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IMPOSED A PENALTY OF A CENSURE AND A $5,000.00 FINE AS AGAINST PAINE, WEBBER, JACKSON & CURTIS, INC. FOR VIOLATION OF SECTION 1, ARTICLE III OF THE ASSOCIATION'S RULES OF FAIR PRACTICE.
Allegations: VIOLATIONS OF CBOE RULE 4.11. Status: Final Sanction Detail: IN MARCH, 1981, PAINE, WEBBER,JACKSON & CURTIS, INC. CONSENTED TO THE IMPOSITION OF AN ADMONISHMENT AND A $15,000 FINE BY THE CHICAGO BOARD OF OPTIONS EXCHANGE FOR VIOLATIONS OF CBOE RULE 4.11.
Allegations: VIOLATION OF ARTICLE III, SECTION 1 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE. Status: Final Sanction Detail: IN JUNE, 1979, A DISTRICT BUSINESS CONDUCT COMMITTEE OF THE NASD CENSURED AND FINED $500.00 AN OFFICER OF PAINE, WEBER,JACKSON & CURTIS, INC. FOR A VIOLATION OF ARTICLE III, SECTION 1 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE.
Allegations: FAILURE TO REPORT VOLUME ON NASDAQ. Status: Final Sanction Detail: IN JUNE, 1972, PAINE, WEBBER, JACKSON & CURTIS INCORPORATED WAS FINED $25. BY THE NASD FOR FAILURE TO REPORT VOLUME ON NASDAQ.
Allegations: ENTERING QUOTATIONS INTO THE NASDAQ SYSTEM IN THE SECURITIES OF CAMBRIDGE TECHNOLOGY PARTNERS THAT WERE NOT REASONABLY RELATED TO THE PREVAILING MARKET. Status: Final Sanction Detail: PAINE WEBBER WITHOUT ADMITTING OR DENYING THE ALLEGATIONS CONSENTED TO THE IMPOSITION OF A MONETARY FINE IN THE AMOUNT OF $2,000.00.
Allegations: ALLEGATIONS THAT THE ACTIVITIES OF TWO RESPONDENT BROKERS WERE IN VIOLATION OF EXCHANGE RULES CONCERNING: UNAUTHORIZED OPTIONS TRADE OF POSITIONS, UNAUTHORIZED STOCK TRANSACTIONS, FAILURE TO PROPERLY MAINTAIN ACCOUNT RECORDS, IMPROPER ACCOUNT NUMBER CHANGES, FAILURE TO DETECT ACCOUNT NUMBER CHANGES AND FAILURE TO GIVE REGISTERED OPTIONS PRINCIPAL APPROVAL TO ACCOUNTS PRIOR TO OPTIONS TRADING. Status: Final Sanction Detail: IN NOVEMBER, 1988 PAINEWEBBER WAS FINED $10,000.00 BY THE AMERICAN STOCK EXCHANGE AND INSTRUCTED TO DEVELOP PROCEDURES ENHANCE AND ENFORCE ITS SURVEILLANCE PROCEDURES TO PREVENT A REOCCURRENCE. THE DECISION WAS REACHED BY THE DISCIPLINARY PANEL OF THE AMERICAN STOCK EXCHANGE AND CONCERNED ALLEGATIONS THAT THE ACTIVITIES OF TWO RESPONDENT BROKERS WERE IN VIOLATION OF EXCHANGE RULES CONCERNING: UNAUTHORIZED OPTIONS TRADE OF POSITIONS, UNAUTHORIZED STOCK TRANSACTIONS, FAILURE TO PROPER MAINTAIN ACCOUNT RECORDS, IMPROPER ACCOUNT NUMBER CHANGES, FAILURE TO DETECT ACCOUNT NUMBER CHANGES AND FAILURE TO GIVE REGISTERED OPTIONS PRINCIPAL APPROVAL TO ACCOUNTS PRIOR TO OPTIONS TRADING.
Allegations: ALLEGED VIOLATIONS OF CLEARING RULE 703 AND COFFEE "C" RULE 8.05 (5). Status: Final Sanction Detail: IN MAY, 1985, THE COFFEE, SUGAR AND COCOA EXCHANGE FINED PAINEWEBER INC. $2,500.00 FOR ALLEGED VIOLATIONS OF CLEARING RULE 703 AND COFFEE "C" RULE 8.05 (5).
Allegations: ALLEGATIONS THAT THE FIRM'S OPTION TRADER, ON A SINGLE OCCASION IN JUNE 1983, TRADED OPTIONS WHILE IN POSSESSION OF INFORMATION THAT A LARGE BLOCK TRANSACTION WAS IMMINENT, AND THAT SUCH A CONDUCT VIOLATED EXCHANGE RULE 4.1. Status: Final Sanction Detail: IN JULY, 1985, PAINE, WEBBER, JACKSON & CURTIS, INC. WAS CENSURED AND FINED $6,000.00 BY THE CHICAGO BOARD OF OPTIONS EXCHANGE PURSUANT TO AN OFFER OF SETTLEMENT, IN CONNECTION WITH ALLEGATIONS THAT THE FIRM'S OPTION TRADER, ON A SINGLE OCCASION IN JUNE 1983, TRADED OPTIONS WHILE IN POSSESSION OF INFORMATION THAT A LARGE BLOCK TRANSACTION WAS IMMINENT, AND THAT SUCH A CONDUCT VIOLATED EXCHANGE RULE 4.1.
Allegations: ALLEGED VIOLATION OF THE ASSOCIATION'S RULE 2 REQUIRING IMMEDIATE NOTIFICATION TO THE ASSOCIATION UPON THE TRANSFER OF PAINE, WEBBER, JACKSON & CURTIS' SHARES OF COMEX CLEARING ASSOCIATION, INC. STOCK FROM ONE PARTY TO ANOTHER. Status: Final Sanction Detail: IN MARCH, 1985, THE BOARD OF GOVERNORS OF THE COMEX CLEARING ASSOCIATION, INC. ACCEPTED AN OFFER OF SETTLEMENT IN THE AMOUNT OF $1,000.00 FOR PAINE, WEBBER, JACKSON & CURTIS, INC.'S ALLEGED VIOLATION OF THE ASSOCIATION'S RULE 2 REQUIRING IMMEDIATE NOTIFICATION TO THE ASSOCIATION UPON THE TRANSFER OF PAINE, WEBBER, JACKSON & CURTIS' SHARES OF COMEX CLEARING ASSOCIATION, INC. STOCK FROM ONE PARTY TO ANOTHER.
Allegations: VIOLATION OF CBT REGULATION 322.02 FOR FAILURE TO PROPERLY RECORD THE CORRECT HALF-HOUR BRACKET CHARACTER FOR TRADES EXECUTED ON THE EXCHANGE FLOOR. Status: Final Sanction Detail: IN AUGUST, 1984, THE FLOOR GOVERNORS COMMITTEE OF THE CHICAGO BOARD OF TRADE FINED PAINE, WEBBER, JACKSON & CURTIS $200.00 FOR VIOLATION OF CBT REGULATION 322.02 FOR FAILURE TO PROPERLY RECORD THE CORRECT HALF-HOUR BRACKET CHARACTER FOR TRADES EXECUTED ON THE EXCHANGE FLOOR.
Allegations: FAILURE TO REPORT VOLUME ON NASDAQ. Status: Final Sanction Detail: IN JULY, 1972, PAINE, WEBBER, JACKSON & CURTIS INCORPORATED WAS FINED $100.00 BY NASD FOR FAILURE TO REPORT VOLUME ON NASDAQ.
Allegations: A PURPORTED VIOLATION OF ARTICLE XI SECTION 2(B) OF THAT EXCHANGE. Status: Final Sanction Detail: IN JUNE, 1982, PAINE, WEBBER, JACKSON & CURTIS, INC. STIPULATED AND CONSENTED TO A CENSURE AND FINE OF $2,500.00 IMPOSED ON IT BY THE PACIFIC STOCK EXCHANGE, INC. FOR A PURPORTED VIOLATION OF ARTICLE XI SECTION 2(B) OF THAT EXCHANGE.
Allegations: ALLEGED THAT THE FIRM ENGAGED IN CONDUCT INCONSISTENT WITH JUST AND EQUITABLE PRINCIPALS OF TRADE ON VARIOUS OCCASIONS DURING 1984-87; VIOLATED NYSE RULE 723 ON VARIOUS OCCASIONS DURING 1984-87; VIOLATED NYSE RULE 431 (F)(7)(8)(9) AND SECTION 220.8 OF REGULATION T ON VARIOUS OCCASIONS DURING 1984-87; VIOLATED NYSE RULE 351 DURING 1987-90; AND VIOLATED NYSE RULE 342(A) AND (B) BY FAILING TO CONDUCT SUPERVISORY BRANCH OFFICE INSPECTIONS AT LEAST ANNUALLY (1985-88), FAILING TO MAINTAIN ADEQUATE WRITTEN TABLES OF SUPERVISION (1984-88) AND FAILING TO MAINTAIN APPROPRIATE PROCEDURES FOR SUPERVISION AND CONTROL OF SALES PRACTICE ACTIVITIES (1984-88). Status: Final Sanction Detail: FOLLOWING A STIPULATION OF FACTS AND CONSENT TO PENALTY, A HEARING PANEL OF THE NEW YORK STOCK EXCHANGE, INC. RENDERED A DECISION, DATED NOVEMBER 18, 1991 (NOTICE OF FINALITY SERVED JANUARY 10, 1992). THE DECISION NAMED AS RESPONDENT PAINEWEBBER INCORPORATED AND IT'S PRESENT AND FORMER EMPLOYEES LEE HAROLD LOVEJOY, SHELDON ALAN CHAIKEN, ROBERT BRADLEY FULLER, DAVID WARE STRANGER, GARY PRICE EVANS, JOHN ARNOLD MCFERRAN, DONALD DELIA DEST, BURGESS ASKEW DAVIS AND WILLIAM OGRAM WEBSTER JR. THE NYSE CENSURED THE FIRM, ORDERED IT TO PAY FINES TOTALLING $900,000.00 (INCLUDING A FINE OF $800,000.00 ASSESSED AGAINST THE FIRM AND A CONTRIBUTION OF $100,000.00 TOWARD THE FINES ASSESSED AGAINST INDIVIDUAL SUPERVISORS) AND DIRECTED IT TO CONDUCT AN INTERNAL REVIEW OF PROCEDURES Summary: THE NYSE FOUND THAT THE FIRM ENGAGED IN CONDUCT INCONSISTENT WITH JUST AND EQUITABLE PRINCIPALS OF TRADE ON VARIOUS OCCASIONS DURING 1984-87; VIOLATED NYSE RULE 723 ON VARIOUS OCCASIONS DURING 1984-87; VIOLATED NYSE RULE 431 (F)(7)(8)(9) AND SECTION 220.8 OF REGULATION T ON VARIOUS OCCASIONS DURING 1984-87; VIOLATED NYSE RULE 351 DURING 1987-90; AND VIOLATED NYSE RULE 342(A) AND (B) BY FAILING TO CONDUCT SUPERVISORY BRANCH OFFICE INSPECTIONS AT LEAST ANNUALLY (1985-88), FAILING TO MAINTAIN ADEQUATE WRITTEN TABLES OF SUPERVISION (1984-88) AND FAILING TO MAINTAIN APPROPRIATE PROCEDURES FOR SUPERVISION AND CONTROL OF SALES PRACTICE ACTIVITIES (1984-88). THE PENALITIES ASSESSED AGAINST THE INDIVIDUALS, ALL OF WHOM WERE CHARGED WITH FAILURE TO SUPERVISE, ARE REPORTED IN FORMS U-5 AND FORMS U-4 AS APPLICABLE.
Allegations: ALLEGED THAT PAINEWEBBER FAILED TO REPORT TO THE NYSE AND ITS DESIGNATED AGENT, THE CENTRAL REGISTRATION DEPOSITORY, THE TERMINATION OF ONE OF ITS REGISTERED REPRESENTATIVES WITHIN THIRTY (30) DAYS OF TERMINATION. Status: Final Sanction Detail: IN FEBRUARY, 1991, PAINEWEBBER INCORPORATED AGREED TO A $1,000.00 FINE ISSUED BY THE NEW YORK STOCK EXCHANGE, INC. ("NYSE") FOR AN ALLEGED VIOLATION OF NYSE RULE 345.17. THE NYSE ALLEGED THAT PAINEWEBBER FAILED TO REPORT TO THE NYSE AND ITS DESIGNATED AGENT, THE CENTRAL REGISTRATION DEPOSITORY, THE TERMINATION OF ONE OF ITS REGISTERED REPRESENTATIVES WITHIN THIRTY (30) DAYS OF TERMINATION.
Allegations: ALLEGED THAT IN CONNECTION WITH ITS PASSIVE MARKET MAKING ACTIVITIES, PW FAILED TO REDUCE ITS BID ON A SECURITY AS REQUIRED, IN VIOLATION OF RULE 10B-6 (A) OF THE SECURITIES EXCHANGE ACT OF 1934 AND ARTICLE III, SECTION 1 OF THE NASD'S RULES OF FAIR PRACTICE. Status: Final Sanction Detail: PWI AND NASD ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PAINEWBBER CONSENTED TO A CENSURE AND $500 FINE.
Allegations: ALLEGED VIOLATIONS OF SECTION C 2 (E) OF THE SOES RULES AND ARTICLE III, SECTION 1 OF THE NASD RULES. Status: Final Sanction Detail: PAINE WEBBER CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, TO PAY A FINE OF $2,0000
Allegations: ALLEGED POSITION LIMIT VIOLATIONS. Status: Final Sanction Detail: IN MARCH, 1991, PAINEWEBBER INCORPORATED AGREED TO A $1,000.00 FINE ISSUED BY THE NEW YORK STOCK EXCHANGE, INC. FOR POSITION LIMIT VIOLATIONS.
Allegations: ALLEGED THAT PAINEWEBBER ACCEPTED CONTEMPORANEOUS BUY AND SELL ORDERS FOR THE SAME CUSTOMER ACCOUNT IN S & P 500 STOCK PRICE INDEX FUTURES ON TRADE DATES OCTOBER 3, OCTOBER 30, AND DECEMBER 5, 1990, IN VIOLATION OF EXCHANGE RULE 433.B (UNCOMMERICAL CONDUCT). Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS CONTAINED IN THE NOTICE OF CHARGE, PAINEWEBBER SUBMITTED AN OFFER OF SETTLEMENT. THE SETTLEMENT WAS ACCEPTED BY THE FLOOR PRACTICES COMMITTEE, FINANCIAL DIVISION OF THE CME ("COMMITTEE") ON JUNE 28, 1991, AND IN CONNECTION THEREWITH, THE COMMITTEE IMPOSED A $7,500.00 FINE ON PAINEWEBBER. Summary: IN MAY, 1991, THE CHICAGO MERCANTILE EXCHANGE ("CME") PROBABLE CAUSE COMMITTEE ISSUED A NOTICE OF CHARGE (91-335-FP) AGAINST PAINEWEBBER INCORPORATED ("PAINEWEBBER") WHICH ALLEGED THAT PAINEWEBBER ACCEPTED CONTEMPORANEOUS BUY AND SELL ORDERS FOR THE SAME CUSTOMER ACCOUNT IN S & P 500 STOCK PRICE INDEX FUTURES ON TRADE DATES OCTOBER 3, OCTOBER 30, AND DECEMBER 5, 1990, IN VIOLATION OF EXCHANGE RULE 433.B (UNCOMMERICAL CONDUCT). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS CONTAINED IN THE NOTICE OF CHARGE, PAINEWEBBER SUBMITTED AN OFFER OF SETTLEMENT. THE SETTLEMENT WAS ACCEPTED BY THE FLOOR PRACTICES COMMITTEE, FINANCIAL DIVISION OF THE CME ("COMMITTEE") ON JUNE 28, 1991, AND IN CONNECTION THEREWITH, THE COMMITTEE IMPOSED A $7,500.00 FINE ON PAINEWEBBER.
Allegations: A REVIEW OF MUNICIPAL UNDERWRITING UNDERTAKEN BY PAINEWEBBER REVEALED THAT IN TWO INSTANCES THE FIRM FAILED TO PAY THE UNDERWRITING ASSESSMENT WITHIN 30 DAYS FOLLOWING THE SETTLEMENT WITH THE ISSUER. FURTHER, A REVIEW OF SIX MUNICIPAL UNDERWRITINGS REVEALED THAT IN FOUR INSTANCES THE FIRM FAILED TO EFFECT FINAL SETTLEMENT WITH THE SYNDICATE WITHIN 60 DAYS FOLLOWING THE DATE SECURITIES WERE DELIVERED TO THE SYNDICATE MEMBERS. Status: Final Sanction Detail: IN NOVEMBER, 1988 PAINEWEBBER SUBMITTED A LETTER OF ACCEPTANCE WAIVER AND CONSENT TO THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC., DISTRICT 12. PAINEWEBBER WAS CENSURED AND FINED $2,000.00. A REVIEW OF MUNICIPAL UNDERWRITING UNDERTAKEN BY PAINEWEBBER REVEALED THAT IN TWO INSTANCES THE FIRM FAILED TO PAY THE UNDERWRITING ASSESSMENT WITHIN 30 DAYS FOLLOWING THE SETTLEMENT WITH THE ISSUER. FURTHER, A REVIEW OF SIX MUNICIPAL UNDERWRITINGS REVEALED THAT IN FOUR INSTANCES THE FIRM FAILED TO EFFECT FINAL SETTLEMENT WITH THE SYNDICATE WITHIN 60 DAYS FOLLOWING THE DATE SECURITIES WERE DELIVERED TO THE SYNDICATE MEMBERS.
Allegations: THE ALLEGATIONS CONCERNED A FAILURE BY PAINEWEBBER TO PROPERLY TIME-STAMP FLOOR ORDER TICKETS AND FLOOR ORDERS; AND THAT PAINEWEBBER FAILED TO PROVIDE CERTAIN FLOOR ORDER TICKETS AND DISCRETIONARY ORDER TICKETS AND THEREBY FAILED TO KEEP ACCURATE AND COMPLETE BOOKS AND RECORDS. Status: Final Sanction Detail: IN OCTOBER, 1988 PAINEWEBBER WAS FINED $500.00 BY THE CHICAGO BOARD OF TRADE. THE ALLEGATIONS CONCERNED A FAILURE BY PAINEWEBBER TO PROPERLY TIME-STAMP FLOOR ORDER TICKETS AND FLOOR ORDERS; AND THAT PAINEWEBBER FAILED TO PROVIDE CERTAIN FLOOR ORDER TICKETS AND DISCRETIONARY ORDER TICKETS AND THEREBY FAILED TO KEEP ACCURATE AND COMPLETE BOOKS AND RECORDS.
Allegations: ALLEGED THAT THE FIRM HAD NOT PROPERLY SUPERVISED THE ACTIVITIES OF FORMER REGISTERED REPRESENTATIVE TIM HAILE. Status: Final Sanction Detail: ON JUNE 30, 1989 PAINEWEBBER INCORPORATED AGREED TO SIGN A LETTER OF ACCEPTANCE, WAIVER AND CONSENT AND WAS FINED $15,000 BY DISTRICT NO. 7 OF THE NASD (ATL-1008 AWC). WITHOUT ADMITTING OR DENYING THE FACTS STATED IN THE ORDER IT WAS DETERMINED THAT THE FIRM HAD NOT PROPERLY SUPERVISED THE ACTIVITIES OF FORMER REGISTERED REPRESENTATIVE TIM HAILE.
Allegations: ALLOWING A NEWSPAPER AD TO RUN THAT WAS NOT IN CONFORMITY WITH MSRB RULES Status: Final Sanction Detail: IN JANUARY, 1989, THE FIRM AND ITS EMPLOYEES PAULA AMBER AND SAMUEL E. MCGOWAN AGREED TO A CENSURE AND JOINT AND SEVERAL FINE OF $2500.00 FOR ALLOWING A NEWSPAPER AD TO RUN THAT WAS NOT IN CONFORMITY WITH MSRB RULES
Allegations: ALLEGATIONS THAT THE FIRM PERMITTED A SINGLE CLIENT TO EXCEED POSITION LIMITS IN AN OPTIONS TRANSACTIONS. Status: Final Sanction Detail: IN DECEMBER, 1985, THE PHILADELPHIA STOCK EXCHANGE ACCEPTED AN OFFER MADE BY PAINEWEBER WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, TO PAY $1,000 TO SETTLE A CHARGE THAT THE FIRM PERMITTED A SINGLE CLIENT TO EXCEED POSITION LIMITS IN AN OPTIONS TRANSACTIONS.
Allegations: VIOLATION OF SECTION 1, ARTICLE III OF THE ASSOCIATION'S RULES OF FAIR PRACTICE. Status: Final Sanction Detail: IN SEPTEMBER, 1982, THE DISTRICT BUSINESS CONDUCT COMMITTEE OF THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IMPOSED A PENALTY OF A CENSURE AND A $5,000.00 FINE AS AGAINST PAINE, WEBBER, JACKSON & CURTIS, INC FOR VIOLATION OF SECTION 1, ARTICLE III OF THE ASSOCIATION'S RULES OF FAIR PRACTICE.
Allegations: ALLOWING AN EMPLOYEE TO APPEAR ON THE CBOE FLOOR WITHOUT PROPER IDENTIFICATION. Status: Final Sanction Detail: IN SEPTEMBER, 1976, THE CHICAGO BOARD OF OPTIONS EXCHANGE, INC. IMPOSED A FINE OF $100.00 UPON PAINE, WEBBER, JACKSON & CURTIS FOR ALLOWING AN EMPLOYEE TO APPEAR ON THE CBOE FLOOR WITHOUT PROPER IDENTIFICATION.
Allegations: ON 2/18/97, PWI DID NOT EXERCISE CERTAIN OEX CALL OPTIONS AFTER SUBMITTING "ADVICE" FORMS TO THE CBOE INDICATING THE INTENT TO EXERCISE THEM. ON MAY 5, 1997, PWI SUBMITTED AN "ADVICE" FORM AFTER THE 3:20 PM CUT OFF TIME, THE CBOE FOUND THESE INSTANCES TO VIOLATE CBOE RULE 1101 Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PAINEWEBBER AGREED TO PAY A FINE OF $3,565.00 Summary: ON 2/18/97, PWI DID NOT EXCERCISE OEX CALL OPTIONS AFTER SUBMITTING "ADVICE" FORMS TO THE COBE INDICATING THE INTENT TO EXERCISE THEM. ON MAY 5, 1997, PWI SUBMITTED AN "ADVICE" FORM AFTER THE 3:20 PM CUT OFF TIME, THE CBOE FOUND THESE INSTANCES TO VIOLATE CBOE RULE 1101
Allegations: ALLEGED VIOLATION OF PART V SECTION 2 (D) OF SCHEDULE D FOR ENTERING NASDAQ QUOTATIONS CONTAINING EXCESS SPREADS. Status: Final Sanction Detail: $3000 FINE
Allegations: NASD ALLEGES THAT PAINEWEBBER FAILED TO EXECUTE FOUR TRANSACTIONS IN VIOLATION OF RULE 11AC1-1(C) OF THE SECURITIES EXCHANGE ACT OF 1934, MARKETPLACE RULE 4613 (B) (FORMERLY PART V, SECTION 2 (B) OF SCHEDULE D TO THE NASD'S BY-LAWS) AND CONDUCTED RULES 2110 AND 3320 (FORMERLY ARTICLE III, SECTION 1 AND 6 OF THE NASD'S RULES OF FAIR PRACTICE) Status: Final Sanction Detail: PWI WITHOUT ADMITTING OR DENYING OR ALLEGATIONS OF THE COMPLAINT, CONSENTED TO A FINE OF $1000. THE NASD NOTED THAT THE SITUATION DID NOT INVOLVE MANIPULATIVE OR DECEPTIVE INTENT AND THAT PWI HAD SIGNIFICANTLY IMPROVED ITS PERFORMANCE IN THIS AREA AND HAD IMPLEMENTED CORRECTIVE MEASURES TO PREVENT THE RECURRENCE OF SUCH EVENTS.
Allegations: ALLEGATIONS OF VIOLATIONS OF CBOE RULES 4.1;6.43;6.73(A);6.74(A) Status: Final Sanction Detail: ALLEGED VIOLATIONS OF RULES 4.1 AND 6.73 (A) WERE DISMISSED. A FINDING OF A VIOLATION OF RULES 4.1,6.3 AND 6.74(A) WAS ENTERED. PAINEWEBBER WAS CENSURED AND A $10,000 JOINT AND SEVERAL FINE WAS IMPOSED. Summary: PURSUANT TO AN OFFER OF SETTLEMENT IN WHICH PAINEWEBBER NEITHER ADMITTED NOR DENIED THE ALLEGATIONS, PAINEWEBBER AGREED TO THE ABOVE DISPOSITION OF THE PROCEEDING.
Allegations: VIOLATIONS OF SECTION 1 AND 27 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE Status: Final Sanction Detail: IN MAY, 1983, PAINE, WEBBER, JACKSON & CURTIS, INC. AS SUCCESSOR TO BLYTH EASTMAN DILLON & COMPANY WAS CENSURED AND FINED IN THE AMOUNT OF $5,000.00 PURSUANT TO AN OFFER OF SETTLEMENT SUBMITTED TO AND ACCEPTED BY THE NATIONAL ASSOCIATION OF SECURITIES DEALERS INC FOR VIOLATIONS OF SECTION 1 AND 27 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE.
Allegations: POSITION LIMIT VIOLATIONS Status: Final Sanction Detail: IN JANUARY 1992, PAINEWEBBER INCORPORATED AGREED TO A $10,000.00 FINE ISSUED BY THE CHICAGO BOARD OF OPTIONS EXCHANGE FOR POSITION LIMIT VIOLATIONS.
Allegations: PAINEWEBBER ENGAGED IN CONDUCT INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE IN VIOLATION OF ARTICLE 5, SECTION (H) OF THE EXCHANGE'S CONSTITUTION REGARDING TRADES OCCURRING IN JANUARY, 1986. Status: Final Sanction Detail: IN OCTOBER OF 1989, PAINEWEBBER INCORPORATED ("PAINEWEBBER") CONSENTED TO A CENSURE AND A $5,000.00 FINE WITH THE AMERICAN STOCK EXCHANGE ("EXCHANGE") TO SETTLE A CHARGE THAT PAINEWEBBER ENGAGED IN CONDUCT INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE IN VIOLATION OF ARTICLE 5, SECTION (H) OF THE EXCHANGE'S CONSTITUTION REGARDING TRADES OCCURRING IN JANUARY, 1986. A DISCIPLINARY PANEL OF THE EXCHANGE ACCEPTED THE STIPULATION OF FACTS AND CONSENT TO PENALTY IN THIS MATTER ON APRIL 9, 1990.
Allegations: ALLEGATIONS INVOLVED RESPONDENT BROKERS OF PAINEWEBBER, IN THAT PAINEWEBBER FAILED TO ADEQUATELY SUPERVISE THE TRADING ACTIVITY OF ITS FLOOR BROKERS AND ALLOWED THEM TO ENGAGE IN RISKLESS TRANSACTIONS AND PREARRANGED TRADING. Status: Final Sanction Detail: IN OCTOBER, 1988, PAINEWEBBER WAS FINED $15,000.00 BY THE COMMODITIES EXCHANGE COMMISSION, INC (COMEX) THE FINE WAS PURSUANT TO AN OFFER SUBMITTED BY PAINEWEBBER TO THE COMMODITIES EXCHANGE WHICH WAS ACCEPTED. THE ACTIVITIES OF INVOLVED RESPONDENT BROKERS OF PAINEWEBBER, IN THAT PAINEWEBBER FAILED TO ADEQUATELY SUPERVISE THE TRADING ACTIVITY OF ITS FLOOR BROKERS AND ALLOWED THEM TO ENGAGE IN RISKLESS TRANSACTIONS AND PREARRANGED TRADING.
Allegations: POSITION LIMIT VIOLATIONS IN THE FIRM'S ACCOUNTS ON FOUR SEPARATE DAYS IN DECEMBER 1984 Status: Final Sanction Detail: IN APRIL 1985, PAINE WEBBER WAS FINED $500 BY THE PHILADELPHIA STOCK EXCHANGE FOR POSITION LIMIT VIOLATIONS IN THE FIRM'S ACCOUNTS ON FOUR SEPARATE DAYS IN DECEMBER 1984. THE DECISION RESULTED FROM AN OFFER OF SETTLEMENT SUBMITTED BY PAINE WEBBER AND ACCEPTED BY THE EXCHANGE.
Allegations: PURPORTED VIOLATIONS OF ASE RULES 921 (A) AND (B), 923 (A) (1), 923 (B) (1), 421 (A) AND 924 (A) AND ARTICLE V, SECTION 4(H) OF THE EXCHANGE CONSTITUTION. Status: Final Sanction Detail: IN JUNE, 1982, PAINE, WEBBER, JACKSON & CURTIS, INC. STIPULATED AND CONSENTED TO A CENSURE, FINE OF $15,000.00 AND CERTAIN REPORTING REQUIREMENTS TO THE AMERICAN STOCK EXCHANGE, INC. IMPOSED BY THAT EXCHANGE FOR PURPORTED VIOLATION OF ASE RULES 921 (A) AND (B), 923 (A) (1), 923 (B) (1), 421 (A) AND 924 (A) AND ARTICLE V, SECTION 4(H) OF THE EXCHANGE CONSTITUTION.
Allegations: VIOLATION OF SECTION 27 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE. Status: Final Sanction Detail: IN DECEMBER, 1981, A DISTRICT BUSINESS CONDUCT COMMITTEE OF THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IMPOSED A PENALTY OF A CENSURE AND $5,000.00 FINE JOINTLY AND SEVERALLY AGAINST PAINE, WEBBER, JACKSON & CURTIS INC AND TWO OF ITS EX-BRANCH MANAGERS FOR A VIOLATION OF SECTION 27 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE.
Allegations: PURPORTED VIOLATION OF EXCHANGE RULE 906(A). Status: Final Sanction Detail: IN JUNE, 1981, PAINE, WEBBER, JACKSON & CURTIS, INC. STIPULATED TO A FINE OF $1,000.00 IMPOSED BY THE AMERICAN STOCK EXCHANGE INC., FOR A PURPORTED VIOLATION OF EXCHANGE RULE 906(A).
Allegations: ALLEGED PAINEWEBBER VIOLATED COMEX RULES 4.88 (CURRENTLY 4.97), FAILURE TO MAINTAIN AND PRODUCE TRADING RECORDS; AND 3.13(A)(III), FAILURE TO ADEQUATELY SUPERVISE MEMBERS WHO CONFERRED MEMBERSHIP PRIVILEGES ON THE FIRM. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS CONTAINED IN THE COMPLAINT, PAINEWEBBER SUBMITTED AN OFFER OF SETTLEMENT. PURSUANT TO RULE 8.41 OF COMEX, THE SUPERVISORY COMMITTEE ACCEPTED SUCH OFFER OF SETTLEMENT, AND IN CONNECTION THEREWITH, DETERMINED TO IMPOSE A SANCTION PROVIDING FOR A FINE IN THE AMOUNT OF $10,000, AND AN ORDER TO CEASE AND DESIST . THAT DECISION IS FINAL AS OF MARCH 10, 1989. PURSUANT TO SECTION 8C OF THE COMMODITY EXCHANGE ACT AND PART 9 OF THE CFTC WITHIN THIRTY DAYS OF THE DATE NOTICE REGARDING THE ABOVE-MENTIONED EXCHANGE ACTION WAS APPROVED.
Allegations: POSITION LIMITS VIOLATIONS. Status: Final Sanction Detail: IN APRIL, 1989, THE FIRM AGREED TO A $5,000.00 FINE ISSUED BY THE CBOE FOR POSITION LIMITS VIOLATIONS.
Allegations: FAILURE TO SUPERVISE THE OPTIONS ACTIVITY OF A FORMER REGISTERED REPRESENTATIVE Status: Final Sanction Detail: IN FEBRUARY, 1989, THE FIRM AND ITS FORMER EMPLOYER DONALD ALBRIGHT AGREED TO A CENSURE AND A JOINT AND SEVERAL FINE OF $15,000.00 FOR FAILING TO SUPERVISE THE OPTIONS ACTIVITY OF A FORMER REGISTERED REPRESENTATIVE
Allegations: VIOLATION OF CBOE EXCHANGE RULES 4.1, 4.2, AND 15.1. Status: Final Sanction Detail: IN DECEMBER, 1982, THE BUSINESS CONDUCT COMMITTEE OF THE CHICAGO BOARD OF OPTIONS EXCHANGE INC IMPOSED A FINE OF $5,000 AS AGAINST PAINE, WEBBER, JACKSON & CURTIS, INC. FOR A VIOLATION OF CBOE EXCHANGE RULES 4.1, 4.2, AND 15.1.
Allegations: ALLEGED THAT PAINEWEBBER FAILED TO SUPERVISE TWO REGISTERED REPRESENTATIVES Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO CENSURE AND $50,000 FINE. TWO OF THE FIRM'S EMPLOYEES CHARGED WITH SUPREVISING THE ACTIVITIES IN QUESTION WERE ALSO CENSURED AND FINED.
Allegations: ALLEGED THAT PWI VIOLATED RULE 346 (F) BY HAVING BEEN ASSOCIATED WITH PERSONS WHO WERE KNOWN, OR IN THE EXERCISE OF REASONABLE CARE SHOULD HAVE BEEN KNOWN, TO BE SUBJECT TO STATUTORY DISQUALIFICATION, WITHOUT OBTAINING THE PERMISSION OF THE EXCHANGE; AND VIOLATION OF EXCHANGE RULE 351(A)(9) BY FAILING TO PROMPTLY REPORT TO THE EXCHANGE THAT IT WAS ASSOCIATED WITH PERSONS WHO WERE STATUTORILY DISQUALIFIED Status: Final Sanction Detail: THE NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT FILED A STIPULATION AND CONSENT, WHEREBY PWI CONSENTED, WITHOUT ADMITTING OR DENYING THE FINDINGS THEREIN, TO THE ENTRY A CENSURE AND A FINE IN THE AMOUNT OF $30,000.00. THIS MATTER INVOLVED THE HIRING OF FOUR NON-REGISTERED EMPLOYEES BETWEEN 1992 AND 1995.
Allegations: THE NASD ALLEGED THAT PAINEWEBBER ENTERED ORDERS ON AN AGENCY BASIS INTO SOES FOR SECURITIES FOR WHICH PAINEWEBBER WAS A REGISTERED MARKET IN VIOLATION OF SECTION C(2)E OF THE RULES OF PRACTICE AND PROCEDURES FOR SOES AND ARTICLE III, SECTION 1 OF THE NASD'S RULES OF FAIR PRACTICE. Status: Final Sanction Detail: PAINEWEBBER CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS TO PAY A FINE $2,500.
Allegations: VIOLATION OF RULE 403(C). Status: Final Sanction Detail: IN AUGUST, 1973, PAINE, WEBBER, JACKSON & CURTIS INCOR- PORATED WAS FINED $1,000.00 BY THE CHICAGO MERCANTILE EXCHANGE FOR A VIOLATION OF RULE 403(C).
Allegations: FAILURE TO NOTIFY THE EXCHANGE IN A TIMELY MANNER OF THE TERMINATION OF CERTAIN REGISTERED COMMODITY REPRESENTATIVES Status: Final Sanction Detail: IN MARCH 1986, THE MEMBER SERVICES COMMITTEE OF THE CHICAGO BOARD OF TRADE FINED PAINEWEBBER $2,500 AFTER DETERMINING THAT THE FIRM VIOLATED EXCHANGE REGULATION 480.08, IN THAT THE FIRM FAILED TO NOTIFY THE EXCHANGE IN A TIMELY MANNER OF THE TERMINATION OF CERTAIN REGISTERED COMMODITY REPRESENTATIVES.
Allegations: CHARGES THAT THE FIRM IMPROPERLY PURCHASED CALL OPTIONS ON SHARES OF GENERAL MOTORS PRIOR TO THE ISSUANCE OF A FAVORABLE RESEARCH RECOMMENDATION. Status: Final Sanction Detail: IN JUNE, 1985, PAINEWEBBER, INCORPORATED WAS CENSURED AND FINED $30,000 JOINTLY BY THE NEW YORK STOCK EXCHANGE AND THE CHICAGO BOARD OF OPTIONS EXCHANGE, PURSUANT TO AN OFFER OF SETTLEMENT, IN CONNECTION WITH CHARGES THAT THE FIRM IMPROPERLY PURCHASED COMMON STOCK AND CALL OPTIONS ON THE SHARES OF GENERAL MOTORS PRIOR TO THE ISSUANCE OF A FAVORABLE RESEARCH RECOMMENDATION.
Allegations: ON JULY 20, 1989, PAINEWEBBER INCORPORATED AND ITS EMPLOYEE JOSEPH PATRICK TOTA WERE CHARGED BY THE DBCC DIST. #12 (NASD) WITH TWO SEPARATE INSTANCES OF FAILUE TO SUPERVISE THE ACTIVITIES OF FORMER REGISTERED REPRESENTATIVE NELDA ZIM. Status: Final Sanction Detail: THE DBCC DETERMINED THAT MR. TOTA AND PAINEWEBBER VIOLATED ARTICLE III SECTION 1 & 27 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE. MR. TOTA WAS SUSPENDED FROM ASSOCIATING WITH ANY MEMBER IN A PRINCIPAL CAPACITY FOR FIVE (5) BUSINESS DAYS. PAINEWEBBER AND MR. TOTA WERE CENSURED AND JOINTLY AND SEVERALLY FINED $30,000.00
Allegations: CHARGES THAT THE FIRM IMPROPERLY PURCHASED COMMON STOCK ON SHARES OF GENERAL MOTORS PRIOR TO THE ISSUANCE OF A FAVORABLE RESEARCH RECOMMENDATION. Status: Final Sanction Detail: IN JUNE, 1985, PAINEWEBBER, INCORPORATED WAS CENSURED AND FINED $30,000 JOINTLY BY THE NEW YORK STOCK EXCHANGE AND THE CHICAGO BOARD OF OPTIONS EXCHANGE, PURSUANT TO AN OFFER OF SETTLEMENT, IN CONNECTION WITH CHARGES THAT THE FIRM IMPROPERLY PURCHASED COMMON STOCK AND CALL OPTIONS ON THE SHARES OF GENERAL MOTORS PRIOR TO THE ISSUANCE OF A FAVORABLE RESEARCH RECOMMENDATION.
Allegations: PAINEWEBBER IS ALLEGED TO HAVE VIOLATED TWO RULES: (1) IN 15 INSTANCES DURING 1997, THE FIRM IS ALLEGED TO HAVE VIOLATED NASD MARKETPLACE RULE 4613(E) BY ENTERING A QUOTATION ON THE NASDQ STOCK MARKET, INC. WHICH CAUSED A LOCKED OR CROSSED MARKET CONDITION WITHOUT MAKING REASONABLE EFFORTS TO AVOID THIS CONDITION; AND (2) IN JULY 1998, THE FIRM IS ALLEGED TO HAVE FAILED TO DISPLAY 9 CUSTOMER LIMIT ORDERS THAT WOULD HAVE EITHER IMPROVED PAINEWEBBER'S POSTED QUOTATION OR INCREASED THE SIZE OF ITS QUOTATION, IN VIOLATION OF SEC RULE 11AC1-4. NO DAMAGES ARE ALLEGED. THE FIRM HAS NEITHER ADMITTED NOR DENIED THE VIOLATIONS IN CONNECTION WITH THE SETTLEMENT OF THIS MATTER WITH THE NASD. HOWEVER, THE FIRM HAS BEEN WORKING TO IDENTIFY AND CORRECT SYSTEMIC IDIOSYNCRASIES THAT MAY HAVE CAUSED OR CONTRIBUTED TO THE ALLEGED INSTANCES, AND HAS ALSO REMINDED ITS TRADERS OF THE IMPORTANCE OF FOLLOWING PROPER PROCEDURES AND PROTOCOLS IN THESE AREAS. Status: Final Sanction Detail: BY LETTER DATED JANUARY 24, 2000, THE NASD NOTIFIED PAINEWEBBER THAT IT HAS ACCEPTED THE FIRM'S PROPOSED AWC (LETTER OF ACCEPTANCE, WAIVER AND CONSENT). PURSUANT TO THIS AWC, THE FIRM HAS AGREED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, TO A CENSURE AND TO PAY A FINE OF $3000.00 FOR THE LOCKED AND CROSSED MARKET VIOLATIONS AND $5000.00 FOR THE LIMIT ORDER DISPLAY VIOLATIONS.
Allegations: PAINEWEBBER IS ALLEGED TO HAVE VIOLATED SEC RULE 11AC1-1(C)(1) BY ACCOUNTING FOR MORE THAN 1% OF THE AGGREGATE TRADING VOLUME IN 50 EXCHANGE-LISTED SECURITIES IN THE CAPACITY OF AN OTC MARKET MAKER DURING THE THIRD QUARTER OF 1997, FOR WHICH THE FIRM DID NOT REGISTER AS A MARKET MAKER WITHIN TEN DAYS OF THE END OF THE QUARTER. FOR INDEPENDENT REASONS, THE FIRM CLOSED ITS 19C-3 DESK IN JANUARY 1998 AND THUS CEASED TRADING THESE SECURITIES AS AN OTC MARKET MAKER. NO DAMAGES ARE ALLEGED. Status: Final Sanction Detail: ON FEBRUARY 11, 2000, THE NASD ACCEPTED THE FIRM'S OFFER TO SETTLE THIS MATTER BY PAYMENT OF A FINE OF $3500.00.
Allegations: IN JUNE 1999 THE FIRM SOLD SECURITIES IN TWO HOT ISSUE OFFERINGS. ALTHOUGH NO SALES WERE MADE TO RESTRICTED PERSONS, THE FIRM FAILED TO OBTAIN PROPER DOCUMENTATION AND/OR FAILED TO FOLLOW REQUIRED PROCEDURES FOR OBTAINING CERTAIN DOCUMENTS WITH RESPECT TO CERTAIN ACCOUNTS. Status: Final Sanction Detail: $7,500.00 FINE TO BE PAID BY 08/24/2001. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO THE ENTRY OF FINDINGS THAT THE FIRM VIOLATED IM-2110-1 AND NASD CONDUCT RULE 2110. ON 07/24/2001, NASDR'S OFFICE OF DISCIPLINARY AFFAIRS AND THE NAC ACCEPTED THE FIRM'S AWC REGARDING THE VIOLATIONS. THE FIRM WAS CENSURED AND FINED $7,500.00
Allegations: THE OMX NORDIC EXCHANGE HELSINKI ("THE EXCHANGE") IMPOSED A DISCIPLINARY FINE OF EUR 40,000 ON UBS LIMITED FOR BREACHING ITS TRADE REPORTIING RULES. UBS LIMITED FAILED TO SUBMIT A LARGE NUMBER OF TRADE REPORTS TO THE FOUR NORDIC EXCHANGES (HELSINKI, OSLO, STOCKHOLM AND COPENHAGEN) OVER A SIGNIFICANT PERIOD OF TIME. Status: Final Sanction Detail: FINE WAS 40,000 EUR.
Allegations: ICE CLEAR CREDIT LLC ("ICE") ALLEGED THAT ON NOVEMBER 16, 2012 AND DECEMBER 12, 2012, UBS AG UNWOUND FIRM TRADES MADE ON NOVEMBER 15, 2012 AND DECEMBER 11, 2012, RESPECTIVELY, WITH THE SAME COUNTERPARTY CLEARING PARTICIPANT AT THE ORIGINAL FIRM TRADE PRICES RATHER THAN THE THEN-CURRENT MARKET PRICES, IN VIOLATION OF ICE RULE 404(B) AND ICE'S END OF DAY PRICE DISCOVERY POLICIES AND PROCEDURES. Status: Final Sanction Detail: MONETARY FINE OF $10,290 IN RELATION TO THE NOVEMBER 16, 2012 OFFSETTING TRADE AND $20,661 IN RELATION TO THE DECEMBER 12, 2012 OFFSETTING TRADE. THESE AMOUNTS WERE PAID ON OCTOBER 31, 2013. Summary: PURSUANT TO ICE RULE 404(B) "MARK-TO-MARKET PRICE" AND THE ICE "END-OF-DAY PRICE DISCOVERY POLICIES AND PROCEDURES," CLEARING PARTICIPANTS OF ICE MAY BE REQUIRED TO ENTER INTO TRANSACTIONS ("FIRM TRADES") WITH OTHER CLEARING PARTICIPANTS AS A RESULT OF ICE'S END-OF-DAY ("EOD") SETTLEMENT PRICE DISCOVERY PROCESS. ALTHOUGH ICE DOES NOT REQUIRE THAT A CLEARING PARTICIPANT MAINTAIN A FIRM TRADE AS AN OUTSTANDING POSITION FOR ANY PARTICULAR LENGTH OF TIME, IF A CLEARING PARTICIPANT ELECTS TO OFFSET A FIRM TRADE, IT MUST DO SO ON TERMS REFLECTING THE THEN-CURRENT MARKET PRICE. ON NOVEMBER 15, 2012 AND DECEMBER 11, 2012, ICE REQUIRED UBS AG, AN ICE CLEARING PARTICIPANT, TO ENTER FIRM TRADES WITH ANOTHER CLEARING PARTICIPANT, WHICH FIRM TRADES UBS AG UNWOUND ON NOVEMBER 16, 2012 AND DECEMBER 12, 2012, RESPECTIVELY, WITH THE SAME COUNTERPARTY CLEARING PARTICIPANT AT THE ORIGINAL FIRM TRADE PRICES. ICE ALLEGED THAT THE FIRM TRADE PRICES DID NOT REPRESENT THE MARKET PRICES AT THE TIME OF UBS AG'S OFFSETTING TRADES, AND THAT THE TRADES THEREFORE VIOLATED ICE RULE 404(B) AND ICE'S EOD SETTLEMENT POLICIES AND PROCEDURES. WITHOUT ADMITTING OR DENYING GUILT, AND HAVING TAKEN REASONABLE MEASURES TO ENSURE THAT UBS AG PERSONNEL IN THE PERTINENT LINE OF BUSINESS AND WITH RESPONSIBILITY FOR THE PURCHASE AND SALE OF CREDIT DEFAULT SWAPS CLEARED THROUGH ICE ARE FULLY INFORMED OF THEIR RESPONSIBILITIES UNDER ICE'S RULES AND PROCEDURES, INCLUDING ICE RULE 404(B) AND ICE'S EOD PRICE DISCOVERY POLICIES AND PROCEDURES, UBS AG COMPROMISED AND SETTLED THE MATTER AND AGREED TO THE SANCTIONS SPECIFIED ABOVE.
Allegations: THE ICE FUTURES EUROPE EXCHANGE ALLEGES THAT UBS AG WERE IN BREACH OF THE FOLLOWINGEXCHANGE RULES: G.17.1 - A MEMBER'S OPEN INTEREST IN ANY EXCHANGE FUTURES CONTRACT OR SERIESOF AN OPTION CONTRACT, IS THE NUMBER OF LOTS, LONG OR SHORT, WHICH THE MEMBER HOLDS EITHERFOR ITS OWN ACCOUNT OR ON BEHALF OF CLIENTS (INCLUDING GROUP AND ASSOCIATED COMPANIES)WHICH WILL EITHER BE: (A) OFFSET BY TRADING OUT IN THE MARKET; OR (B) IN THE CASE OF OPTIONSCONTRACTS, EXERCISED OR HELD TO EXPIRY; OR (C) IN THE CASE OF FUTURES CONTRACTS, OFFSET BY THEEXERCISE OF A RELEVANT OPTION CONTRACT; OR (D) IN THE CASE OF FUTURES CONTRACTS, TAKEN TODELIVERY OR CASH SETTLEMENT. G.17.4 - (A) OPEN INTEREST AT THE CLOSE OF BUSINESS ON A TRADINGDAY FOR EACH SUB-ACCOUNT WILL BE CALCULATED USING THE METHOD SET OUT ABOVE AFTER A CUT-OFFTIME ON THE SUBSEQUENT TRADING DAY, AND WILL INCLUDE ANY SETTLEMENTS AND POSITIONADJUSTMENTS CARRIED OUT BEFORE THE CUT-OFF TIME. THE CUT-OFF TIME WILL BE NOTIFIED BY THEEXCHANGE TO MEMBERS FROM TIME TO TIME. G.17.5 - IN CASES WHERE CLIENTS, INCLUDING CERTAIN IN-HOUSE DEPARTMENTS, HOLD BOTH LONG AND SHORT POSITIONS MEMBERS WILL NEED TO DETERMINE, INACCORDANCE WITH REGULATORY REQUIREMENTS OR OTHERWISE, WHETHER THESE SHOULD BE MAINTAINEDGROSS OR WHETHER, OR TO WHAT EXTENT, THEY SHOULD BE SETTLED OUT Status: Final Sanction Detail: UBS WILL PAY A TOTAL SETTLEMENT AMOUNT OF £36,666,67 (APPROX. $50,000) THIS COMPRISES: (I) AFINE OF £55,000 FOR THE BREACHES OF THE RULES DESCRIBED AT SECTION 7 ABOVE; (II) ADISCRETIONARY 1/3 DISCOUNT FROM £55,000 FOR EARLY SETTLEMENT Summary: UBS AND THE SRO HAVE AGREED THE CONTENT OF A DRAFT CIRCULAR CAPTURING THE SETTLEMENT, WHICHWILL BE PUBLISHED BY THE SRO IN DUE COURSE. THIS PROVIDES FOR THE ABOVE SETTLEMENT AMOUNT ANDCONFIRMS THAT UBS DID BREACH RULES G.17.1, G17.4, AND G.17.5. THE DATE OF PAYMENT HAS NOT YET BEEN AGREED
Allegations: THE FIRM IS ALLEGED TO HAVE VIOLATED NASD RULES 2110, 2210, 2211, 2310, 3010, AND INTERPRETATIVE MATERIAL 2310-2 IN CONNECTION WITH CERTAIN SALES THROUGH ITS FINANCIAL ADVISORS ("FAS") TO CERTAIN CUSTOMERS OF 100% PRINCIPAL PROTECTION NOTES ISSUED BY LEHMAN BROTHERS ("LEHMAN PPNS") DURING THE TIME PERIOD MARCH 17, 2008 THROUGH JUNE 30, 2008 (THE "RELEVANT PERIOD"). SPECIFICALLY, IN VIOLATION OF RULE 2110, DURING THE RELEVANT PERIOD, THE FIRM MADE STATEMENTS AND OMITTED CERTAIN FACTS THROUGH COMMUNICATIONS THROUGH SOME OF ITS FAS, WHICH HAD THE EFFECT OF MISLEADING CERTAIN CUSTOMERS REGARDING CHARACTERISTICS AND RISKS ASSOCIATED WITH INVESTING IN LEHMAN PPNS, INCLUDING MATERIAL INFORMATION REGARDING THE PRODUCT'S "100% PRINCIPAL PROTECTION FEATURE." THE FIRM ALSO FAILED TO DISSEMINATE ADEQUATELY TO ITS FAS AND PROVIDE SUFFICIENT GUIDANCE ON THE USE OF CERTAIN INFORMATION, INCLUDING ISSUER CREDIT RISK AND WIDENING OF CREDIT DEFAULT SWAP SPREADS, AS THEY RELATED TO LEHMAN'S FINANCIAL STRENGTH DURING THE RELEVANT PERIOD. IN ADDITION, IN VIOLATION OF NASD RULES 2110, 2210, AND 2211, THE FIRM CREATED AND USED CERTAIN ADVERTISING AND MARKETING MATERIALS THAT WERE NOT FAIR AND BALANCED, WHICH HAD THE EFFECT OF MISLEADING CERTAIN CUSTOMERS REGARDING SPECIFIC CHARACTERISTICS OF STRUCTURED PRODUCTS, INCLUDING LEHMAN PPNS, RELATED TO ISSUER CREDIT RISK. IN VIOLATION OF RULES 2110, 2310, AND 3010, DURING THE RELEVANT PERIOD, THE FIRM FAILED TO ESTABLISH AN ADEQUATE SUPERVISORY SYSTEM, INCLUDING ADEQUATE TRAINING OF FAS AND WRITTEN SUPERVISORY POLICIES AND PROCEDURES, IN CONNECTION WITH THE MARKETING AND SALE OF LEHMAN PPNS. ADDITIONALLY, IN VIOLATION OF RULE 2310, THE FIRM DID NOT, DURING THE RELEVANT PERIOD, ADEQUATELY ANALYZE THE SUITABILITY OF SALES OF LEHMAN PPNS TO CERTAIN UBS CUSTOMERS THROUGH SOME OF ITS FAS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO A CENSURE, A $2.5 MILLION FINE AND TO PAY APPROXIMATELY $8.25 MILLION IN RESTITUTION TO CERTAIN CUSTOMERS, TO BE APPROVED BY FINRA, WHO PURCHASED 100% PRINCIPAL PROTECTION NOTES ISSUED BY LEHMAN BROTHERS ("LEHMAN PPNS) FROM UBSFS IN THE TIME PERIOD MARCH 17, 2008 THROUGH JUNE 30, 2008 AND HOLD THE LEHMAN PPNS AS OF THE APPROVAL DATE OF THE AWC. THE $2.5 MILLION FINE WAS PAID ON APRIL 21, 2011, AND THE APPROXIMATELY $8.25 MILLION IN RESTITUTION IS TO BE PAID WITHIN 120 DAYS OF FINRA'S APPROVAL OF THE LIST OF CUSTOMERS WHO WILL RECEIVE RESTITUTION.
Allegations: VIOLATED T.C.A. 48-16-109 (B). Status: Final Sanction Detail: IN DECEMBER, 1981, PAINE, WEBBER, JACKSON & CURTIS, INC. CONSENTED TO AN ORDER OF THE COMMISSIONER OF INSURANCE, STATE OF TENNESSEE, PROHIBITING THE SOLICITATION OF NEW BUSINESS FOR FIVE BUSINES DAYS IN ONE OF ITS BRANCH OFFICES. THE COMMISSINER OF INSURANCE HAD ALLEGED THAT FOUR OF PAINEWEBBER, JACKSON & CURTIS' EMPLOYEES HAD VIOLATED T.C.A. 48-16-109 (B).
Allegations: PAINEWEBBER PERMITTED SIX (6) SALESMEN IN THE ATLANTA OFFICE TO CONDUCT SECURITIES TRANSACTIONS WITH GEORGIA RESIDENTS, WHILE UNREGISTERED IN THE STATE OF GEORGIA, IN VIOLATION OF SECTION 3 OF THE GEORGIA SECURITIES ACT OF 1973. Status: Final Sanction Detail: IN MAY, 1983, PAINE, WEBBER, JACKSON & CURTIS, INC. WAS THE SUBJECT OF A CONSENT ORDER BY THE COMMISSIONER OF SECURITIES, STATE OF GEORGIA, IN WHICH THE FIRM AGREED TO A SUSPENSION FROM THE ACCEPTANCE OF ANY NEW GEORGIA RESIDENT ACCOUNTS FOR THE PERIOD OF FIVE (5) DAYS AND A FINE IN THE AMOUNT OF $2,000.00. THE ORDER FINDS THAT PAINEWEBBER PERMITTED SIX (6) SALESMEN IN THE ATLANTA OFFICE TO CONDUCT SECURITIES TRANSACTIONS WITH GEORGIA RESIDENTS, WHILE UNREGISTERED IN THE STATE OF GEORGIA, IN VIOLATION OF SECTION 3 OF THE GEORGIA SECURITIES ACT OF 1973.
Allegations: WITHOUT ADMITTING OR DENYING ALLEGATIONS MADE BY THE STATE OF VIRGINIA, THE FIRM SETTLED A MATTER WITH THE STATE FOR $100,000 ($83,000 PENALTY/$17,000 COST OF INVESTIGATION) IN CONNECTION WITH THE ACTIVITIES OF A FORMER FINANCIAL ADVISOR DURING THE PERIOD OF 2000 AND 2001. THE ALLEGATIONS INCLUDE FAILURE TO PROPERLY MAINTAIN CERTAIN BOOKS AND RECORDS IN THE BRANCH OFFICE AND INADEQUATE SUPERVISION OF THE FINANCIAL ADVISOR. IN REACHING THIS SETTLEMENT, THE STATE TOOK INTO CONSIDERATION THE FIRM'S COOPERATION DURING THE INVESTIGATION AND SIGNIFICANT IMPROVEMENTS THE FIRM HAS MADE TO ITS SUPERVISORY PROCESSES AND COMPUTER SYSTEMS SINCE THE PERIOD IN QUESTION. Status: Final Sanction Detail: FINE OF $100,000 ($83,000 PENALTY/$17,000 COST OF INVESTIGATION)
Allegations: A CUSTOMER COMPLAINT HAD ORIGINALLY SPURRED AN INVESTIGATION BY THE DEPARTMENT INTO VIOLATIONS BY PAINEWEBBER AND ONE OF ITS REGISTERED REPRESENTATIVES, PAUL E. BRADY III. Status: Final Sanction Detail: PAINEWEBBER, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CONSENTED TO MAKE RESTITUTION TO A CLIENT OF PAINEWEBBER/BRADY IN THE AMOUNT OF $11,428.51. IN ADDITION, BRADY WITHOUT ADMITTING OR DENYING THE VARIOUS ALLEGED VIOLATIONS, CONSENTED TO THE IMPOSITION OF A PENALTY IN THE AMOUNT OF $3,900 BY THE DIVISION.
Allegations: IN FEBRUARY 1992, THE STATE OF FLORIDA ISSUED AN AMENDED ADMINISTRATIVE COMPLAINT WHERE AS PAINEWEBBER INC. WAS NAMED AS RESPONDENT RESONSIBLE FOR THE SUPERVISION OF MORTON L. ANNIS, THE INVESTMENT EXECUTIVE WHO IS ALLEGED TO HAVE RECORDED INACURATE INFORMATION ON TWO CLIENTS AND NEW ACCOUNT FORMS MAKING UNSUITABLE RECOMMENDATIONS IN BOTH ACCOUNTS. Status: Final Sanction Detail: ON OR ABOUT JUY 29, 1992, PAINEWEBBER INC. ENTERED INTO A STIPULATON AND FINAL ORDER IN WHICH PAINEWEBBERR INC AGREED TO REIMBURSE THE TWO CLIENTS FOR LOSSES TOTALING $12,623.94 AND PAID ADMINISTRATIVE COSTS TO THE STATE OF FLORIDA. NO FINDINGS WERE MADE AGAINST PAINEWEBBER INCORPORATED.
Allegations: THE FEDERAL RESERVE BANK OF NEW YORK (FRBNY) HAS DETERMINED THAT (1) IN VIOLATION OF ITS CONTRACT WITH THE FRBNY TO DISTRIBUTE AND REPATRIATE U.S. CURRENCY, UBS AG ENGAGED IN U.S. DOLLAR BANKNOTE TRANSACTIONS WITH COUNTERPARTIES IN JURISDICTIONS SUBJECT TO U.S. SANCTIONS AND (2) IN VIOLATION OF LAW, CERTAIN FORMER OFFICERS AND EMPLOYEES OF UBS ENGAGED IN INTENTIONAL ACTS AIMED AT CONCEALING THOSE BANKNOTE TRANSACTIONS FROM THE FRBNY INCLUDING FALSIFICATION OF REPORTS TO THE FRBNY. Status: Final Sanction Detail: UBS A.G., WITHOUT ADMITTING TO ANY ALLEGATIONS, CONSENTED TO THE ISSUANCE OF AN ORDER, BY THE FEDERAL RESERVE BOARD, OF ASSESSMENT OF CIVIL MONEY PENALTY IN THE AMOUNT OF $100,000,000.00.
Allegations: FAILURE TO FILE AUDITED FINANCIALS IN A TIMELY MANNER. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTION DETAIL IS UNAVAILABLE.
Allegations: ON APRIL 16, 2007, THE FIRM, WITHOUT ADMITTING OR DENYING THE FINDINGS, SIGNED A CONSENT ORDER WITH THE STATE OF CONNECTICUT DEPARTMENT OF BANKING RELATING TO THE MARKET TIMING OF MUTUAL FUNDS AND VARIABLE INSURANCE PRODUCTS. IT WAS ALLEGED THAT THE FIRM FAILED TO KEEP CERTAIN BOOKS AND RECORDS PERTAINING TO SUBACCOUNT TRANSFERS WITHIN VARIABLE INSURANCE PRODUCTS AND FAILED TO REASONABLY SUPERVISE AGENTS REGARDING IMPERMISSIBLE MARKET TIMING. Status: Final Sanction Detail: SEE "OTHER SANCTIONS ORDERED" ABOVE. Summary: ON APRIL 16, 2007 UBS SIGNED A CONSENT ORDER WITH THE STATE OF CONNECTICUT DEPARTMENT OF BANKING RELATING TO THE MARKET TIMING OF MUTUAL FUNDS AND VARIABLE INSURANCE PRODUCTS. IT WAS ALLEGED THAT THE FIRM FAILED TO KEEP CERTAIN BOOKS AND RECORDS PERTAINING TO SUBACCOUNT TRANSFERS WITHIN VARIABLE INSURANCE PRODUCTS AND FAILED TO REASONABLY SUPERVISE AGENTS REGARDING IMPERMISSIBLE MARKET TIMING. THE FIRM PAID FINES IN A TOTAL AMOUNT OF $1,500,000.
Allegations: NASD RULE 6955(A) - UBS FINANCIAL SERVICES INC. TRANSMITTED TO THE ORDER AUDIT TRAIL SYSTEM (OATS) REPORTABLE ORDER EVENTS (ROES) THAT WERE REJECTED BY OATS FOR CONTEXT OR SYNTAX ERRORS AND THE FIRM FAILED TO REPAIR MANY OF THE REJECTED ROES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $7,500. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $7,500.
Allegations: FROM OCTOBER 1, 2007 THROUGH DECEMBER 31, 2007, THE FIRM FAILED TO USE REASONABLE DILIGENCE TO ASCERTAIN THE BEST INTER-DEALER MARKET AND FAILED TO BUY OR SELL IN SUCH MARKET SO THAT THE RESULTANT PRICE TO FIVE OF ITS CUSTOMERS WAS AS FAVORABLE AS POSSIBLE UNDER PREVAILING MARKET CONDITIONS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED, FINED $30,000 AND REQUIRED TO MAKE RESTITUTION TO FIVE FIRM CUSTOMERS DISADVANTAGED BY THE TRANSACTIONS IN THE TOTAL AMOUNT OF $15,051.88, PLUS INTEREST
Allegations: DURING JANUARY 6, 2004 AND APRIL 28, 2009 ISTA INVESTED 16.2 MILLION IN PRIVATE EQUITY FUNDS WHICH THEY CLAIM WERE UNSUITABLE IN VIOLATION OF THE INDIANA UNIFORM SECURITIES ACT 710 IACL-17-L(X). Status: Final Sanction Detail: FINE OF $450,000.00 AND $227,000 REIMBURSEMENT OF INVESTIGATION COSTS. Summary: UBS FINANCIAL SERVICES INC. NEITHER ADMITS OR DENIES THESE CLAIMS
Allegations: ALLOWING TWO INDIVIDUALS TO CONDUCT BUSINESS IN CONNECTICUT WITHOUT BEING DULY REGISTERED IN THE STATE. Status: Final Sanction Detail: FINE OF $25,000 AND A STIPULATION AGREEMENT TO ENFORCE PROCEDURE TO DETECT AND PREVENT ACTIVITIES. Summary: "PAINEWEBBER WAS ADVISED ON DECEMBER 29, 1997 BY THE CONNECTICUT DEPARTMENT OF BANKING, THAT THE FIRM HAS BEEN RELEASED FROM ALL OBLIGATIONS UNDER, AND NEED NO LONGER COMPLY WITH ANY OF THE ON GOING PROVISIONS CONTAINED IN THE STIPULATION AND AGREEMENT, DATED SEPTEMBER 30, 1991."
Allegations: INFORMATION SOUGHT BY AN EXAMINER WAS NOT TIMELY PRODUCED. Status: Final Sanction Detail: ON FEBRUARY 6, 1989, PAINEWEBBER INCORPORATED WAS SERVED WITH AN ORDER BY THE STATE OF NEW MEXICO. THE ORDER NAMED THE FIRM AND ITS BRANCH MANGER KENNETH MORRIS. THE ORDER ALLEGED THAT INFORMATION SOUGHT BY AN EXAMINER WAS NOT TIMELY PRODUCED. AFTER A PERIOD OF NEGOTIATIONS ON MAY 18, 1989 THE FIRM AGREED TO PAY A $2,500 ADMINISTRATIVE ASSESSMENT AND A $2,500 FINE. IN ADDITION THE STATE AGREED THAT MR. MORRIS WAS NOT CAPABLE FOR ANY VIOLATIVE CONDUCT AND WITHDREW THE ORDER AGAINST HIM ON JULY 19,1989.
Allegations: INVESTIGATION REGARDING THE SALE OF SECURITIES IN THE STATE OF VIRGINIA Status: Final Sanction Detail: IN NOVEMBER, 1990, PAINEWEBBER INCORPORATED ACCEPTED A SETTLEMENT WITH THE STATE OF VIRGINIA AND AGREED TO MAKE A WRITTEN OFFER OF RECISSION TO A VIRGINIA INVESTOR WHO HAD PURCHASED A SECURITY THROUGH AN UNREGISTERED AGENT IN THE EMPLOY OF PAINEWEBBER INCORPORATED.
Allegations: VIOLATION OF VIRGINIA CODE 38.1-52.1, 38.1-52.2, 38.1-327.11A, 38.1-327.33A AND 38.1-182.33. Status: Final Sanction Detail: IN MARCH, 1986, THE BUREAU OF INSURANCE OF THE COMMONWEALTH OF VIRGINIA CENSURED PWJC INSURANCE SALES, INC. FOR VIOLATING VIRGINIA CODE 38.1-52.1, 38.1-52.2, 38.1-327.11A, 38.1-327.33A AND 38.1-182.33 IN CONNECTION WITH THE MARKETING OF SINGLE PREMIUM DEFERRED ANNUITIES OF NATIONAL INVESTORS LIFE INSURANCE COMPANY SETTLED AND TENDERED TO THE COMMONWEALTH OF VIRIGINA THE SUM OF $100,000.00
Allegations: FAILURE TO REGISTER BROKERS IN A SINGLE OUT-OF-STATE BRANCH OFFICE, WHO EFFECTED TRADES WITH RESIDENTS OF THE STATE OF TENNESSEE. Status: Final Sanction Detail: IN JULY, 1984, PAINE, WEBBER, JACKSON & CURTIS, INC. CONSENTED TO AN ORDER OF THE TENNESSEE COMMISSIONER OF COMMERCE AND INSURANCE WHICH MADE FINDING OF FACT CONCERNING THE FIRM'S FAILURE TO REGISTER BROKERS IN A SINGLE OUT-OF-STATE BRANCH OFFICE, WHO EFFECTED TRADES WITH RESIDENTS OF THE STATE OF TENNESSEE. PAINE, WEBBER, JACKSON & CURTIS, INC. WAS CENSURED AND FINED $55,000 AND ORDERED TO CEASE AND DESIST FROM FURTHER VIOLATIONS.
Allegations: VIOLATION OF SECTION 3 OF THE GEORGIA SECURITIES ACT OF 1973. Status: Final Sanction Detail: IN SEPTEMBER, 1981, PAINE, WEBBER, JACKSON & CURTIS, INC. STIPULATED TO A REPRIMAND ENTERED BY THE COMMISSIONER OF SECURITIES, STATE OF GEORGIA, FOR A PURPORTED VIOLATION OF SECTION 3 OF THE GEORGIA SECURITIES ACT OF 1973.
Allegations: PERMITTING AN UNREGISTERED PERSON TO TRANSACT BUSINESS IN SECURITIES WITHIN THE STATE. Status: Final Sanction Detail: IN NOVEMBER, 1979, PAINE, WEBBER, JACKSON & CURTIS, INC. WAS CENSURED BY THE STATE OF FLORIDA FOR PERMITTING AN UNREGISTERED PERSON TO TRANSACT BUSINESS IN SECURITIES WITHIN THAT STATE.
Allegations: FAILURE TO PROPERLY REGISTER AN EMPLOYEE IN THE DISTRICT OF COLUMBIA Status: Final Sanction Detail: IN DECEMBER OF 1991, THE PUBLIC SERVICE COMMISSION OF THE DISTRICT OF COLUMBIA FINED PAINEWEBBER INCORPORATED $1,500.00 FOR FAILURE TO PROPERLY REGISTER AN EMPLOYEE IN THAT JURISDICTION.
Allegations: FAILURE TO PROPELY REGISTER EMPLOYEES IN THE STATE. Status: Final Sanction Detail: IN DECEMBER, 1978, THE STATE OF NEW JERSEY FINED PAINE, WEBBER, JACKSON & CURTIS, INC. $400.00 FOR FAILURE TO PROPERLY REGISTER EMPLOYEES IN THAT STATE.
Allegations: PWI OPERATED AS AN UNREGISTERED INVESTMENT ADVISOR AND EMPLOYING UNREGISTERED INVESTMENT ADVISORS IN THE STATE OF ALABAMA Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PWI AGREED TO PAY A FINE OF $132,500 AND INVESTIGATIVE COSTS OF $17,500; AGREED TO ENSURE THA ALABAMA CLIENTS ENJOYED A POSITIVE RETURN ON THEIR ACCOUNT DURING THE UNREGISTERED PERIOD; SUBMIT TO ADDITIONAL REPORTING REQUIREMENTS FOR THE NEXT 24 MONTHS.
Allegations: PAINEWEBBER ALLOWED MICHAEL J PORTERA TO EFFECT SECURITIES TRANSACTIONS FOR CONNECTICUT RESIDENTS WITHOUT BEING REGISTERED WITH THE SECURITIES AND BUSINESS INVESTMENTS DIVISION Status: Final Sanction Detail: PAINEWEBBER SHALL REVIEW , MODIFY AND IMPLEMENT ITS SUPERVISORY PROCEDURES; SHALL PAY AND FINE WHICH WILL INCLUDE THE COST OF THE DIVISION'S INVESTIGATION INTO THE SECURITIES ACTIVITIES OF PORTERA. THE FINE SHLL AMOUNT TO $10,000; PWI SHALL PAY A $5,000 DONATION TO A CHARITY LOCATED IN CONNECTICUT.
Allegations: ALLEGED THAT CERTAIN ADVERTISING MATERIAL HAD NOT BEEN PRE-FILED WITH THE STATE AND OMITTED CERTAIN REQUIRED LANGUAGE. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO PAY $1,750 IN FINES AND COSTS
Allegations: ALLOWING TWO INDIVIDUALS TO CONDUCT BUSINESS WITHOUT BEING REGISTERED WITH THE DEPARTMENT OF BANKING. Status: Final Sanction Detail: IN AUGUST, 1988, PAINEWEBBER INCORPORATED WAS FINED $750.00 BY THE DEPARTMENT OF BANKING OF THE STATE OF CONNECTICUT, FOR ALLOWING TWO INDIVIDUALS TO CONDUCT BUSINESS WITHOUT BEING REGISTERED WITH THE DEPARTMENT OF BANKING. IN ADDITION, PAINEWEBBER INCORPORATED AGREED TO OFFER RESTITUTION TO THE INDIVIDUAL INVESTOR INVOLVED AND TO REVIEW ITS SUPERVISORY PROCEDURES TO DETECT AND PREVENT SUCH ACTIVITIES. THE DECISION RESULTED FROM A STIPULATION AGREEMENT SUBMITTED BY PAINEWEBBER AND ACCEPTED BY THE DEPARTMENT OF BANKING.
Allegations: VIOLATION OF N.J.S.A. 49:3-56. Status: Final Sanction Detail: IN JULY, 1979, PAINE, WEBBER, JACKSON & CURTIS INC. CONSENTED TO AN ORDER OF THE STATE OF NEW JERSEY AND WAS ASSESSED A MONETARY PENALTY OF $13,450.00 FOR AN ALLEGED VIOLATION OF N.J.S.A. 49:3-56.
Allegations: ALLEGED THAT CERTAIN TRADING ACTIVITY IN PAINEWEBBER'S BIRMINGHAM, ALABAMA BRANCH OFFICE VIOLATED APPLICABLE REGULATIONS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM UNDERTOOK TO MAKE APPROPRIATE RESTITUTION, PAY $87,000 TOWARDS THE STATE'S INVESTIGATIVE COSTS, AND IMPLEMENT ADDITIONAL REMEMDIAL MEASURES.
Allegations: ALLEGATIONS BASED UPON FINDINGS THAT ADEQUATE PROCEDURES WERE NOT ENFORCED IN ONE BRANCH OFFICE. Status: Final Sanction Detail: IN NOVEMBER, 1978, THE COMMONWEALTH OF MASSACHUSETTS ISSUED AN ORDER SUSPENDING THE AGENT REGISTRATION OF AN EMPLOYEE OF PAINE, WEBBER, JACKSON & CURTIS, INC. AND SUSPENDING THE BROKER DEALER REGISTRATION OF PAINE, WEBBER, JACKSON & CURTIS, INC., SUCH SUSPENSIONS BEING IMMEDIATELY REVOKED. THE ORDER WAS ISSUED BASED UPON FINDINGS THAT ADEQUATE PROCEDURES WERE NOT ENFORCED IN ONE BRANCH OFFICE.
Allegations: FAILURE TO PROPERLY REGISTER AN EMPLOYEE IN THE STATE. Status: Final Sanction Detail: IN JULY, 1976, PAINE, WEBBER, JACKSON & CURTIS INCORPORATED WAS FINED $100.00 BY THE STATE OF NEW JERSEY FOR FAILURE TO PROPERLY REGISTER AN EMPLOYEE IN THAT STATE.
Allegations: FAILURE TO RENEW ON A TIMELY BASIS THE REGISTRATION OF TWO ACCOUNT EXECUTIVES OPERATING WITHIN THE STATE OF HAWAII. Status: Final Sanction Detail: IN JULY, 1984, PAINEWEBBER INCORPORATED CONSENTED TO A FINE $3,000 BY THE STATE OF HAWAII, DEPARTMENT OF REGULATORY AGENCIES FOR FAILING TO RENEW ON A TIMELY BASIS THE REGISTRATION OF TWO ACCOUNT EXECUTIVES OPERATING WITHIN THE STATE OF HAWAII.
Allegations: INVESTIGATION RELATING TO ACTIVITIES INVOLVING THE SALE OF SECURITIES BY AN UNREGISTERED AGENT. Status: Final Sanction Detail: IN SEPTEMBER OF 1990, THE FIRM AND ONE OF ITS SUPERVISORS ENTERED INTO AN AGREEMENT AND ORDER WITH THE STATE OF IDAHO RELATING TO ACTIVITIES INVOLVING THE SALE OF SECURITIES BY AN UNREGISTERED AGENT. THE PENALTY IMPOSED WAS A JOINT AND SEVERAL FINE OF $4,000.00 AND THAT THE SUPERVISOR WOULD NOT APPLY FOR A LICENSE IN THE STATE OF IDAHO UNTIL HE TAKES AND PASSES THE SERIES 24 OR SERIES 8 EXAMINATIONS.
Allegations: UNKNOWN Status: Final Sanction Detail: IN MAY 1978, THE STATE OF WISCONSIN PROHIBITED THE MINNEAPOLIS, MN, OFFICE OF PAINE, WEBBER, JACKSON & CURTIS, INCORPORATED, FROM EFFECTING SECURITIES TRANSACTIONS FOR THE ACCOUNTS OF PERSONS IN WISCONSIN FOR FIVE BUSINESS DAYS.
Allegations: FAILURE TO TIMELY PRODUCE REQUESTED DOCUMENTATION. Status: Final Sanction Detail: IN FEBRUARY OF 1991, THE STATE OF NEW MEXICO ISSUED A WITHDRAWAL OF ORDER OF ITS NOTICE OF INTENT ISSUED IN AUGUST OF 1990, THAT THE FIRM HAD NOT TIMELY PRODUCED REQUESTED DOCUMENTATION. WHILE NEITHER ADMITTING NOR DENYING THE ALLEGATIONS, THE PARTIES AGREED TO THE PAYMENT OF A $2,500.00 FINE AND ASSESSMENT OF COSTS IN THE AMOUNT OF $2,500.00.
Allegations: ALLEGED THAT THE FIRM EMPLOYED AN UNREGISTERED AGENT IN MICHIGAN AND FAILED TO REASONABLE SUPERVISE THE AGENT SO AS TO PREVENT HIM FROM TRANSACTING BUSINESS IN MICHIGAN WHILE UNREGISTERED. Status: Final Sanction Detail: PAINE WEBBER WAS CENSURED AND PAID $1,000 IN ADMINISTRATIVE COSTS. Summary: PAINEWEBBER CONSENTED WITHOUT ADMITTING OR DENYING THE ALLEGATIONS PAINEWEBBER AGREED TO CONTINUE DEVELOPMENT OF THE AUTOMATED ORDER ENTRY SYSTEM, TO BLOCK TRANSACTIONS IN STATES WHERE THE AGENT IS NOT REGISTERED IN THE CLIENTS STATE OF RESIDENCE OR TO STATES THAT THE SYSTEMS CANNOT VERIFY THE AGENTS REGISTRATION, AND UNTIL THE AUTOMATED ORDER ENTRY SYSTEM IS FULLY OPERATIONAL TO WITHHOLD FROM AGENTS AND THEIR BRANCH MANAGERS COMMISSIONS GENERATED FROM TRANSACTIONS WITH CLIENTS LIVING IN MICHIGAN IF THE AGENT IS NOT REGISTERED IN MICHIGAN. IN ADDITION, PAINEWEBBER AGREED TO PROVIDE BY JULY 31. 1995. A WRITTEN REPORT TO THE MICHIGAN DEPARTMENT OF COMMERCE, CORPORATIONS AND SECURITIES BUREAU ON THE STATUS OF THE AUTOMATED ODER ENTRY SYSTEM.
Allegations: THE MARKET REGULATION SERVICES INC. ALLEGED THAT UBS SECURITIES CANADA INC. DEMONSTRATED A CONTINUED PATTERN OF DOUBLE PRINTING, FAILING TO DEVELOP AND IMPLEMENT TRADING SUPERVISION POLICIES, AND FOR FAILING TO PROVIDE PROPER ORDER AND TRADE RECORDS IN CONTRAVENTION OF THE UNIVERSAL MARKET INTEGRITY RULES. Status: Final Sanction Detail: UBS SECURITIES CANADA INC. PAID $1,598,466. ($2,000,000 CANADIAN DOLLARS), AND WILL ALSO PAY $100,000.00 (CANADIAN DOLLARS)TO OFFSET THE COST OF THE INVESTIGATION AND HAVE AN INDEPENDENT CONSULTANT TO REVIEW ITS SUPERVISORY COMPLIANCE SYSTEMS.
Allegations: UBS TAIPEI BRANCH (A BRANCH OF UBS AG), WAS ALLEGED TO HAVE BREACHED PARAGRAPH 45-1 OF THE BANKING LAW, AS PERMITTED UNDER ARTICLE 123 OF THE SAME LAW, IN NOT HAVING ESTABLISHED OR NOT HAVING PROPERLY IMPLEMENTED ADEQUATE INTERNAL CONTROLS. IN ADDITION, IN ACCORDANCE WITH ARTICLE 61-1 OF THE BANKING LAW, UBS IS ORDERED TO DISMISS FOREIGN EXCHANGE DEALER SANDRA WANG. Status: Final Sanction Detail: THE FINE AMOUNT WAS TWD 5 MILLION. CONVERTED TO USD AS OF 4/28/2005 IN THE AMOUNT OF $159,250.00.
Allegations: THE FSA FOUND THAT UBS'S SYSTEMS AND CONTROL FAILURES ALLOWED UNAUTHORIZED TRANSACTIONS IN THE TRADING OF FOREIGN EXCHANGE AND PRECIOUS METALS DURING JANUARY 1, 2006 THROUGH DECEMBER 31, 2007. Status: Final Sanction Detail: UBS AGREED TO SETTLE WITH THE FSA AT AN EARLY STAGE OF ITS INVESTIGATION AND THEREFORE RECEIVED A DISCOUNT. THE ORIGINAL FINE WAS TO BE APPROXIMATELY 10 MILLION POUNDS. AFTER THE DISCOUNT IT WAS 8 MILLION POUNDS.
Allegations: ON JUNE 17, 2009 UBS AG MADE A SUBSTANTIAL SHAREHOLDING DISCLOSURE IN THE ISSUER PETROLEUM GEO-SERVICES ASA 3 DAYS LATE Status: Final Sanction Detail: ACTUAL FINE WAS 200,000.00 NORWEGIAN KRONERS, FINE AMOUNT ABOVE IS A CONVERSION TO US DOLLARS AT TODAYS RATE.
Allegations: FAILURE TO CALCULATE OPEN INTEREST BY THE 10 AM DEADLINE ON SEVERAL OCCASIONS Status: Final Sanction Detail: FINE WAS CONVERTED FROM 5000.00 BRITISH POUNDS TO U.S. DOLLARS AT CURRENT RATE
Allegations: UBS PLACED AN ORDER ON BEHALF OF ITS CLIENT FOR SHARES AND PUT OPTIONS IN SUNZR. THE FIGURES FOR PRICE AND VOLUME WERE TRANSPOSED. THE ORDER RESULTED IN MARKETS THAT WERE NOT FAIR AND ORDERLY. AN EMPLOYEE OF UBS WHO WAS NOT REGISTERED AS A DESIGNATED TRADING REPRESENTATIVE SUBMITTED TRADING MESSAGES INTO THE TRADING PLATFORM. Status: Final Sanction Detail: 55,000.00 AUSTRALIAN DOLLARS CONVERTED TO US DOLLARS AT CURRENT RATE.
Allegations: THE INVESTIGATION CONCERNED WHETHER UBS AG BREACHED PROVISIONS OF THE STOCK EXCHANGE RULES ON AD HOC PUBLICITY IN THE PERIOD FROM 2007 TO THE END OF 2008 AND THE DIRECTIVE ON INFORMATION RELATING TO CORPORATE GOVERNANCE IN CONNECTION WITH UBS'S 2008 ANNUAL REPORT. Status: Final Sanction Detail: CONVERTED FROM 100,000 CHF Summary: UBS ACKNOWLEDGES THE DECISION BY THE SIX SANCTIONS COMMISSION AND WILL PAY THE FINE.
Allegations: UBS AG UNINTENIONALLY CONTRAVENED OPERATING RULE 3.1.20 WHEN THE FIRM ALLOCATED A TRADE TO A CLIENT'S ACCOUNT WHEN A PORTION OF THE ALLOCATION WAS NOT OBTAINED PURSUANT TO INSTRUCTIONS ALREADY HELD FROM THE CLIENT. UBS CONTRAVENED OPERATING RULE 2.2.23(C) WHEN, IN THE BELIEF THAT NO ERROR HAD OCCURRED, AN ERROR REPORT WAS NOT CREATED OF THE ERROR TRADE. IN CONTRAVENTION OF OPERATING RULE 2.2.23(A)(I), UBS'S INTERNAL RECORD OF THE CLIENT ORDER WAS INACCURATE. Status: Final Sanction Detail: FINE OF $20,000 PLUS GST
Allegations: UBS AG FAILED TO SUBMIT SINGLE NAME END OF DAY PRICES IN ACCORDANCE WITH ICE TRUST RULES AND PROCEDURES. Status: Final Sanction Detail: FINE OF $122,000.00 AND A LETTER OF CAUTION
Allegations: UBS LIMITED BREACHED EXCHANGE RULES WHEN TWO CLIENT ORDERS WERE SENT TO THE EXCHANGE FOR EXECUTION. THE TWO ORDERS WERE IN COMPANIES IN WHICH A REVERSE SPLIT HAD OCCURRED, INCREASING THE FREE FLOAT OF SHARES. THE FIRM DID NOT UPDATE THE STOCK'S REFERENCE PRICE WHICH RESULTED IN THE ORDERS BEING TRANSMITTED TO THE EXCHANGE IN THE WRONG SIZE AND WITH THE WRONG PRICE AND ONLY BEING CANCELLED WHEN THE EXCHANGE INTERVENED. Status: Final Sanction Detail: THE FIRM PAID A FINE OF 39,000 POUNDS WHICH CONVERTED TO $63,000.00
Allegations: IN SEPTEMBER 2011, FINMA AND THE FSA JOINTLY LAUNCHED AN INDEPENDENT INVESTIGATION OF LONDON BRANCH UNAUTHORIZED TRADING INCIDENT INVOLVING ACTIVITY FROM OCTOBER 2008 TO SEPTEMBER 2011. ON 26TH NOVEMBER 2012, FINMA AND THE FSA ANNOUNCED THE FINDINGS OF THEIR INVESTIGATION. FINMA IMPOSED A RANGE OF PREVENTATIVE MEASURES ON UBS INCLUDING RESTRICTIONS ON THE SIZE OF THE RISK WEIGHTED ASSETS IN THE INVESTMENT BANK. FSA IMPOSED A FINANCIAL PENALTY OF GBP 29.7 MILLION ON UBS AG. Status: Final Sanction Detail: FSA IMPOSED A FINE GBP 29.7 MILLION. THIS CONVERTS TO $47,557,307.45 THE RATE AS OF 11/26/2012.
Allegations: THE FSA HAS FOUND THAT UBS AG LONDON BRANCH FAILED TO TAKE REASONABLE CARE TO ENSURE THE SUITABILITY OF ITS ADVICE TO ITS CUSTOMERS TO INVEST IN THE FUND, AND ALSO FAILED TO PAY DUE REGARD TO THE INTERESTS OF ITS CUSTOMERS. FURTHER, THE BREACH WAS IN RELATION, AND LIMITED, TO UBS AG LONDON BRANCH'S BUSINESS IN THE UK IN THIS PARTICULAR PRODUCT. Status: Final Sanction Detail: FSA IMPOSED A FINE OF 9.45MILLION POUNDS, WHICH CONVERTED TO $14,930,000.00 AS OF 2/8/13.
Allegations: IN OCTOBER 2014, UBS REACHED A SETTLEMENT WITH THE EUROPEAN COMMISSION REGARDING ITS INVESTIGATION OF BID-ASK SPREADS IN CONNECTION WITH SWISS FRANC INTEREST RATE DERIVATIVES AND AGREED TO PAY A EUR 12.65 MILLION FINE. Status: Final Sanction Detail: FINE OF $15,753,032.30 AND UNDERTAKING
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES Status: Final Sanction Detail: UBS SHALL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT. UBS HAS PAID THE SUM OF $389,031.88 TO THE STATE OF IDAHO. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN, UBS FINANCIAL SERVICES, INC. AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, IDAHO WILL RECEIVE A TOTAL PAYMENT OF $389,031.88 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION.
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES Status: Final Sanction Detail: UBS SHALL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT. UBS HAS PAID THE SUM OF $485,558.29 TO THE STATE OF KENTUCKY. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN, UBS FINANCIAL SERVICES,INC. AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, KENTUCKY WILL RECEIVE A TOTAL PAYMENT OF $485,558.29 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION.
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES Status: Final Sanction Detail: UBS SHALL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT. UBS HAS PAID THE SUM OF $867,350.22 TO THE STATE OF LOUISIANA. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN, UBS FINANCIAL SERVICES, INC. AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, LOUISIANA WILL RECEIVE A TOTAL PAYMENT OF $867,350.22 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION.
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES. Status: Final Sanction Detail: UBS SHALL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT. UBS HAS PAID THE SUM OF $235,194.78 TO THE STATE OF NORTH DAKOTA. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN, UBS FINANCIAL SERVICES, INC. AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, NORTH DAKOTA WILL RECEIVE A TOTAL PAYMENT OF $235,194.78 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION.
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES Status: Final Sanction Detail: UBS SHALL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT. UBS HAS PAID THE SUM OF $324,542.52 TO THE STATE OF MONTANA. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN, UBS FINANCIAL SERVICES, INC. AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, MONTANA WILL RECEIVE A TOTAL PAYMENT OF $324,542.52 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION.
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES Status: Final Sanction Detail: UBS HAS PAID THE SUM OF $317,375.71 TO THE STATE OF SOUTH DAKOTA. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN, UBS FINANCIAL SERVICES, INC. AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, SOUTH DAKOTA WILL RECEIVE A TOTAL PAYMENT OF $317,375.71 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION.
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES Status: Final Sanction Detail: UBS HAS PAID THE SUM OF $1,662,029.43 TO THE STATE OF VIRGINIA. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN, UBS FINANCIAL SERVICES, INC. AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, VIRGINIA WILL RECEIVE A TOTAL PAYMENT OF $1,662,029.43 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION.
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES Status: Final Sanction Detail: UBS HAS PAID THE SUM OF $2,098,792.26 TO THE STATE OF CONNECTICUT Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN, UBS FINANCIAL SERVICES,INC.AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, CONNECTICUT WILL RECEIVE A TOTAL PAYMENT OF $2,098,792.26 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION.
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES Status: Final Sanction Detail: UBS SHALL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT. UBS HAS PAID THE SUM OF $269,248.97 TO THE STATE OF DELAWARE. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN, UBS FINANCIAL SERVICES, INC. AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, DELAWARE WILL RECEIVE A TOTAL PAYMENT OF $269,248.97 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION.
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES Status: Final Sanction Detail: UBS SHALL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT. UBS HAS PAID THE SUM OF $1,279,856.07 TO THE STATE OF GEORGIA. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN, UBS FINANCIAL SERVICES,INC. AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, GEORGIA WILL RECEIVE A TOTAL PAYMENT OF $1,279,856.07 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION.
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES Status: Final Sanction Detail: UBS SHALL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT. UBS HAS PAID THE SUM OF $3,790,487.02 TO THE STATE OF NEW JERSEY. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN, UBS FINANCIAL SERVICES, INC. AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, NEW JERSEY WILL RECEIVE A TOTAL PAYMENT OF $3,790,487.02 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION.
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES. Status: Final Sanction Detail: UBS SHALL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT. UBS HAS PAID THE SUM OF $1,237,360.72. THAT SUM INCLUDES A CIVIL PENALTY OF $1,175,492.68 AND $61,868.04 FOR THE OREGON DEPARTMENT OF CONSUMER AND BUSINESS SERVICES CONSUMER FINANCIAL EDUCATION ACCOUNT. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN, UBS FINANCIAL SERVICES, INC. AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, OREGON WILL RECEIVE A TOTAL PAYMENT OF $1,237,360.72 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION.
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES Status: Final Sanction Detail: UBS SHALL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT. UBS HAS PAID THE SUM OF $1,853,575.31 TO THE STATE OF OHIO. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN, UBS FINANCIAL SERVICES, INC. AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, OHIO WILL RECEIVE A TOTAL PAYMENT OF $1,853,575.31 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION. THIS FILING FURTHER CLARIFIES OCCURRENCE NUMBER 1408448 PREVIOUSLY FILED.
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES Status: Final Sanction Detail: UBS SHALL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT. UBS HAS PAID THE SUM OF $999,562.86 TO THE STATE OF MARYLAND. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN,UBS FINANCIAL SERVICES, INC. AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, MARYLAND WILL RECEIVE A TOTAL PAYMENT OF $999,562.86 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION. THIS FILING FURTHER CLARIFIES OCCURRENCE NUMBER 1408448 PREVIOUSLY FILED.
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES Status: Final Sanction Detail: UBS SHALL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT. UBS HAS PAID THE SUM OF $488,179.84 TO NEW HAMPSHIRE. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN,UBS FINANCIAL SERVICES, INC. AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, NEW HAMPSHIRE WILL RECEIVE A TOTAL PAYMENT OF $488,179.84 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION. THIS FILING FURTHER CLARIFIES OCCURRENCE NUMBER 1408448 PREVIOUSLY FILED.
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES Status: Final Sanction Detail: UBS SHALL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT. UBS HAS PAID THE SUM OF $784,535.02 TO NORTH CAROLINA. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN, UBS FINANCIAL SERVICES, INC. AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, NORTH CAROLINA WILL RECEIVE A TOTAL PAYMENT OF $784,535.02 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION. THIS FILING FURTHER CLARIFIES OCCURRENCE NUMBER 1408448 PREVIOUSLY FILED.
Allegations: FAILURE TO SUPERVISE AND UNETHICAL BUSINESS PRACTICES RELATED TO THE MARKETING AND SALE OF AUCTION RATE SECURITIES Status: Final Sanction Detail: UBS SHALL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT. UBS HAS PAID THE SUM OF $326,618.99 TO HAWAII. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACTS OR CONCLUSIONS OF LAW CONTAINED THEREIN,UBS FINANCIAL SERVICES, INC. AND UBS SECURITIES LLC CONSENTED TO ENTRY OF AN ORDER PURSUANT TO WHICH UBS WILL REPURCHASE UP TO AN ADDITIONAL $200MM IN ARS FROM INVESTORS NATIONALLY AND ALSO CONFIRMED THEIR OBLIGATIONS UNDER THE ARS RIGHTS OFFERING AS PART OF REGULATORY SETTLEMENTS ENTERED INTO IN 2008. ADDITIONALLY, HAWAII WILL RECEIVE A TOTAL PAYMENT OF $326,618.99 FROM UBS, FROM A TOTAL FINE OF $75MM PREVIOUSLY AGREED UPON WITH THE STATE OF MASSACHUSETTS AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION. THIS FILING FURTHER CLARIFIES OCCURRENCE NUMBER 1408448 PREVIOUSLY FILED.
Allegations: ALLEGED VIOLATIONS OF CERTAIN ANTI-FRAUD PROVISIONS OF THE SECURITIES ACT. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTION DETAIL IS UNAVAILABLE.
Allegations: ON NOVEMBER 24, 2003, THE FIRM, WITHOUT ADMITTING OR DENYING THE CHARGES, SETTLED AN ADMINISTRATIVE ACTION WITH THE STATE OF MASSACHUSETTS IN WHICH THE STATE ALLEGED THAT THE FIRM VIOLATED MASSACHUSETTS GENERAL LAW CHAPTER 110A SECTION 204 BY FAILING TO SUPERVISE FORMER BROKER SCOTT MCCREADIE. Status: Final Sanction Detail: PURSUANT TO THE SETTLEMENT, THE FIRM WAS ORDERED, AMONG OTHER THINGS, TO PAY A FINE OF $200,000 TO THE STATE. Summary: THE FIRM, WITHOUT ADMITTING OR DENYING THE CHARGES, SETTLED AN ADMINISTRATIVE ACTION WITH THE STATE OF MASSACHUSETTS IN WHICH THE STATE ALLEGED THAT THE FIRM VIOLATED MASSACHUSETTS GENERAL LAW CHAPTER 110A SECTION 204 BY FAILING TO SUPERVISE FORMER BROKER SCOTT MCCREADIE. THE FIRM WAS ORDERED TO PAY A FINE OF $200,000 TO THE STATE.
Allegations: WITHOUT ADMITING OR DENYING THE ALLEGATIONS, UBS FINANCIAL SERVICES CONSENTED TO FINDINGS THAT UBS FINANCIAL ADVISORS MADE UNSUITABLE RECOMMENTATIONS RELATED TO VARIABLE ANNUITY AND CLOSED END MUTUAL FUND TRANSACTIONS AND THAT THE FIRM FAILED TO SUPERVISE ONE FINANCIAL ADVISOR RELATED TO CONDUCT THAT ENDED IN 2005. Status: Final Sanction Detail: UBS WAS (1) CENSURED; (2) ORDERED TO DISGORGE $62,675.54; (3) ORDERED TO PAY $80,000 TO THE MISSOURI INVESTOR EDUCATION AND PROTECTION FUND; (4)ORDERED TO PAY A $20,000 CIVIL PENALTY; AND (5) ORDER TO PAY $7,500 AS COST OF THE INVESTIGATION. PAYMENT WAS MADE ON OR ABOUT MAY 27, 2009 Summary: ON MAY 20, 2009, UBS ENTERED INTO A CONSENT ORDER WITH THE STATE OF MISSOURI, PURSUANT TO WHICH THE FIRM, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CONSENTED TO FINDINGS THAT UBS FINANCIAL ADVISORS MADE UNSUITABLE RECOMMENTATIONS RELATED TO VARIABLE ANNUITY AND CLOSED END MUTUAL FUND TRANSACTIONS AND THAT THE FIRM FAILED TO SUPERVISE ONE FINANCIAL ADVISOR RELATED TO CONDUCT THAT ENDED IN 2005. UBS AGREED TO THE SANCTIONS DETAILED IN THIS FILING.
Allegations: IT WAS ALLEGED THAT MARK HUGHES SOLD SHARES OF LEVERAGED, EXCHANGE TRADED FUND SECURITIES TO TWO VIRGINIA INVESTORS WHEN THE PRODUCTS WERE NOT SUITABLE GIVEN THE INVESTORS' INVESTMENT OBJECTIVES AND RISK TOLERANCE. Status: Final Sanction Detail: RESTITUTION. UBS PLACED MR. HUGHES UNDER HEIGHTENED SUPERVISION FOR A PERIOD OF ONE YEAR FROM THE DATE OF THE SETTLEMENT ORDER. Summary: IT WAS ALLEGED THAT MARK HUGHES SOLD SHARES OF LEVERAGED, EXCHANGE TRADED FUND SECURITIES TO TWO VIRGINIA INVESTORS WHEN THE PRODUCTS WERE NOT SUITABLE GIVEN THE INVESTORS' INVESTMENT OBJECTIVES AND RISK TOLERANCE.
Allegations: THE BUREAU OF SECURITIES ALLEGED THAT UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM NEW JERSEY CUSTOMERS WERE REGISTERED IN NEW JERSEY, AND (3) ENSURE THAT ORDERS TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS WARNED, ORDERED TO PAY A CIVIL MONETARY FINE OF $98,184.84 TO THE STATE OF NEW JERSEY, AND ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN NEW JERSEY BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN NEW JERSEY. UBS ALSO AGREED TO PAY $10,000.00 TO NASAA IN CONSIDERATION OF THE COSTS OF INVESTIGATION, AND TO PAY UP TO A TOTAL OF S4,586,555 IN FINES AND PENALTIES AMONG THE 50 STATES, THE DISTRICT OF COLUMBIA, PUERTO RICO, AND THE U.S. VIRGIN ISLANDS PURSUANT TO THE TERMS OF UBS'S AGREEMENT WITH THE NASAA MUTLI-STATE WORKING GROUP. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE TEXAS STATE SECURITIES BOARD ALLEGED THAT UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM TEXAS CUSTOMERS WERE REGISTERED IN TEXAS, AND (3) ENSURE THAT ORDERS TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS REPRIMANDED AND ORDERED TO PAY A CIVIL MONETARY FINE OF $364,707.23. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE STATE OF VERMONT DEPARTMENT OF FINANCIAL REGULATION ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM VERMONT CUSTOMERS WERE REGISTERED IN VERMONT, AND (3) ENSURE THAT ORDERS TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS ORDERED TO PAY A CIVIL MONETARY FINE OF $63,631.24 TO THE STATE OF VERMONT, AND ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN VERMONT BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN VERMONT. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE DELAWARE DEPT OF JUSTICE DIVISION OF SECURITIES ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM DELAWARE CUSTOMERS WERE REGISTERED IN DELAWARE, AND (3) ENSURE THAT ORDERS TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS REPRIMANDED AND ORDERED TO PAY A CIVIL MONETARY FINE OF $70,077.02 TO STATE OF DELAWARE, AND ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN DELAWARE BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN DELAWARE . Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE OFFICE OF THE GEORGIA COMMISSIONER OF SECURITIES ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1)MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM GEORGIA CUSTOMERS WERE REGISTERED IN GEORGIA, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS ORDERED TO PAY A TOTAL OF $88,569.00 TO THE STATE OF GEORGIA, $73,569.00 OF THIS WAS A CIVIL PENALTY AND $15,000.00 A REIMBURSMENT TO THE COMMISONER FOR INVESTIGATIVE COSTS. THE FIRM WAS ALSO ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN GEORGIA BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN GEORGIA. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE MISSISSIPPI OFFICE OF THE SECRETARY OF STATE, SECURITIES AND CHARITIES DIVISION ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1)MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM MISSISSIPPI CUSTOMERS WERE REGISTERED IN MISSISSIPPI , AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS ORDERED TO PAY A TOTAL OF $60,302.68 TO THE STATE OF MISSISSIPPI. THE FIRM WAS ALSO ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN MISSISSIPPI BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN MISSISSIPPI. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE ALASKA DEPT. OF COMMUNITY AND ECONOMIC DEVELOPMENT DIVISION OF BANKING, SECURITIES AND CORPORATIONS ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1)MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM ALASKA CUSTOMERS WERE REGISTERED IN ALASKA, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS ORDERED TO PAY A TOTAL OF $64,661.51 TO THE STATE OF ALASKA. THE FIRM WAS ALSO ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN ALASKA BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN ALASKA. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE STATE OF NEW HAMPSHIRE BUREAU OF SECURITIES REGULATION ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1)MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM NEW HAMPSHIRE CUSTOMERS WERE REGISTERED IN NEW HAMPSHIRE, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS ORDERED TO PAY A TOTAL OF $84,342.26 TO THE STATE OF NEW HAMPSHIRE, $50,000 OF THIS IS A FINE, AND THE BALANCE OF $34,342.26 IS TO COVER BACK OWED LICENSING FEES. THE FIRM WAS ALSO CENSURED AND ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN NEW HAMPSHIRE BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN NEW HAMPSHIRE. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE STATE OF WASHINGTON DEPARTMENT OF FINANCIAL INSTITUTIONS ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1)MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM WASHINGTON CUSTOMERS WERE REGISTERED IN WASHINGTON, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS ORDERED TO PAY A TOTAL OF $80,432.53 TO THE STATE OF WASHINGTON. THE FIRM WAS ALSO ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN WASHINGTON BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN WASHINGTON. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE STATE OF INDIANA, OFFICE OF THE SECRETARY OF STATE, SECURITIES DIVISION ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1)MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM INDIANA CUSTOMERS WERE REGISTERED IN INDIANA, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS ORDERED TO PAY A TOTAL OF $62,680.22 TO THE STATE OF INDIANA. THE FIRM WAS ALSO ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN INDIANA BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN INDIANA. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE WISCONSIN DEPARTMENT OF FINANCIAL INSTITUTIONS DIVISION OF SECURITIES ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM WISCONSIN CUSTOMERS WERE REGISTERED IN WISCONSIN, AND (3) ENSURE THAT ORDERS TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS CENSURED AND ORDERED TO PAY A CIVIL MONETARY FINE OF $93,112.75 TO STATE OF WISCONSIN, AND ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN WISCONSIN BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN WISCONSIN. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE PUERTO RICO COMMISSION OF FINANCIAL INSTITUTIONS ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM PUERTO RICO CUSTOMERS WERE REGISTERED IN PUERTO RICO, AND (3) ENSURE THAT ORDERS TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS REPRIMANDED AND ORDERED TO PAY A CIVIL MONETARY FINE OF $59,510.17 TO PUERTO RICO, AND ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN PUERTO RICO BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN PUERTO RICO. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE ARKANSAS SECURITIES DEPARTMENT ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM ARKANSAS CUSTOMERS WERE REGISTERED IN ARKANSAS, AND (3) ENSURE THAT ORDERS TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS ORDERED TO PAY A CIVIL MONETARY FINE OF $70,605.36 TO ARKANSAS, AND ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN ARKANSAS BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN ARKANSAS. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE DEPARTMENT OF BUSINESS REGULATION STATE OF RHODE ISLAND ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM RHODE ISLAND CUSTOMERS WERE REGISTERED IN RHODE ISLAND, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS ORDERED TO PAY A CIVIL MONETARY FINE OF $66,484.29 TO RHODE ISLAND, AND ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN RHODE ISLAND BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN RHODE ISLAND. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE COMMONWEALTH OF VIRGINIA STATE CORPORATION COMMISSION ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM VIRGINIA CUSTOMERS WERE REGISTERED IN VIRGINIA, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS ORDERED TO PAY A CIVIL MONETARY FINE OF $75,677.45 TO VIRGINIA. $50,000 OF THIS WAS A CIVIL PENALTY AND $25,677.45 A REIMBURSMENT TO THE DIVISION. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE OHIO DIVISION OF SECURITIES ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM OHIO CUSTOMERS WERE REGISTERED IN OHIO, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS ORDERED TO PAY A CIVIL MONETARY FINE OF $87,723.66 TO OHIO, AND ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN OHIO BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN OHIO. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE UTAH DEPARTMENT OF COMMERCE DIVISION OF SECURITIES ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM UTAH CUSTOMERS WERE REGISTERED IN UTAH, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS CENSURED AND ORDERED TO PAY A CIVIL MONETARY FINE OF $70,288.35 TO UTAH, AND ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN UTAH BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN UTAH. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE OFFICE OF SECRETARY OF STATE, STATE OF MISSOURI, SECURITIES DIVISION ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM MISSOURI CUSTOMERS WERE REGISTERED IN MISSOURI, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS CENSURED AND ORDERED TO PAY A CIVIL MONETARY FINE OF $74,039.59 TO MISSOURI, AND ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN MISSOURI BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN MISSOURI. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE IOWA SECURITIES AND REGULATED INDUSTRIES BUREAU ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM IOWA CUSTOMERS WERE REGISTERED IN IOWA, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS ORDERED TO PAY A CIVIL MONETARY FINE OF $68,174.98 TO IOWA, OF THIS $33,837.49 WENT TO THE IOWA SECURITIES INVESTOR EDUCATION AND TRAINING FUND, $500 WENT TO THE IOWA INSURANCE DIVISION FOR INVESTIGATIVE COSTS AND $33,837.49 WENT TO THE INVESTOR PROTECTION TRUST. ADDTIONALLY, UBS WAS ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN IOWA BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN IOWA. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE SECURITIES COMMISSIONER OF SOUTH CAROLINA ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM SOUTH CAROLINA CUSTOMERS WERE REGISTERED IN SOUTH CAROLINA, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS REPRIMANDED AND ORDERED TO PAY A CIVIL MONETARY FINE OF $112,185.92 TO SOUTH CAROLINA. ADDTIONALLY, UBS WAS ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN SOUTH CAROLINA BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN SOUTH CAROLINA. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE TENNESSEE DEPARTMENT OF COMMERCE & INSURANCE SECURITIES DIVISION ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM TENNESSEE CUSTOMERS WERE REGISTERED IN TENNESSEE, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS ORDERED TO PAY A CIVIL MONETARY FINE OF $75,096.27 TO TENNESSEE. OF THAT $25,096.27 PAYABLE TO THE SECURITIES DIVISION BROKER DEALER REGISTRATION ACCOUNT, AND $50,000.00 PAYABLE TO THE SECURITIES DIVISION ENFORCEMENT/LEGAL TRAINING FUND. ADDTIONALLY, UBS WAS ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN TENNESSEE BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN TENNESSEE. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE NEW MEXICO REGULATION AND LICENSING DEPARTMENT SECURITIES DIVISION ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM NEW MEXICO CUSTOMERS WERE REGISTERED IN NEW MEXICO, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS REPRIMANDED AND ORDERED TO PAY A CIVIL MONETARY FINE OF $73,775.41 TO NEW MEXICO. ADDTIONALLY, UBS WAS ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN NEW MEXICO BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN NEW MEXICO. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE COLORADO DIVISION OF SECURITIES ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM COLORADO CUSTOMERS WERE REGISTERED IN COLORADO, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS CENSURED AND ORDERED TO PAY A CIVIL MONETARY FINE OF $63,314.23 TO COLORADO. ADDTIONALLY, UBS WAS ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN COLORADO BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN COLORADO. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE STATE OF MAINE OFFICE OF SECURITIES ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM MAINE CUSTOMERS WERE REGISTERED IN MAINE, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS CENSURED AND ORDERED TO PAY A CIVIL MONETARY FINE OF $63,208.56 TO MAINE. ADDTIONALLY, UBS WAS ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN MAINE BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN MAINE. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE ALABAMA SECURITIES COMMISSION ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM ALABAMA CUSTOMERS WERE REGISTERED IN ALABAMA, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS ORDERED TO PAY A CIVIL MONETARY FINE OF $67,435.30 TO ALABAMA. $60,000 WAS PAYABLE TO THE ALABAMA SECURITIES COMMISSION FOR REIMBURSEMENT OF INVESTIGATIVE COSTS AND EXPENSES AND $7,435.30 PAYABLE TO THE INVESTOR PROTECTION TRUST. ADDTIONALLY, UBS WAS ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN ALABMA BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN ALABAMA. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE FLORIDA FINANCIAL SERVICES COMMISSION OFFICE OF FINANCIAL REGULATION ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM FLORIDA CUSTOMERS WERE REGISTERED IN FLORIDA, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS ORDERED TO PAY A CIVIL MONETARY FINE OF $114,986.13 TO FLORIDA. ADDTIONALLY, UBS WAS ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN FLORIDA BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN FLORIDA. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE COMMONWEALTH OF KENTUCKY, PUBLIC PROTECTION CABINET, DEPARTMENT OF FINANCIAL INSTITUTIONS ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM KENTUCKY CUSTOMERS WERE REGISTERED IN KENTUCKY, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS CENSURED AND ORDERED TO PAY A CIVIL MONETARY FINE OF $66,642.79 TO KENTUCKY. ADDTIONALLY, UBS WAS ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN KENTUCKY BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN KENTUCKY. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE KANSAS OFFICE OF THE SECURITIES COMMISSIONER ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM KANSAS CUSTOMERS WERE REGISTERED IN KANSAS, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS CENSURED AND ORDERED TO PAY A CIVIL MONETARY FINE OF $68,888.25 TO KANSAS. ADDTIONALLY, UBS WAS ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN KANSAS BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN KANSAS. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE NEBRASKA DEPARTMENT OF BANKING AND FINANCE ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM NEBRASKA CUSTOMERS WERE REGISTERED IN THE STATE OF NEBRASKA, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS ORDERED TO PAY A CIVIL MONETARY FINE OF $60,355.51 TO THE STATE OF NEBRASKA. $50,000 OF THIS WAS AN ADMINSTRATIVE MONETARY ASSESSMENT AND $10,000 WAS REIMBURSEMENT FOR PAST DUE AGENT REGISTRATION FEES. ADDTIONALLY, UBS WAS ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN NEBRASKA BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN THE STATE OF NEBRASKA. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE SOUTH DAKOTA, DEPARTMENT OF LABOR AND REGULATION, DIVISION OF SECURITIES ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM SOUTH DAKOTA CUSTOMERS WERE REGISTERED IN THE STATE OF SOUTH DAKOTA, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS ORDERED TO PAY A CIVIL MONETARY FINE OF $71,133.70 TO THE STATE OF SOUTH DAKOTA. $50,000 OF THIS WAS AN ADMINSTRATIVE PENALTY, $21,133.70 WAS REIMBURSEMENT FOR PAST DUE AGENT REGISTRATION FEES. ADDTIONALLY, UBS WAS ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN SOUTH DAKOTA BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN THE STATE OF SOUTH DAKOTA. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE STATE OF OKLAHOMA DEPARTMENT OF SECURITIES ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM OKLAHOMA CUSTOMERS WERE REGISTERED IN THE STATE OF OKLAHOMA, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS ORDERED TO PAY A CIVIL MONETARY FINE OF $64,265.25 TO THE STATE OF OKLAHOMA. $50,000 OF THIS WAS A CIVIL PENALTY, $14,265.25 WAS REIMBURSEMENT FOR PAST DUE AGENT REGISTRATION FEES. ADDTIONALLY, UBS WAS ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN OKLAHOMA BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN THE STATE OF OKLAHOMA. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE STATE OF LOUISIANA OFFICE OF FINANCIAL INSTITUTIONS COMMISSIONER OF SECURITIES ALLEGED THAT DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2010 UBS DID NOT ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO (1) MONITOR THE STATE REGISTRATION STATUS OF CLIENT SERVICE ASSOCIATES ACCEPTING UNSOLICITED ORDERS, (2) ENSURE THAT CLIENT SERVICE ASSOCIATES WHO ACCEPTED UNSOLICITED ORDERS FROM LOUISIANA CUSTOMERS WERE REGISTERED IN THE STATE OF LOUISIANA, AND (3) ENSURE THAT ORDER TICKETS ACCURATELY IDENTIFIED THE EMPLOYEE WHO ACCEPTED THE ORDER FROM THE CUSTOMER. Status: Final Sanction Detail: UBS WAS ORDERED TO PAY A CIVIL MONETARY FINE OF $70,922.36 TO THE STATE OF LOUISIANA. $50,000 OF THIS WAS A BASE ASSESSMENT, $20,922.36 WAS REIMBURSEMENT FOR PAST DUE AGENT REGISTRATION FEES. ADDTIONALLY, UBS WAS ORDERED TO CEASE AND DESIST THE ACCEPTANCE OF ORDERS IN LOUISIANA BY CLIENT SERVICE ASSOCIATES NOT REGISTERED IN THE STATE OF LOUISIANA. Summary: UBS ENHANCED ITS ORDER ENTRY SYSTEMS TO AUTOMATICALLY VALIDATE THAT THE PERSON WHO ACCEPTED THE ORDER FROM THE CUSTOMER IS REGISTERED IN THE STATE OF THE CUSTOMER'S RESIDENCE.
Allegations: THE STATE OF VERMONT DEPARTMENT OF FINANCIAL REGULATION ALLEGED THAT UBS HAD INADEQUATE SUPERVISORY PROCESSES AND PROCEDURES REGARDING THE RECOMMENDATION AND ENGAGEMENT OF A THIRD PARTY INVESTMENT MANAGER ON ONE OF THE FIRM'S SEPARATELY MANAGED ACCOUNT PLATFORMS IN CONNECTION WITH CERTAIN VERMONT CLIENTS. Status: Final Sanction Detail: FINE OF $325,000 PAID. Summary: UBS IMPLEMENTED CERTAIN ENHANCEMENTS TO ITS SUPERVISORY PROCESSES AND PROCEDURES TO ADDRESS AND RESOLVE THE CONCERNS RAISED.
Allegations: FAILED TO SUPERVISE IN VIOLATION OF 409.204(A)(2)(J) Status: Final Sanction Detail: PAINEWEBBER WILL PROVIDE EDUCATION MATERIALS TO ALL EXISTING AND NEW CLIENTS FOR A PERIOD OF 3 YEARS. FINED IN THE AMOUNT OF $75,000. PAINEWEBBER WAS RELEASED FROM THE PROVISION IN THE CONSENT ORDER WHICH REQUIRED THE FIRM TO SEND INFORMATION TO MISSOURI INVESTORS. THE OTHER PROVISIONS OF THE CONSENT ORDER REMAIN UNCHANGED.
Allegations: VIOLATED GEORGIA INSURANCE CODE Status: Final Sanction Detail: CEASE AND DESIST ORDER AND $4,200 PENALTY.
Allegations: AGENT CHRIS SHOOT SOLICITED PERSONAL LOANS FROM CLIENTS FOR A TOTAL AMOUNT EXCEEDING $50,000. SHOOT AND PAINEWEBBER WERE NAMED IN AN ADMINISTRATIVE COMPLAINT FILED BY THE DIVISION Status: Final Sanction Detail: THE DIVISION ENTERED INTO A CONSENT AGREEMENT WITH PAINEWEBBER WHEREBY PAINEWEBBER AGREED TO PAY THE DIVISION CIVIL PENALTIES A FULL RESTITUTION AND INTEREST TO ALL PAINEWEBBER CLIENTS WHO WERE FOUND TO BE VICTIMS OF AGENT SHOOT'S SOLICITATIONS FOR PERSONAL LOANS. SHOOT HAS BEEN TERMINATED BY PAINEWEBBER AND IS NOT A PARTY TO THE CONSENT AGREEMENT.
Allegations: THE DEPARTMENT ALLEGED THAT PAINEWEBBER OPERATED TWO BRANCH OFFICES, LOCATED IN MIAMI & PENSACOLA, FLORIDA, THAT WERE NOT LICENSED WITH THE DEPARTMENT, THEREBY VIOLATING THE REGISTRATION PROVISION OF CHAPTER 517, FLORIDA STATUTES. Status: Final Sanction Detail: PAINEWEBBER CONSENTED, WITHOUT ADMITTING OR DENYING OR LIABILITY, TO PAY AN ADMINISTRATIVE FINE OF $10,000. IN ACCORDANCE WITH THE STIPULATIONS & CONSENT AGREEMENT,THE DEPARTMENT AGREED TO APPROVE PAINEWEBBER'S APPLICATIONS TO REGISTER ITS BRANCH IN MIAMI & PENSACOLA.
Allegations: MARYLAND SECURITIES DIVISION ALLEGED THAT PAINEWEBBER ("PW") VIOLATED SECTION 11-402 OF MARYLAND SECURITIES ACT AND THE TERMS OF 1992 & 1993 CONSENT ORDERS BY EMPLOYING AN UNREGISTERED INVESTMENT ADVISOR WHO ENGAGED IN ACTIVITIES REQUIRING SUCH REGISTRATION DURING THE PERIOD OF 10/90 TO 9/94. Status: Final Sanction Detail: ON 2/8/96. PW AGREED TO CONSENT ORDER REQUIRING PW TO REGISTER WITH THE STATE AS INVESTMENT ADVISORS ALL BRANCH MANAGERS AND BROKER-DEALER AGENTS LOCATED IN MARYLAND WITHIN 60 DAYS OF ENTRY OF ORDER AND TO MAINTAIN COMPLIANCE WITH TERMS OF 1992 & 1993 CONSENT ORDERS. PW WAS FINED $25,000. ON MARCH 29, 1999, THE STATE AMENDED THE CONSENT ORDER ELIMINATING THE FIRM'S REQUIREMENT TO CONTINUE COMPLIANCE WITH CERTAIN TERMS OF THE 1996 ORDER.
Allegations: ALLOWED ITS EMPLOYEES TO ACT AS UNREGISTRED INVESTMENT ADVISOR REPRESENTATIVES BY HOLDING OUT AS INVESTMENT ADVISORS IN MARYLAND WITHOUT PROPER REGISTRATION WITH THE DIVISION Status: Final Sanction Detail: PAINEWEBBER WAS ORDERED TO PAY $10,000 AND TO TAKE SPECIFIC ACTIONS TO ENHANCE RESPONDENT'S COMPLIANCE WITH MARYLAND'S INVESTMENT ADVISOR LAWS (INCLUDING ITS REQUIREMENT THAT INDIVIDUALS WHO ARE HOLDING OUT AS INVESTMENT ADVISORS BY THE USE OF THAT OR ANY SIMILAR TERM BE REGISTERED AS INVESTMENT ADVISORS)
Allegations: ON SEPTEMBER 27, 1995, THE VERMOTN DEPART. OF BANKING, INSURANCE & SECURITIES ENTERED AN ORDER ALLEGING THAT, BETWEEN 1984 & 1988, PAINE WEBBER INCORPORATED DID NOT REASONABLE SUPERVISE TWO FORMER INVESTMENT EXECUTIVES WITH RESPECT TO CERTAIN OUTSIDE ACTITITIES AND LIMITED PARTNERSHIP INVESTMENT RECOMMENDATIONS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PAINEWEBBER AGREED AMONG OTHER THINGS, TO PAY AN ADMINISTRATIVE FINE OF $100,000.
Allegations: THE ORDER ALLEGED THAT PAINEWEBBER FAILED TO REASONABLY SUPERVISE REGISTERED RESPRESENTATIVE, JOSEPH BONURA; FURTHER THAT MR. BONURA HAD MADE A MISREPRESENTATION TO A PROSPECTIVE CLIENT. Status: Final Sanction Detail: THE MASSACHUSETTS SECURITIES DIVISION ENTERED AN ORDER INSTITUTION PROCEEDING, MAKING FINDINGS, AND IMPOSING SANCTIONS RELATIVE TO PAINEWEBBER AND REGISTERED REPRESENTATIVE, JOSEPH BONURA. THE ORDER FOUND THAT PAINEWEBBER FAILED TO REASONABLY SUPERVISE MR. BONURA AND THAT MR. BONURA HAD MADE A WILLFUL MISREPRESENTATION TO A PROSPECTIVE CUSTOMER. PAINEWEBBER WAS ORDERED TO ADOPT CERTAIN NEW SUPERVISORY PROCEDURES, TO SPECIALLY SUPERVISE MR. BONURA FOR ONE YEAR, AND TO PAY A FINE OF $1,000. MR BONURA WAS ALSO SANCTIONED. MR. BONURA TERMINATED EMPLOYMENT WITH PAINEWEBBER ON AUGUST 13,1990
Allegations: FAILURE TO SUPERVISE REASONABILY THREE INVESTMENT EXECUTIVES FORMERLY EMPLOYED BY THE FIRM. Status: Final Sanction Detail: CONSENT AGREEMENT AND UNDERTAKING; WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO PREPARE REPORTS CONCERNING CUSTOMER COMPLAINTS, TO REIMBURSE THE CFI FOR THE COSTS OF INVESTIGATION AND TO CONTRIBUTE $99,000 TO PUBLIC TRAINING AND EDUCATION FUNDS.
Allegations: PWI FAILED AND NEGLECTED TO ESTABLISH, MAINTAIN AND/OR ENFORCE WRITTEN SUPERVISORY PROCEDURES WHICH WOULD ENABLE THEM TO EXERCISE REASONABLE AND PROPER SUPERVISION OF THEIR EMPLOYEES AND REGISTERED REPRESENTATIVES. DURING THE PERIOD OF 12/87-3/88, PWI EMPLOYEES EXERCISED DISCRETIONARY POWER IN A CUSTOMER'S ACCOUNT WITHOUT PRIOR WRITTEN AUTHORIZATION AND OBTAINED PERSONAL LOANS FROM CUSTOMERS. Status: Final Sanction Detail: PAINEWEBBER CONSENTED TO AN EXTRA REVIEW OF ALL ORDER TICKETS FOR A PERIOD OF TWO (2) YEARS AND PAYMENT OF $87,000.00 TO COVER COSTS OF INVESTIGATION. PAINEWEBBER MUST ALSO ATTEST THAT NEW POLICIES AND PROCEDURES HAVE BEEN IMPLEMENTED AND THAT ALL SUPERVISORS OF THE BIRMINGHAM, AL OFFICE HAVE ATTENDED A TWO (2) DAY SEMINAR APPRISING THEM OF THESE NEW POLICIES AND PROCEDURES.
Allegations: ON 19 DECEMBER 2012 THE SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY ANNOUNCED THAT IT CONCLUDED ITS ADMINISTRATIVE PROCEEDINGS AGAINST UBS AG IN CONNECTION WITH THE SUBMISSION OF BENCHMARK INTEREST RATES. IN ITS ORDER, FINMA ESTABLISHED THAT UBS VIOLATED SWISS FINANCIAL MARKET LEGISLATION, IMPOSED SUPERVISORY MEASURES AND DISGORGEMENT OF CHF 59 MILLION TO THE SWISS CONFEDERATION. Status: Final Sanction Detail: DISGORGEMENT OF CHF 59 MILLION TO THE SWISS CONFEDERATION PLUS CHF 1.6M IN PROCEDURAL COSTS TO FINMA.
Allegations: ON MAY 20, 2015, THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ISSUED AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONETARY PENALTY ISSUED UPON CONSENT (THE "FEDERAL RESERVE ORDER") TO UBS AG. AS PART OF THE FEDERAL RESERVE ORDER, UBS AG AGREED TO PAY A $342 MILLION CIVIL MONETARY PENALTY. THE FEDERAL RESERVE'S ORDER IS BASED ON THE FEDERAL RESERVE'S FINDING THAT UBS AG HAD DEFICIENT POLICIES AND PROCEDURES THAT PREVENT UBS AG FROM DETECTING AND ADDRESSING UNSAFE AND UNSOUND CONDUCT BY FOREIGN EXCHANGE TRADERS AND SALESPEOPLE, INCLUDING DISCLOSURES TO TRADERS OF OTHER INSTITUTIONS OF CONFIDENTIAL CUSTOMER INFORMATION, AGREEMENTS WITH TRADERS OF OTHER INSTITUTIONS TO COORDINATE FOREIGN EXCHANGE TRADING IN A MANNER TO INFLUENCE THE WM/R AND ECB FOREIGN EXCHANGE BENCHMARKS FIXES AND MARKET PRICES, TRADING STRATEGIES THAT RAISED POTENTIAL CONFLICTS OF INTEREST, POSSIBLE AGREEMENTS WITH TRADERS OF OTHER INSTITUTIONS REGARDING BID/OFFER SPREADS OFFERED TO FOREIGN EXCHANGE CUSTOMERS, THE PROVISION OF INFORMATION TO CUSTOMERS REGARDING PRICE QUOTES, AND THE PROVISION OF INFORMATION TO CUSTOMERS ABOUT HOW A CUSTOMER'S FOREIGN EXCHANGE ORDER IS FILLED. Status: Final Sanction Detail: $342 MILLION CIVIL MONETARY PENALTY AND CEASE AND DESIST ORDER.
Allegations: THE OFFICE OF THE COMPTROLLER OF THE CURRENCY FOUND THAT UBS AG, NEW YORK BRANCH, UBS AG, STAMFORD BRANCH, UBS AG, MIAMI BRANCH, (COLLECTIVELY, THE "UBS BRANCHES") HAD DEFICIENCIES IN THEIR BANK SECRECY ACT AND ANTI-MONEY LAUNDERING COMPLIANCE PROGRAM THAT RESULTED IN VIOLATIONS OF 12 C.F.R. § 21.21 AND 12 C.F.R. § 21.11 AND OTHER VIOLATIONS. Status: Final Sanction Detail: ON MAY 31, 2018, THE UBS BRANCHES ENTERED INTO A CONSENT ORDER WITH THE OFFICE OF THE COMPTROLLER OF THE CURRENCY ("OCC"), WHICH FOUND DEFICIENCIES IN THE BRANCHES' BANK SECRECY ACT AND ANTI-MONEY LAUNDERING COMPLIANCE PROGRAM THAT RESULTED IN VIOLATIONS OF 12 C.F.R. § 21.21 AND 12 C.F.R. § 21.11 AND OTHER VIOLATIONS. WITHOUT ADMITTING OR DENYING THE OCC'S FINDINGS, THE UBS BRANCHES CONSENTED TO THE ENTRY OF THE CONSENT ORDER PURSUANT TO WHICH THE UBS BRANCHES SHALL COMPLY WITH THE UNDERTAKINGS SET FORTH IN THE CONSENT ORDER. Summary: PURSUANT TO THE MAY 31, 2018 CONSENT ORDER, THE UBS BRANCHES SHALL COMPLY WITH THE UNDERTAKINGS SET FORTH THEREIN, INCLUDING SUBMITTING WRITTEN PROPOSALS FOR APPROVAL BY THE OCC, COVERING THE UBS BRANCHES' BANK SECRECY ACT AND ANTI-MONEY LAUNDERING COMPLIANCE PROGRAM.
Allegations: ON FEBRUARY 18, 2009, FINMA, THE SWISS FINANCIAL MARKETS SUPERVISORY AUTHORITY, PUBLISHED THE RESULTS OF THE INVESTIGATION OF UBS AG'S CROSS-BORDER BUSINESS IN THE U.S. BY THE SWISS FEDERAL BANKING COMMISSION ("EBK"). THE EBK CONCLUDED THAT UBS AG HAD OPERATED ITS U.S. CROSS-BORDER BUSINESS IN A MANNER THAT "VIOLATED ITS WARRANTY AND ORGANIZATION REQUIREMENTS" UNDER THE SWISS BANKING ACT. THE EBK ENJOINED UBS AG FROM FURTHER OPERATING ITS CROSS-BORDER PRIVATE BANKING BUSINESS WITH PERSONS HAVING RESIDENCE OR DOMICILE IN THE US THROUGH ANY UBS ENTITIES NOT REGISTERED WITH THE SEC. Status: Final Sanction Detail: THE EBK BARRED UBS AG FROM FURTHER OPERATING THE CROSS-BORDER PRIVATE BANKING BUSINESS WITH PERSONS HAVING RESIDENCE OR DOMICILE IN THE USA THROUGH ANY UBS ENTITIES NOT REGISTERED WITH THE SEC. Summary: ON FEBRUARY 18, 2009, FINMA, THE SWISS FINANCIAL MARKETS SUPERVISORY AUTHORITY, PUBLISHED THE RESULTS OF THE INVESTIGATION OF UBS AG'S CROSS-BORDER BUSINESS IN THE U.S. BY THE SWISS FEDERAL BANKING COMMISSION ("EBK"). THE EBK CONCLUDED THAT UBS AG HAD OPERATED ITS U.S. CROSS-BORDER BUSINESS IN A MANNER THAT "VIOLATED ITS WARRANTY AND ORGANIZATION REQUIREMENTS" UNDER THE SWISS BANKING ACT. THE EBK ENJOINED UBS AG FROM FURTHER OPERATING ITS CROSS-BORDER PRIVATE BANKING BUSINESS WITH PERSONS HAVING RESIDENCE OR DOMICILE IN THE USA THROUGH ANY UBS ENTITIES NOT REGISTERED WITH THE SEC.
Allegations: THE STATE OF ILLINOIS SECURITIES DEPARTMENT FOUND THAT THE RESPONDENT:I. PROVIDED INACCURATE AND MISLEADING ACCOUNT STATEMENTS THAT REPORTED THE CURRENT VALUE OF CALLABLE CDS IN CLIENTS' PORTFOLIOS AT PAR/FACE AND VALUE; ANDII. FAILED TO IMPLEMENT AND SUPERVISE MEASURES TO ENSURE THAT THE INFORMATION GIVEN TO INVESTORS AND POTENTIAL INVESTORS REGARDING THE FEATURES OF CALLABLE CDS WAS ACCURATE. Status: Final Sanction Detail: SETTLED FOR $95,000 WITHOUT ADMITTING OR DENYING THE ALLEGATIONS. Summary: THE STATE OF ILLINOIS SECURITIES DEPARTMENT FOUND THAT THE RESPONDENT UBS FINANCIAL SERVICES PROVIDED INACCURATE AND MISLEADING ACCOUNT STATEMENTS REGARDING CALLABLE CDS AND FAILED TO IMPLEMENT AND SUPERVISE MEASURES TO ENSURE THAT THE INFORMATION WAS ACCURATE. SETTLED FOR $95,000 WITHOUT ADMITTING OR DENYING THE ALLEGATIONS.
Allegations: APPLICANT COMMITTED DISHONEST AND UNETHICAL PRACTICES IN THE SECURITIES BUSINESS UNDER ARS 44-1961(A)(13) WITHIN MEANING OF AAC R14-4-130. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT OF ARIZONA. IN ADDITION THE APPLICANT WAS ORDER TO COMPLY WITH THE SECURITIES ACT OF ARIZONA WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENCHANGED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS WARBURG LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $395,321 IS ALLOCATED TO ARIZONA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE ARIZONA SECURITIES COMMISSION CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS WARBURG LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT OF ARIZONA. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECURITIES ACT OF ARIZONA IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS WARBURG LLC. MUST PAY A TOTAL OF $80,000,000 (OF WHICH $395.321 IS ALLOCATED TO ARIZONA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ENGAGED IN DISHONEST AND UNETHICAL PRACTICES IN CONNECTION WITH THE OFFER AND SALE OF A SECURITY IN VIOLATION OF SECTION 36B-4(B) OF THE CONNECTICUT UNIFORM SECURITIES ACT AND FAILED TO MAINTAIN ADEQUATE SUPERVISORY PROCEDURES IN VIOLATION OF SECTION 36B-31-6F(B) OF THE REGULATIONS. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE CONNECTICUT UNIFORM SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE CONNECTICUT UNIFORM SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS WARBURG LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $262,402 IS ALLOCATED TO CONNECTICUT )INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE CONNECTICUT COMMISSIONER OF BANKING CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS WARBURG LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE CONNECTICUT UNIFORM SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE CONNECTICUT UNIFORM SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS WARBURG LLC. MUST PAY A TOTAL OF $80,000,000 (OF WHICH $262,402 IS ALLOCATED TO CONNECTICUT ) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: VIOLATIONS OF SECTIONS 8.E.(1)(B) AND 8.12.A. OF ILLINOIS SECURITIES LAWS OF 1953 AND FAILURE TO MAINTAIN ADEQUATE SUPERVISORY PROCEDURES IN VIOLATION OF SECTION 8.E.1.(E)(IV)OF THE ACT. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE ILLINOIS SECURITIES LAW. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE ILLINOIS SECURITIES LAW IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS WARBURG LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $956,921.00 IS ALLOCATED TO ILLINOIS) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE ILLINOIS SECURITIES DEPARTMENT CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS WARBURG LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE ILLINOIS SECURITIES LAW. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE ILLINOIS SECURITIES LAW IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS WARBURG LLC. MUST PAY A TOTAL OF $80,000,000 (OF WHICH $956.921.00 IS ALLOCATED TO ILLINOIS) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT VIOLATED THE OKLAHOMA SECURITIES ACT AND/ OR THE RULES OF THE OKLAHOMA SECURITIES DEPARTMENT BY ENGAGING IN DISHONEST AND UNETHICAL PRACTICES AND FAILING TO MAINTAIN ADEQUATE SUPERVISORY PROCEDURES. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE OKLAHOMA SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE OKLAHOMA SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS WARBURG LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $265,877 IS ALLOCATED TO OKLAHOMA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE OKLAHOMA DEPARTMENT OF SECURITIES CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS WARBURG LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE OKLAHOMA SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE OKLAHOMA SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS WARBURG LLC. MUST PAY A TOTAL OF $80,000,000 (OF WHICH $265,877 IS ALLOCATED TO OKLAHOMA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: THE FIRM ENGAGED IN ACTS AND PRACTICES IN VIOLATION OF ARKANSAS SECURITIES ACT, SECTION 23-42-308(A)(2)(G) IN CONNECTION WITH ISSUING RESEARCH REPORTS. THE FIRM ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED UNDER SECTION 23-42-308(A)(2)(J). Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 23-42-308(A)(2)(G) AND (A)(2)(J) OF ARKANSAS SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECTIONS 23-42-308(A)(2)(G) AND (A)(2)(J) OF ARKANSAS SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE ARKANSAS SECURITIES DEPARTMENT) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE ARKANSAS SECURITIES DEPARTMENT CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SECTIONS 23-42-308(A)(2)(G) AND (A)(2)(J) OF ARKANSAS SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECTIONS 23-42-308(A)(2)(G) AND (A)(2)(J) OF ARKANSAS SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO ARKANSAS SECURITIES DEPARTMENT) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: THE FIRM ENGAGED IN ACTS AND PRACTICES IN CONNECTION WITH ISSUING RESEARCH REPORTS IN VIOLATION OF SECTION 8-6-3(J)(7) OF THE ALABAMA SECURITIES ACT AND RULE 830-X-2-.06(2) PROMULGATED THEREUNDER. THE FIRM ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED BY RULE 830-X-3-.13(1) & (3). Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SECTIONS 8-6-3(J)(7) OF THE ALABAMA SECURITIES ACT AND RULES 830-X-3-.13(1)&(3) AND 830-X-2-.06(2) PROMULGATED THEREUNDER. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECTIONS 8-6-3(J)(7) OF THE ALABAMA SECURITIES ACT AND RULES 830-X-3-.13(1)&(3) AND 830-X-2-.06(2) PROMULGATED THEREUNDER IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $342,654 IS ALLOCATED TO ALABAMA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE ALABAMA SECURITIES COMMISSION CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SECTIONS 8-6-3(J)(7) OF THE ALABAMA SECURITIES ACT AND RULES 830-X-3-.13(1)&(3) AND 830-X-2-.06(2) PROMULGATED THEREUNDER. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECTIONS 8-6-3(J)(7) OF THE ALABAMA SECURITIES ACT AND RULES 830-X-3-.13(1)&(3) AND 830-X-2-.06(2) PROMULGATED THEREUNDER IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $342,654 IS ALLOCATED TO ALABAMA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF THE MARTIN ACT (ARTICLE 23-A OF THE GENERAL BUSINESS LAW) IN CONNECTION WITH ISSUING RESEARCH REPORTS. Status: Final Sanction Detail: ASSURANCE OF DISCONTINUANCE PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM ENGAGING IN ACTS IN VIOLATION OF THE MARTIN ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ASSURANCE OF DISCONTINUANCE AND WILL COMPLY WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES INCLUDING THAT APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC WILL NOT MAKE ALLOCATIONS OF "HOT" IPOS TO AN ACCOUNT OF AN EXECUTIVE OFFICER OR DIRECTOR OF A PUBLIC COMPANY. APPLICANT AND UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $1,462,158 IS ALLOCATED TO NEW YORK STATE) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE ATTORNEY GENERAL OF THE STATE OF NEW YORK BUREAU OF INVESTMENT PROTECTION CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OR LEGAL CONCLUSIONS CONTAINED IN THE ASSURANCE OF DISCONTINUANCE, THE APPLICANT ENTERED INTO THE ASSURANCE OF DISCONTINUANCE PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE MARTIN ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ASSURANCE OF DISCONTINUANCE AND WILL COMPLY WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES INCLUDING THAT APPLICANT AND UBS SECURITIES LLC WILL NOT MAKE ALLOCATIONS OF "HOT" IPOS TO ANY ACCOUNT OF ANY EXECUTIVE OFFICER OR DIRECTOR OF A PUBLIC COMPANY. APPLICANT AND UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $1,462,158 IS ALLOCATED TO NEW YORK STATE) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 292.330(13)(A)7 OF THE SECURITIES ACT OF KENTUCKY IN CONNECTION WITH ISSUING RESEARCH REPORTS. APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED UNDER SECTION 292.330(13)(A)9A OF THE SECURITIES ACT OF KENTUCKY. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 292.330(13)(A)7 AND 292.330(13)(A)9A OF THE SECURITIES ACT OF KENTUCKY. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECTIONS 292.330(13)(A)7 AND 292.330(13)(A)9A OF THE SECURITIES ACT OF KENTUCKY IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $311,423 IS ALLOCATED TO THE KENTUCKY DEPARTMENT OF FINANCIAL INSTITUTIONS) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE KENTUCKY DEPARTMENT OF FINANCIAL INSTITUTIONS CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SERVICES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SECTIONS 292.330(13)(A)7 AND 292.330(13)(A)9A OF THE SECURITIES ACT OF KENTUCKY. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECTIONS 292.330(13)(A)7 AND 292.330(13)(A)9A OF THE SECURITIES ACT OF KENTUCKY IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SERVICES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $311,423 IS ALLOCATED TO KENTUCKY DEPARTMENT OF FINANCIAL INSTITUTIONS) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 30-1413(7) OF THE IDAHO SECURITIES ACT IN CONNECTION WITH ISSUING RESEARCH REPORTS. THE APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED UNDER SECTION 12.01.08.119 OF THE IDAHO ADMINISTRATIVE PROCEDURES ACT. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTION 30-1413(7) OF THE IDAHO SECURITIES ACT AND SECTION 12.01.08.119 OF THE IDAHO ADMINISTRATIVE PROCEDURES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECTION 30-1413(7) OF THE IDAHO SECURITIES ACT AND SECTION 12.01.08.119 OF THE IDAHO ADMINISTRATIVE PROCEDURES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SERVICES LLC. MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO IDAHO) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION Summary: APPLICANT HAS SETTLED WITH THE DEPARTMENT OF FINANCE OF THE STATE OF IDAHO CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SERVICES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SECTION 30-1413(7) OF THE IDAHO SECURITIES ACT AND SECTION 12.01.08.119 OF THE IDAHO ADMINISTRATIVE PROCEDURES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECTION 30-1413(7) OF THE IDAHO SECURITIES ACT AND SECTION 12.01.08.119 OF THE IDAHO ADMINISTRATIVE PROCEDURES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SERVICES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO IDAHO) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF THE REVISED MAINE SECURITIES ACT, 32 M.R.S.A. SECTION 10313(1)(G) IN CONNECTION WITH ISSUING RESEARCH REPORTS. APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES AS REQUIRED UNDER 32 M.R.S.A. SECTION 10313(1)(J). Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SECTIONS 10313(1)(G) AND 10313(1)(J) OF THE REVISED MAINE SECURITIES ACT, 32 M.R.S.A. SECTIONS 10101 – 10713. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECTIONS 10313(1)(G) AND 10313(1)(J) OF THE REVISED MAINE SECURITIES ACT, 32 M.R.S.A. SECTIONS 10101 – 10713 IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SERVICES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO STATE OF MAINE OFFICE OF SECURITIES) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE STATE OF MAINE DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SERVICES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SECTIONS 10313(1)(G) AND 10313(1)(J) OF THE REVISED MAINE SECURITIES ACT, 32 M.R.S.A. SECTIONS 10101 – 10713. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECTIONS 10313(1)(G) AND 10313(1)(J) OF THE REVISED MAINE SECURITIES ACT, 32 M.R.S.A. SECTIONS 10101 – 10713 IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SERVICES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO STATE OF MAINE OFFICE OF SECURITIES) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 14.A(3) OF THE TEXAS SECURITIES ACT IN CONNECTION WITH ISSUING RESEARCH REPORTS. APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED UNDER SECTION 115.10 OF THE RULES AND REGULATIONS OF THE TEXAS STATE SECURITIES BOARD. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE TEXAS SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE TEXAS SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $1,606,657 IS ALLOCATED TO THE STATE OF TEXAS) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE TEXAS STATE SECURITIES BOARD CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE TEXAS SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE TEXAS SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $1,606,657 IS ALLOCATED TO THE STATE OF TEXAS) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT VIOLATED SECTION 7316(A)(7) OF THE DELAWARE SECURITIES ACT IN ISSUING RESEARCH REPORTS. APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED UNDER SECTION 7316(A)(10) OF THE DELAWARE SECURITIES ACT. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE DELAWARE SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE DELAWARE SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE SECURITIES COMMISSIONER OF THE STATE OF DELAWARE) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE SECURITIES COMMISSIONER OF THE STATE OF DELAWARE CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE DELAWARE SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE DELAWARE SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE SECURITIES COMMISSIONER OF THE STATE OF DELAWARE) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 485-15(7) OF THE HAWAII UNIFORM SECURITIES ACT IN ISSUING RESEARCH REPORTS. APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED UNDER SECTION 485-15(10). Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 485-15(7) AND 485-15(10) OF THE HAWAII UNIFORM SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE HAWAII UNIFORM SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF HAWAII) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE STATE OF HAWAII DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 485-15(7) AND 485-15(10) OF THE HAWAII UNIFORM SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE HAWAII UNIFORM SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF HAWAII) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 17-4-106(A)(II)(G) OF THE WYOMING SECURITIES ACT IN ISSUING RESEARCH REPORTS. APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED UNDER SECTION 17-4-106(B)(II)(A) OF THE WYOMING SECURITIES ACT. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 17-4-106(A)(II)(G) AND 17-4-106(B)(II)(A) OF THE WYOMING SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTIONS 17-4-106(A)(II)(G) AND 17-4-106(B)(II)(A) OF THE WYOMING SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO STATE OF WYOMING GENERAL FUND) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE WYOMING SECRETARY OF STATE AND THE WYOMING ATTORNEY GENERAL CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 17-4-106(A)(II)(G) AND 17-4-106(B)(II)(A) OF THE WYOMING SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTIONS 17-4-106(A)(II)(G) AND 17-4-106(B)(II)(A) OF THE WYOMING SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO STATE OF WYOMING GENERAL FUND) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 61-1-6(1)(G) OF THE UTAH UNIFORM SECURITIES ACT IN ISSUING RESEARCH REPORTS. APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED BY SECTION 61-1-6(1)(J) OF THE UTAH UNIFORM SECURITIES ACT. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE UTAH UNIFORM SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH UTAH UNIFORM SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF UTAH DIVISION OF SECURITIES) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE STATE OF UTAH DIVISION OF SECURITIES CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE UTAH UNIFORM SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE UTAH UNIFORM SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF UTAH DIVISION OF SECURITIES) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 517.161(1)(A) OF THE SECURITIES AND INVESTOR PROTECTION ACT AND RULE 3E-600.013(1)(P)IN ISSUING RESEARCH REPORTS. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTION 517.161(1)(A) OF THE FLORIDA SECURITIES AND INVESTOR PROTECTION ACT AND RULE 3E-600.013(1)(P) OF THE FLORIDA ADMINISTRATIVE CODE PROMULGATED THEREUNDER. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECTION 517.161(1)(A) OF THE FLORIDA SECURITIES AND INVESTOR PROTECTION ACT AND RULE 3E-600.013(1)(P) OF THE FLORIDA ADMINISTRATIVE CODE PROMULGATED THEREUNDER IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $1,231,461 IS ALLOCATED TO THE STATE OF FLORIDA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE STATE OF FL OFFICE OF FINANCIAL REGULATION CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS -$25 MILLION– WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SECTION 517.161(1)(A) OF THE FLORIDA SECURITIES AND INVESTOR PROTECTION ACT AND RULE 3E-600.013(1)(P) OF THE FLORIDA ADMINISTRATIVE CODE PROMULGATED THEREUNDER. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECTION 517.161(1)(A) OF THE FLORIDA SECURITIES AND INVESTOR PROTECTION ACT AND RULE 3E-600.013(1)(P) OF THE FLORIDA ADMINISTRATIVE CODE PROMULGATED THEREUNDER IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $1,231,461 IS ALLOCATED TO THE STATE OF FLORIDA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTIONS 10-5-4(A)(8) AND 10-5-12(A)(1) OF THE GEORGIA SECURITIES ACT OF 1973 AND RULE 590-4-2-.14(1) PROMULGATED THEREUNDER IN ISSUING RESEARCH REPORTS. APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES AS REQUIRED BY SECTIONS 10-5-4(A)(11) AND 10-5-12(A)(1) OF THE GEORGIA SECURITIES ACT OF 1973 AND RULE 590-4-.08(1) PROMULGATED THEREUNDER. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 10-5-4(A)(8) AND (11) AND 10-5-12(A)(1) OF THE GEORGIA SECURITIES ACT OF 1973 AND RULES 590-4-2-.08(1) AND 590-4-2-.14(1) PROMULGATED THEREUNDER. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE GEORGIA SECURITIES ACT OF 1973 AND THE RULES PROMULGATED THEREUNDER IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $630,775 IS ALLOCATED TO THE STATE OF GEORGIA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE COMMISSIONER OF SECURITIES OF THE STATE OF GEORGIA CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE GEORGIA SECURITIES ACT OF 1973 AND THE RULES PROMULGATED THEREUNDER. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE GEORGIA SECURITIES ACT OF 1973 AND THE RULES PROMULGATED THEREUNDER IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $630,775 IS ALLOCATED TO THE STATE OF GEORGIA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 451.604(A)(1)(G) OF THE MICHIGAN UNIFORM SECURITIES ACT IN ISSUING RESEARCH REPORTS. APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED BY SECTION 451.604(A)(2) OF THE MICHIGAN UNIFORM SECURITIES ACT. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 451.04(A)(1)(G) AND 451.604(A)(2) OF THE MICHIGAN UNIFORM SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTIONS 451.04(A)(1)(G) AND 451.604(A)(2) OF THE MICHIGAN UNIFORM SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $765,768 IS ALLOCATED TO THE STATE OF MICHIGAN) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE COMMISSIONER OF THE MICHIGAN OFFICE OF FINANCIAL AND INSURANCE SERVICES CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 451.04(A)(1)(G) AND 451.604(A)(2) OF THE MICHIGAN UNIFORM SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTIONS 451.04(A)(1)(G) AND 451.604(A)(2) OF THE MICHIGAN UNIFORM SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $765,768 IS ALLOCATED TO THE STATE OF MICHIGAN) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 75-71-321(A)(F) OF THE MISSISSIPPI SECURITIES ACT IN CONNECTION WITH ISSUING RESEARCH REPORTS. APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED UNDER SECTION 75-71-321(B)(A) OF THE MISSISSIPPI SECURITIES ACT. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE MISSISSIPPI SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE MISSISSIPPI SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF MISSISSIPPI) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE SECRETARY OF STATE OF MISSISSIPPI CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS FINANCIAL SERVICES INC. UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE MISSISSIPPI SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE MISSISSIPPI SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF MISSISSIPPI) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION7-11-212(B)(8) OF THE RHODE ISLAND UNIFORM SECURITIES ACT IN ISSUING RESEARCH REPORTS. APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED BY SECTION 7-11-212(B)(11) OF THE RHODE ISLAND UNIFORM SECURITIES ACT. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE RHODE ISLAND UNIFORM SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE RHODE ISLAND UNIFORM SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF RHODE ISLAND) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE RHODE ISLAND DEPARTMENT OF BUSINESS REGULATION CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE RHODE ISLAND UNIFORM SECURITIES ACT OF 1990 SECTION 7-11-101 ET SEQ. OF THE RHODE ISLAND GENERAL LAWS, 1989, AS AMENDED. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE RHODE ISLAND UNIFORM SECURITIES ACT OF 1990 SECTION 7-11-101 ET SEQ. OF THE RHODE ISLAND GENERAL LAWS, 1989, AS AMENDED IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF RHODE ISLAND) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 4221A(A)(8) OF THE VERMONT SECURITIES ACT IN ISSUING RESEARCH REPORTS. APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED BY SECTION 4221A(A)(11) OF THE VERMONT SECURITIES ACT. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 4221A(A)(8) AND 4221A(A)(11) OF THE VERMONT SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTIONS 4221A(A)(8) AND 4221A(A)(11) OF THE VERMONT SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF VERMONT) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE VERMONT DEPARTMENT OF BANKING, INSURANCE, SECURITIES AND HEALTH CARE CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 4221A(A)(8) AND 4221A(A)(11) OF THE VERMONT SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTIONS 4221A(A)(8) AND 4221A(A)(11) OF THE VERMONT SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF VERMONT) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 21.20.110(1)(G) OF THE SECURITIES ACT OF WASHINGTON IN ISSUING RESEARCH REPORTS. APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED BY SECTION 21.20.110(1)(J) OF THE SECURITIES ACT OF WASHINGTON. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT OF WASHINGTON. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECURITIES ACT OF WASHINGTON IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $454,149 IS ALLOCATED TO THE STATE OF WASHINGTON) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE WASHINGTON STATE SECURITIES DIVISION CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT OF WASHINGTON. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECURITIES ACT OF WASHINGTON IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $454,149 IS ALLOCATED TO THE STATE OF WASHINGTON) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 59.205(2) OF THE OREGON SECURITIES LAW IN ISSUING RESEARCH REPORTS. APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED BY SECTION 59.205(13) OF THE OREGON SECURITIES LAW. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING OREGON SECURITIES LAW. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH OREGON SECURITIES LAW IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $263,622 IS ALLOCATED TO THE STATE OF OREGON) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE OREGON DEPARTMENT OF CONSUMER AND BUSINESS SERVICES CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING OREGON SECURITIES LAW. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH OREGON SECURITIES LAW IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $263,622 IS ALLOCATED TO THE STATE OF OREGON) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION SECTION 49:3-58(A)(2)(VII) OF THE NEW JERSEY UNIFORM SECURITIES LAW IN ISSUING RESEARCH REPORTS. APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES IN RESEARCH AS REQUIRED BY SECTION 49:3-58(A)(2)(XI) OF THE NEW JERSEY UNIFORM SECURITIES LAW. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE NEW JERSEY UNIFORM SECURITIES LAW. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE NEW JERSEY UNIFORM SECURITIES LAW IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $648,335 IS ALLOCATED TO THE STATE OF NEW JERSEY) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE NEW JERSEY BUREAU OF SECURITIES CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE NEW JERSEY UNIFORM SECURITIES LAW. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE NEW JERSEY UNIFORM SECURITIES LAW IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC] MUST PAY A TOTAL OF $80,000,000 (OF WHICH $648,335 IS ALLOCATED TO THE STATE OF NEW JERSEY) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 11-51-410(1)(G) OF THE COLORADO SECURITIES ACT IN ISSUING RESEARCH REPORTS. APPLICANT FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED UNDER SECTION 11-51-*-410(1)(I). Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT IS PROHIBITED FROM FUTURE VIOLATIONS OF THE COLORADO SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE COLORADO SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $331,417 IS ALLOCATED TO THE STATE OF COLORADO) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE COLORADO SECURITIES COMMISSIONER CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT IS PROHIBITED FROM FUTURE VIOLATIONS OF THE COLORADO SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE COLORADO SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $331,417 IS ALLOCATED TO THE STATE OF COLORADO) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 48-2-112(A)(2)(G) OF THE TENNESSEE SECURITIES ACT IN ISSUING RESEARCH REPORTS. APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED BY SECTION 48-2-112(A)(2)(J) OF THE TENNESSEE SECURITIES ACT. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 48-2-112(A)(2)(G) AND 48-2-112(A)(2)(J) OF THE TENNESSEE SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTIONS 48-2-112(A)(2)(G) AND 48-2-112(A)(2)(J) OF THE TENNESSEE SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $438,366 IS ALLOCATED TO THE STATE OF TENNESSEE) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE COMMISSIONER OF COMMERCE AND INSURANCE OF THE STATE OF TENNESSEE CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SECTIONS 48-2-112(A)(2)(G) AND 48-2-112(A)(2)(J) OF THE TENNESSEE SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECTIONS 48-2-112(A)(2)(G) AND 48-2-112(A)(2)(J) OF THE TENNESSEE SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $438,366 IS ALLOCATED TO THE STATE OF TENNESSEE) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 45.55.060(A)(7) OF THE ALASKA SECURITIES ACT IN ISSUING RESEARCH REPORTS. APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED BY SECTION 45.55.060(B)(1) OF THE ALASKA SECURITIES ACT. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 45.55.060(A)(7) AND 45.55.060(B)(1) OF THE ALASKA SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTIONS 45.55.060(A)(7) AND 45.55.060(B)(1) OF THE ALASKA SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF ALASKA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE ALASKA DIVISION OF BANKING, SECURITIES AND CORPORATIONS CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 45.55.060(A)(7) AND 45.55.060(B)(1) OF THE ALASKA SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTIONS 45.55.060(A)(7) AND 45.55.060(B)(1) OF THE ALASKA SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF ALASKA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 23-2-1-11(A)(6) OF THE INDIANA SECURITIES ACT AND OF THE 710 INDIANA ADMINISTRATIVE CODE 1-17-1(W) IN ISSUING RESEARCH REPORTS. THE APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED UNDER SECTION 23-2-1-11(A)(4) OF THE INDIANA SECURITIES ACT AND OF THE 710 INDIANA ADMINISTRATIVE CODE 1-17-1(V). Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE INDIANA SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE INDIANA SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $468,508 IS ALLOCATED TO THE STATE OF INDIANA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE INDIANA SECURITIES COMMISSIONER CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE INDIANA SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE INDIANA SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $468,508 IS ALLOCATED TO THE STATE OF INDIANA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION17-1254(M)(7) OF THE KANSAS SECURITIES ACT IN ISSUING RESEARCH REPORTS. THE APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES OF RESEARCH AS REQUIRED BY SECTION 17-1254(M)(12) OF THE KANSAS SECURITIES ACT. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 17-1254(M)(7) AND (12) OF THE KANSAS SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTIONS 17-1254(M)(7) AND (12) OF THE KANSAS SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF KANSAS) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE KANSAS SECURITIES COMMISSIONER CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 17-1254(M)(7) AND (12) OF THE KANSAS SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTIONS 17-1254(M)(7) AND (12) OF THE KANSAS SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF KANSAS) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION SECTION 204(A)(2)(G) OF THE MASSACHUSETTS UNIFORM SECURITIES ACT IN ISSUING RESEARCH REPORTS. THE APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED BY SECTION 204(A)(2)(J) OF THE MASSACHUSETTS UNIFORM SECURITIES ACT. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 204(A)(2)(G) AND (J) OF THE MASSACHUSETTS UNIFORM SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTIONS 204(A)(2)(G) AND (J) OF THE MASSACHUSETTS UNIFORM SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $489,205 IS ALLOCATED TO THE COMMONWEALTH OF MASSACHUSETTS) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE MASSACHUSETTS SECURITIES DIVISION CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 204(A)(2)(G) AND (J) OF THE MASSACHUSETTS UNIFORM SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTIONS 204(A)(2)(G) AND (J) OF THE MASSACHUSETTS UNIFORM SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $489,205 IS ALLOCATED TO THE COMMONWEALTH OF MASSACHUSETTS) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 551.34(1)(G) OF THE WISCONSIN UNIFORM SECURITIES LAW IN ISSUING RESEARCH REPORTS. THE APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED BY SECTION 551.34(1)(J) OF THE WISCONSIN UNIFORM SECURITIES LAW. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE WISCONSIN UNIFORM SECURITIES LAW. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE WISCONSIN UNIFORM SECURITIES LAW IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $413,277 IS ALLOCATED TO THE STATE OF WISCONSIN) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE WISCONSIN DEPARTMENT OF FINANCIAL INSTITUTIONS, DIVISION OF SECURITIES CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE WISCONSIN UNIFORM SECURITIES LAW. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE WISCONSIN UNIFORM SECURITIES LAW IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $413,277 IS ALLOCATED TO THE STATE OF WISCONSIN) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 31-5602.07(A)(9) OF THE D.C. SECURITIES ACT OF 2000 IN ISSUING RESEARCH REPORTS. THE APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED BY SECTION 31-5602.07(A)(12). Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 31-5602(A)(9) AND 31-5602(A)(12) OF THE D.C. SECURITIES ACT OF 2000. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECTIONS 31-5602(A)(9) AND 31-5602(A)(12) OF THE D.C. SECURITIES ACT OF 2000 IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE DISTRICT OF COLUMBIA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE DISTRICT OF COLUMBIA DEPARTMENT OF INSURANCE AND SECURITIES REGULATION CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SECTIONS 31-5602(A)(9) AND 31-5602(A)(12) OF THE D.C. SECURITIES ACT OF 2000. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECTIONS 31-5602(A)(9) AND 31-5602(A)(12) OF THE D.C. SECURITIES ACT OF 2000 IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE DISTRICT OF COLUMBIA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 11-412(A)(7) OF THE MARYLAND SECURITIES ACT IN ISSUING RESEARCH REPORTS. THE APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES AS REQUIRED UNDER SECTION 11-412(A)(10) OF THE MARYLAND SECURITIES ACT. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE MARYLAND SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE MARYLAND SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $408,100 IS ALLOCATED TO THE STATE OF MARYLAND) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE SECURITIES COMMISSIONER OF MARYLAND CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE MARYLAND SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE MARYLAND SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $408,100 IS ALLOCATED TO THE STATE OF MARYLAND) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 80A.07, SUBDIVISION 1(7) OF THE MINNESOTA UNIFORM SECURITIES ACT IN ISSUING RESEARCH REPORTS. APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES AS REQUIRED BY CHAPTER 2875.0910, SUBPARAGRAPH 3 OF THE RULES PROMULGATED BY THE DEPARTMENT OF COMMERCE. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING CHAPTER 80A OF THE MINNESOTA UNIFORM SECURITIES ACT AND CHAPTER 2875 OF THE RULES PROMULGATED THEREUNDER. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH CHAPTER 80A OF THE MINNESOTA UNIFORM SECURITIES ACT AND CHAPTER 2875 OF THE RULES PROMULGATED THEREUNDER IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $379,051 IS ALLOCATED TO THE STATE OF MINNESOTA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE MINNESOTA DEPARTMENT OF COMMERCE CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING CHAPTER 80A OF THE MINNESOTA UNIFORM SECURITIES ACT AND CHAPTER 2875 OF THE RULES PROMULGATED THEREUNDER. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH CHAPTER 80A OF THE MINNESOTA UNIFORM SECURITIES ACT AND CHAPTER 2875 OF THE RULES PROMULGATED THEREUNDER IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $379,051 IS ALLOCATED TO THE STATE OF MINNESOTA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 90.420(1)(H) OF THE NEVADA UNIFORM SECURITIES ACT AND SECTION 90.327 OF THE NEVADA ADMINISTRATIVE CODE IN ISSUING RESEARCH REPORTS. THE APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED OF SECTION 90.420(1)(K) OF THE NEVADA UNIFORM SECURITIES ACT. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 90.420(1)(H) AND 90.420(1)(K) OF THE NEVADA UNIFORM SECURITIES ACT AND SECTION 90.327 OF THE NEVADA ADMINISTRATIVE CODE. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECTIONS 90.420(1)(H) AND 90.420(1)(K) OF THE NEVADA UNIFORM SECURITIES ACT AND SECTION 90.327 OF THE NEVADA ADMINISTRATIVE CODE IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF NEVADA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE NEVADA SECRETARY OF STATE CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 90.420(1)(H) AND 90.420(1)(K) OF THE NEVADA UNIFORM SECURITIES ACT AND SECTION 90.327 OF THE NEVADA ADMINISTRATIVE CODE. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTIONS 90.420(1)(H) AND 90.420(1)(K) OF THE NEVADA UNIFORM SECURITIES ACT AND SECTION 90.327 OF THE NEVADA ADMINISTRATIVE CODE IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF NEVADA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 47-31A-204(A)(2)(G) OF THE SOUTH DAKOTA UNIFORM SECURITIES ACT IN ISSUING RESEARCH REPORTS. THE APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES AS REQUIRED UNDER SECTION 47-31A-204(A)(2)(J) OF THE SOUTH DAKOTA UNIFORM SECURITIES ACT. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SOUTH DAKOTA UNIFORM SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SOUTH DAKOTA UNIFORM SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF SOUTH DAKOTA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE SOUTH DAKOTA DIRECTOR OF SECURITIES CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SOUTH DAKOTA UNIFORM SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SOUTH DAKOTA UNIFORM SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF SOUTH DAKOTA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF VIRGINIA SECURITIES RULE 21 VAC 5-20-280(E)(12) IN ISSUING RESEARCH REPORTS. THE APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED BY SECURITIES RULE 21 VAC 5-20-260. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECURITIES RULE 21 VAC 5-20-280(E)(12) AND RULE 21 VAC 5-20-260. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE VIRGINIA SECURITIES ACT AND THE REGULATIONS PROMULGATED THEREUNDER IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $545,408 IS ALLOCATED TO THE COMMONWEALTH OF VIRGINIA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE COMMONWEALTH OF VIRGINIA, STATE CORPORATION COMMISSION CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECURITIES RULE 21 VAC 5-20-280(E)(12) AND RULE 21 VAC 5-20-260. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE VIRGINIA SECURITIES ACT AND THE REGULATIONS PROMULGATED THEREUNDER IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $545,408 IS ALLOCATED TO THE COMMONWEALTH OF VIRGINIA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 10-04-11(1)(C) OF THE NORTH DAKOTA SECURITIES ACT IN ISSUING RESEARCH REPORTS. APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED BY SECTION 10-04-11(1)(M) OF THE NORTH DAKOTA SECURITIES ACT. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 10-04-11(1)(C) AND 10-04-11(1)(M) OF THE NORTH DAKOTA SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTIONS 10-04-11(1)(C) AND 10-04-11(1)(M) OF THE NORTH DAKOTA SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF NORTH DAKOTA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE NORTH DAKOTA SECURITIES DEPARTMENT CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 10-04-11(1)(C) AND 10-04-11(1)(M) OF THE NORTH DAKOTA SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTIONS 10-04-11(1)(C) AND 10-04-11(1)(M) OF THE NORTH DAKOTA SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF NORTH DAKOTA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF THE PENNSYLVANIA SECURITIES ACT OF 1972 AND THE REGULATIONS PROMULGATED THEREUNDER WITH RESPECT TO CERTAIN RESEARCH PRACTICES. Status: Final Sanction Detail: THE APPLICANT WAS ORDERED TO COMPLY WITH THE PENNSYLVANIA SECURITIES ACT OF 1972 IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $946,269 IS ALLOCATED TO THE COMMONWEALTH OF PENNSYLVANIA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE PENNSYLVANIA SECURITIES COMMISSION CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT THE APPLICANT COMPLY WITH THE PENNSYLVANIA SECURITIES ACT OF 1972 IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $946,269 IS ALLOCATED TO THE COMMONWEALTH OF PENNSYLVANIA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 30-10-201(13)(G) OF THE SECURITIES ACT OF MONTANA IN ISSUING RESEARCH REPORTS. THE APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED BY SECTION 30-10-201(13)(K) OF THE SECURITIES ACT OF MONTANA. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT OF MONTANA. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECURITIES ACT OF MONTANA IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF MONATANA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE STATE AUDITOR AND COMMISSIONER OF SECURITIES OF THE STATE OF MONTANA CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT OF MONTANA. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECURITIES ACT OF MONTANA IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLCMUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF MONTANA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF CHAPTER 1707 OF THE OHIO REVISED CODE [SECURITIES ACT OF OHIO] AND THE REGULATIONS PROMULGATED THEREUNDER, AS THEY RELATE TO DISHONEST OR UNETHICAL CONDUCT AND FAILURE TO SUPERVISE IN CONNECTION WITH CERTAIN RESEARCH PRACTICES. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING CHAPTER 1707 OF THE OHIO REVISED CODE. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE CHAPTER 1707 OF THE OHIO REVISED CODE IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $874,773 IS ALLOCATED TO THE STATE OF OHIO) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE OHIO DEPARTMENT OF COMMERCE, DIVISION OF SECURITIES CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE CHAPTER 1707 OF THE OHIO REVISED CODE. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE CHAPTER 1707 OF THE OHIO REVISED CODE IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $874,773 IS ALLOCATED TO THE STATE OF OHIO) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 8-1103(9)(A)(VII) OF THE SECURITIES ACT OF NEBRASKA IN ISSUING RESEARCH REPORTS. THE APPLICANT FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED BY SECTION 8-1103(9)(A)(XI) OF THE SECURITIES ACT OF NEBRASKA. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT OF NEBRASKA. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECURITIES ACT OF NEBRASKA IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF NEBRASKA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE STATE OF NEBRASKA, DEPARTMENT OF BANKING AND FINANCE CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT OF NEBRASKA. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE SECURITIES ACT OF NEBRASKA IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF NEBRASKA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: APPLICANT ACTED IN VIOLATION OF SECTION 32-2-204(A)(2)(G) OF THE WEST VIRGINIA UNIFORM SECURITIES LAW AND REGULATIONS IN ISSUING RESEARCH REPORTS. THE APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES AS REQUIRED BY SECTION 32-2-204(A)(2)(J) OF THE WEST VIRGINIA UNIFORM SECURITIES LAW AND REGULATIONS. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTION 32-2-204 OF THE WEST VIRGINIA UNIFORM SECURITIES LAW AND REGULATIONS. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTION 32-2-204 OF THE WEST VIRGINIA UNIFORM SECURITIES LAW AND REGULATIONS IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF WEST VIRGINIA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE WEST VIRGINIA COMMISSIONER OF SECURITIES CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTION 32-2-204 OF THE WEST VIRGINIA UNIFORM SECURITIES LAW AND REGULATIONS. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTION 32-2-204 OF THE WEST VIRGINIA UNIFORM SECURITIES LAW AND REGULATIONS IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF WEST VIRGINIA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: THE APPLICANT ACTED IN VIOLATION OF SECTION 58-13B-16.A(2)(H) OF THE NEW MEXICO SECURITIES ACT IN ISSUING RESEARCH REPORTS. THE APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED BY SECTION 58-13B-16.A(2)(H) AND (K) OF THE NEW MEXICO SECURITIES ACT AND RULE 12.11.4.10 PROMULGATED THEREUNDER. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 58-13B-16.A(H) AND (K) OF THE NEW MEXICO SECURITIES ACT AND RULE 12.11.4.10 PROMULGATED THEREUNDER. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTIONS 58-13B-16.A(H) AND (K) OF THE NEW MEXICO SECURITIES ACT AND RULE 12.11.4.10 PROMULGATED THEREUNDER IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $2,609,851 IS ALLOCATED TO THE STATE OF CALIFORNIA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE NEW MEXICO SECURITIES DIVISION CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 58-13B-16.A(H) AND (K) OF THE NEW MEXICO SECURITIES ACT AND RULE 12.11.4.10 PROMULGATED THEREUNDER. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTIONS 58-13B-16.A(H) AND (K) OF THE NEW MEXICO SECURITIES ACT AND RULE 12.11.4.10 PROMULGATED THEREUNDER IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $2,609,851 IS ALLOCATED TO THE STATE OF CALIFORNIA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: THE APPLICANT ACTED IN VIOLATION OF SECTION 78A-39(A)(2)(G) OF THE NORTH CAROLINA SECURITIES ACT AND RULES 18NCAC6.1414(A) AND 18 NCAC 6.1414(B)(33) OF THE NORTH CAROLINA ADMINISTRATIVE CODE IN ISSUING RESEARCH REPORTS AND BY FAILING TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTION78A-39(A)(2)(G) OF THE NORTH CAROLINA SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTION78A-39(A)(2)(G) OF THE NORTH CAROLINA SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $620,209 IS ALLOCATED TO THE STATE OF NORTH CAROLINA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE NORTH CAROLINA SECRETARY OF STATE CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTION78A-39(A)(2)(G) OF THE NORTH CAROLINA SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTION78A-39(A)(2)(G) OF THE NORTH CAROLINA SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $620,209 IS ALLOCATED TO THE STATE OF NORTH CAROLINA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: THE APPLICANT ACTED IN VIOLATION OF SECTION 25218 OF THE CALIFORNIA CORPORATIONS CODE AND REGULATION SECTION 260.218.4 PROMULGATED THEREUNDER IN ISSUING RESEARCH REPORTS. THE APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES AS REQUIRED BY SECTION 25218 OF THE CALIFORNIA CORPORATIONS CODE AND REGULATION SECTION 260.218.4 PROMULGATED THEREUNDER IN ISSUING RESEARCH REPORTS. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE CALIFORNIA CORPORATE SECURITIES LAW. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE CALIFORNIA CORPORATE SECURITIES LAW IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $2,609,851 IS ALLOCATED TO THE STATE OF CALIFORNIA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE CALIFORNIA DEPARTMENT OF CORPORATIONS CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING THE CALIFORNIA CORPORATE SECURITIES LAW. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH THE CALIFORNIA CORPORATE SECURITIES LAW IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $2,609,851 IS ALLOCATED TO THE STATE OF CALIFORNIA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: THE APPLICANT ACTED IN VIOLATION OF SECTION 421B:10(I)(B)(7) OF THE NEW HAMPSHIRE SECURITIES ACT IN ISSUING RESEARCH REPORTS. THE APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED BY SECTION 421B:10(I)(B)(10) OF THE NEW HAMPSHIRE SECURITIES ACT. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 421B:10(I)(B)(7) AND 421B:10(I)(B)(10) OF THE NEW HAMPSHIRE SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTIONS 421B:10(I)(B)(7) AND B:10(I)(B)(10) OF THE NEW HAMPSHIRE SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF NEW HAMPSHIRE) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE NEW HAMPSHIRE BUREAU OF SECURITIES REGULATION CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTIONS 421B:10(I)(B)(7) AND 421B:10(I)(B)(10) OF THE NEW HAMPSHIRE SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTIONS 421B:10(I)(B)(7) AND 421B:10(I)(B)(10) OF THE NEW HAMPSHIRE SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF NEW HAMPSHIRE) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: THE APPLICANT ACTED IN VIOLATION OF SECTION 502.304(1)(G) OF THE IOWA UNIFORM SECURITIES ACT IN ISSUING RESEARCH REPORTS. THE APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR RESEARCH AS REQUIRED BY SECTION 502.304(1)(J) OF THE IOWA UNIFORM SECURITIES ACT. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTION 502.304(1)(G) AND (J) OF THE IOWA UNIFORM SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTION 502.304(1)(G) AND (J) OF THE IOWA UNIFORM SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF IOWA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE IOWA SECURITIES BUREAU CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTION 502.304(1)(G) AND (J) OF THE IOWA UNIFORM SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTION 502.304(1)(G) AND (J) OF THE IOWA UNIFORM SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $250,000 IS ALLOCATED TO THE STATE OF IOWA) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: THE APPLICANT ACTED IN VIOLATION OF SECTION 409.204(A)(2)(G) OF THE MISSOURI SECURITIES ACT IN ISSUING RESEARCH REPORTS. THE APPLICANT ALSO FAILED TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES AS REQUIRED BY SECTION 409.204(A)(2)(J) OF THE MISSOURI SECURITIES ACT. Status: Final Sanction Detail: ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTION 409.204(A)(2)(G) AND (J) OF THE MISSOURI SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTION 409.204(A)(2)(G) AND (J) OF THE MISSOURI SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $431,117 IS ALLOCATED TO THE STATE OF MISSOURI) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION. Summary: APPLICANT HAS SETTLED WITH THE STATE OF MISSOURI, OFFICE OF SECRETARY OF STATE CERTAIN CHARGES ARISING FROM AN INVESTIGATION OF RESEARCH ANALYST CONFLICTS OF INTEREST. THIS SETTLEMENT, AND SETTLEMENTS WITH CERTAIN OTHER BROKERAGE FIRMS, ARE PART OF A GLOBAL SETTLEMENT CERTAIN FIRMS HAVE REACHED WITH THE VARIOUS STATE REGULATORS AND THE SEC, NASD, AND NYSE. AS PART OF THE SETTLEMENT, THE APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC HAVE AGREED TO PAY $25 MILLION AS DISGORGEMENT AND AN ADDITIONAL $25 MILLION IN PENALTIES. ONE-HALF OF THE TOTAL OF THESE PAYMENTS - $25 MILLION – WILL BE PAID IN CONNECTION WITH RELATED PROCEEDINGS BY THE SEC, NASD AND NYSE AND WILL BE PLACED INTO A DISTRIBUTION FUND FOR THE BENEFIT OF CERTAIN CUSTOMERS. THE REMAINDER WILL BE PAID TO RESOLVE RELATED PROCEEDINGS BY STATE REGULATORS. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE APPLICANT CONSENTED TO THE ENTRY OF AN ORDER PROVIDING THAT APPLICANT WILL CEASE AND DESIST FROM VIOLATING SECTION 409.204(A)(2)(G) AND (J) OF THE MISSOURI SECURITIES ACT. IN ADDITION THE APPLICANT WAS ORDERED TO COMPLY WITH SECTION 409.204(A)(2)(G) AND (J) OF THE MISSOURI SECURITIES ACT IN CONNECTION WITH THE RESEARCH PRACTICES REFERENCED IN THE ORDER AND WITH CERTAIN UNDERTAKINGS TO ADOPT ENHANCED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS POTENTIAL CONFLICTS OF INTEREST ARISING FROM RESEARCH PRACTICES. APPLICANT AND ITS AFFILIATE UBS SECURITIES LLC MUST PAY A TOTAL OF $80,000,000 (OF WHICH $431,117 IS ALLOCATED TO THE STATE OF MISSOURI) INCLUDING $25,000,000 AS A PENALTY; $25,000,000 AS DISGORGEMENT OF COMMISSIONS AND OTHER MONIES, $25,000,000 TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH AND $5,000,000 TO BE USED FOR INVESTOR EDUCATION.
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-1992 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES & OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS. Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDINGS THEREIN, TO THE ENTRY OF ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS, A CENSURE AND TO PAY $658,118.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRM'S PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENTS. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTI STATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEEMENTS WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH CALIFORNIA PURSUANT TO THAT AGREEMENT.
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-1992 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVE & OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS. Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDINGS THEREIN, TO THE ENTRY OF ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS, AND TO PAY $53,697.00 (SEE ITEM 10 BELOW) Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRM'S PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENTS. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTI STATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENTS WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILLING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH UTAH PURSUANT TO THAT AGREEMENT.
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-1992 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVE & OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS. Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDINGS THEREIN, TO THE ENTRY OF ORDER FROM FURTHER VIOLATIONS, AND TO PAY $136,432.00 Summary: ON 1/18/96 PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRM'S PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENTS. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENTS WOULD BE REACHED WITH ALL STATES, P.R. AND D.C THIS FILLIG REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH VIRGINIA PURSUANT TO THAT AGREEMENT.
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $71,058.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES,P.C. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH MISSOURI PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $30,456.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH SOUTH DAKOTA PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLE SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTEREST Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $129,168.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONDLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WA SCONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH ARIZONA PURSUANT TO THAT AGREEMENT
Allegations: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $29,897.00 Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $29,897.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFF RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PRIOPRIETY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH ALASKA PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $34,181.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTI STATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH RHODE ISLAND PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND PAY $78,136.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT WITH TENNESSEE PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-1992 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVE & OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS. Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDINGS THEREIN, TO THE ENTRY OF ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS, AND TO PAY 444,052.00 Summary: ON 1/18/96 PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRM'S PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENTS. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENTS WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH ARKANSAS PURSUANT TO THAT AGREEMENT.
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOU ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $41,817.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT REACHED WITH MONTANA PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $94,526.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATEDTHAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH PENNSYLVANIA PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDINGKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $183,367.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECS THE SETTLEMENT REACHED WITH OHIO PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $35,671.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECS THE SETTLEMENT AGREEMENT REACHED WITH NEW MEXICO PURSUANT TO THE AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $225,087.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH OREGON PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRUAD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $59,138.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTI STATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT WITH NORTH CAROLINA PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLE SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $142,206.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATE, P.R. AND D.C. THIS FILING REFLECTS THE STATEMENT AGREEMENT REACHED WITH IOWA PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $31,000.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH IDAHO PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $34,367.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH MISSISSIPPI PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLE SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $54,110.00 Summary: ON 1/18/96, PWI ANNOUCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH KANSAS PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THE PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISION OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $50,385.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONDUCTED AN AGREEMENT IN PRINCIPLE WITH THE MULTI STATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH LOUISIANA PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLE SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $124,512.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH ILLINOIS PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLE SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $61,932.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WA SCONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT REACHED WITH HAWAII PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FIND THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $29,338.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATE, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH NORTH DAKOTA PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLE SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTEREST Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $106,818.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING RELFECTS THE SETTLEMENT AGREEMENT REACHED WITH COLORADO PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $39,768.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.C. AND D.C. THIS FILIG REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH NEW HAMPSHIRE PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHUR VIOLATIONS AND TO PAY $74,597.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THE PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WIL ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH MINNESOTA PURSUANT TO THA AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTIAN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STAT LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLE SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $29,525.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS PWI ALSO CONDLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT REACHED WITH DELAWARE PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-1992 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVE & OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS. Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDINGS THEREIN, TO THE ENTRY OF ORDER TO CEASE & DESIT FROM FURTHER VIOLATIONS, AND TO PAY $92,663.00 Summary: ON 1/18/96 PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRM'S PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENTS AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENTS WOULD BE REACHED WITH ALL STATES, P.R. D.C. THIS FILLING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH WASHINGTON PURSUANT TO THAT AGREEMENT.
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $25,613.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOVLING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTI STATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEEMNT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH PUERTO RICO PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLE SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $47,032.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT WITH INDIANA PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $37,720.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTI STATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH THE DISTRICT OF COLUMBIA PURSANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-1992 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVE & OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS. Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDINGS THEREIN TO THE ENTRY OF ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS, AND TO PAY $28,407.00. Summary: ON 1/18/96 PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRM'S PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENTS. AS PART OF THAT PROCESS PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTI STATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENTS WOULD BE REACHED WITH ALL STATES P.R. AND D.C. THIS FILLING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH WEST VIRGINIA PURSUANT TO THAT AGREEMENT.
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $34,912.00 Summary: IN 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH OKLAHOMA PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CEERTAIN ANTI-FRAUD RECORDKEEPING PROVISIONS OF APPLICALBLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $54,482.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATEDTHAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT REACHED WITH SOUTH CAROLINA PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SAEL OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $59,697.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES P.R. AND D.C. THIS FILING REFLECTS THE STATEMENT AGREEMENT REACHED WITH NEVADA PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASBONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $131,031.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTI STATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH MICHIGAN PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $52,247.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENTS. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTI STATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT WITH MAINE PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICALBE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLE SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS. Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DISIST FROM FURTHER VIOLATIONS AND TO PAY $96,202.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH CONNECTICUT PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS. Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $149,842.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH NEW JERSEY PURSAUNT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $115,945.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURUSANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THE FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH MARYLAND PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AMD FAILED TO REASONABLE SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $31,445.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH KENTUCKY PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $61,373.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH GEORGIA PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-1992 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVE & OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS. Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDINGS THEREIN, TO THE ENTRY OF ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS, AND TO PAY $106,260.00 Summary: ON 1/18/96 PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRM'S PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENTS. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENTS WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILLING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH NEBRASKA PURSUANT TO THAT AGREEMENT.
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $382,096.00 Summary: ON 1/18/96, PMI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT WITH NEW YORK PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $132,335.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH MASSACHUSETTS PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-92 AND FAILED TO REASOONABLE SUPERVISE CERTAIN REGISTERED REPRESENTATIVES AND OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDS THEREIN, TO THE ENTRY ORDER TO CEASE & DESIST FROM FURTHER VIOLATIONS AND TO PAY $49,081.00 Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRMS PAST SALE OF PUBLIC- PROPRIETARY DIRECT INVESTMENT. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTISTATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENT WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH ALABAMA PURSUANT TO THAT AGREEMENT
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVISIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-1992 AND FAILED TO REASONABLE SUPERVISE CERTAIN REGISTERED REPRESENTATIVES & OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS. Status: Final Sanction Detail: PWI CONSENTED WITHOUT ADMITTING OR DENYING THE FINDINGS THEREIN, TO THE ENTRY OF A CONSENT ORDER OF CENSURE AND ASSESSMENT AND WAS REQUIRED TO PAY $48,895.00 (SEE ITEM 10 BELOW). Summary: ON 1/18/96, PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRM'S PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENTS. AS PART OF THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTI STATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENTS WOULD BE REACHED WITH ALL STATES, P.R. AND D.C. THIS FILING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH WISCONSIN PURSUANT TO THAT AGREEMENT.
Allegations: ALLEGED THAT PWI VIOLATED CERTAIN ANTI-FRAUD & RECORDKEEPING PROVSIONS OF APPLICABLE STATE LAWS IN THE OFFER AND SALE OF CERTAIN DIRECT INVESTMENT PROGRAMS BETWEEN 1986-1992 AND FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED REPRESENTATIVE & OTHER EMPLOYEES IN THE SALE OF THESE INTERESTS. Status: Final Sanction Detail: PWI CONSENTED WITHUT ADMITTING OR DENYING THE FINDINGS THEREIN TO THE ENTRY OR ORDER TO CEASE & FROM FURTHER VIOLATIONS, AND TO PAY $34,181.00. Summary: ON 1/18/96 PWI ANNOUNCED THAT IT HAD REACHED SETTLEMENT AGREEMENTS WITH THE SEC AND CLASS ACTION PLAINTIFFS RESOLVING ISSUES RELATED TO THE FIRM'S PAST SALE OF PUBLIC PROPRIETARY DIRECT INVESTMENTS AS PART TO THAT PROCESS, PWI ALSO CONCLUDED AN AGREEMENT IN PRINCIPLE WITH THE MULTI STATE SPECIAL COMMITTEE PURSUANT TO WHICH IT WAS CONTEMPLATED THAT SETTLEMENT AGREEMENTS WOULD BE REACHED WITH ALL STATES P.R. AND D.C. THIS FILLING REFLECTS THE SETTLEMENT AGREEMENT REACHED WITH WYOMING PURSUANT TO THAT AGREEMENT.
Allegations: THE SEC COMPLAINT ALLEGED THAT FROM 2000 THROUGH 2004, UBS FINANCIAL SERVICES INC. ENGAGED IN CERTAIN FRAUDULENT PRACTICES INVOLVING THE TEMPORARY INVESTMENT OF PROCEEDS FROM THE SALE OF TAX-EXEMPT MUNICIPAL SECURITIES IN CERTAIN REINVESTMENT PRODUCTS BY STATE AND LOCAL GOVERNMENTAL ENTITIES, AND THAT UBS'S FRAUDULENT PRACTICES AND MISREPRESENTATIONS BOTH AFFECTED THE PRICES OF THE REINVESTMENT PRODUCTS AND JEOPARDIZED THE TAX-EXEMPT STATUS OF THE UNDERLYING MUNICIPAL SECURITIES, THEREBY INJURING AFFECTED MUNICIPALITIES. THE FIRM NEITHER ADMITTED NOR DENIED THE ALLEGATIONS IN THE COMPLAINT. Status: Final Sanction Detail: UBS AGREED TO PAY A PENALTY OF $32.5 MILLION AND DISGORGEMENT OF $9,606,543 WITH PREJUDGMENT INTEREST OF $5,100,637.
Allegations: DUE TO THE AGE OF THE ITEM, THE ALLEGATIONS ARE UNKNOWN. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTION DETAIL IS UNAVAILABLE.
Allegations: ALLEGED VIOLATIONS OF SECTIONS 15(B) AND 19(H) OF THE SECURITIES AND EXCHANGE ACT OF 1934. Status: Final Sanction Detail: DUE TO THE AGE OF THE ITEM, ADDITIONAL SANCTION DETAIL IS UNAVAILABE. Summary: THE FIRM, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS OR FINDINGS CONSENTED TO THE ORDER. IN DETERMINING TO ACCEPT THE OFFER, THE COMMISSION CONSIDERED THE FIRM'S VOLUNTARY UNDERTAKING TO REPAY EACH OF ITS CUSTOMERS EFFECTED BY THE ALLEGED ACTIVITY.
Allegations: VIOLATION OF SECTIONS 15(C) (3) AND 17(A) OF THE SECURITIES EXCHANGE ACT AND RULES 15C-3-3, 17A-3, 17A-11 AND 17A-13 Status: Final Sanction Detail: IN DECEMBER, 1980, THE SECURITIES AND EXCHANGE COMMISSION CENSURED PAINE, WEBBER, JACKSON & CURTIS, INC FOR VIOLATION OF SECTIONS 15(C) (3) AND 17(A) OF THE SECURITIES EXCHANGE ACT AND RULES 15C-3-3, 17A-3, 17A-11 AND 17A-13 THEREUNDER.
Allegations: FAILURE TO EXERCISE PROPER SUPERVISION IN PREVENTING MISCONDUCTS OF A FORMER BROKER WHO WAS A STOCKBROKER IN A BRANCH OFFICE DURING 1962-1963. Status: Final Sanction Detail: THE SECURITIES AND EXCHANGE COMMISSION CENSURED PAINE, WEBBER, JACKSON & CURTIS INCORPORATED, TOGETHER WITH A FORMER MANAGER OF A BRANCH OFFICE, FOR FAILURE TO EXERCISE PROPER SUPERVISION IN PREVENTING MISCONDUCTS OF A FORMER BROKER WHO WAS A STOCKBROKER IN THAT BRANCH OFFICE DURING 1962-1963.
Allegations: FAILURE TO EXERCISE REASONABLE SUPERVISION OVER AN EMPLOYEE Status: Final Sanction Detail: THE SECURITIES AND EXCHANGE COMMISSION CENSURED PAINE, WEBBER, JACKSON & CURTIS, INC. FOR FAILURE TO EXERCISE REASONABLE SUPERVISION OVER AN EMPLOYEE. IN CONJUNCTION WITH THIS CENSURE, THE EMPLOYEE WAS CENSURED AND SUSPENDED FOR 60 DAYS FOR A VIOLATION OF THE ANTI-FRAUD AND ANTI-MANIPULATIVE PROVISIONS OF THE EXCHANGE ACT.
Allegations: AIDING AND ABETTING VIOLATIONS OF WILLIAMS ACT DISCLOSURE PROVISIONS BY CONDUCTING AN "ACTIVE AND WIDESPREAD" SOLICITATION OF SHARES IN THE TARGET COMPANY THAT WAS INDISPENSABLE TO THE EVENTUAL BLOCK PURCHASE OF OVER 1.2 MILLION TARGET SHARES, AT PREMIUM PRICES, IN A SINGLE DAY OF TRADING Status: Final Sanction Detail: IN DECEMBER, 1982, THE SECURITIES AND EXCHANGE COMMISSION CENSURED PAINE, WEBBER, JACKSON & CURTIS, INC. FOR AIDING AND ABETTING VIOLATIONS OF WILLIAMS ACT DISCLOSURE PROVISIONS BY CONDUCTING AN "ACTIVE AND WIDESPREAD" SOLICITATION OF SHARES IN THE TARGET COMPANY THAT WAS INDISPENSABLE TO THE EVENTUAL BLOCK PURCHASE OF OVER 1.2 MILLION TARGET SHARES, AT PREMIUM PRICES, IN A SINGLE DAY OF TRADING.
Allegations: SEC ALLEGED THAT PAINEWEBBER FAILED REASONABLY TO SUPERVISE RESPRESENTATIVES EMPLOYED AT OFFICES IN BIRMINGHAM, AL, BEVERLY HILLS,CA NORTHBOOK & OAKBROOK, IL & HOUSTON, TX. FROM 11/86- 6/88, SUCH REGISTERED REPRESENTATIVES ENGAGED IN SALES PRACTICE ABUSES. FROM 8/89- 10/90, A REPRESENTATIVE AT THE NORTHBROOK OFFICE ENGAGED IN VIOLATIONS OF FEDERAL SECURITIES REGISTRATION PROVISIONS. Status: Final Sanction Detail: PAINEWEBBER CONSENTED WITHOUT ADMITTING OR DENYING THE ALLEGATIONS. PAINEWEBBER WAS CENSURED AND SUBJECT TO SEVERAL UNDERTAKINGS, INCLUDING A PROHIBITION AGAINST OPENING NEW ACCOUNTS FOR 30 DAYS AT FOUR OF THE OFFICES AND HIRING OF AN INDEPENDENT CONSULTANT TO REVIEW SALES PRACTICE PROCEDURES.
Allegations: UBS FINANCIAL SERVICES INC. AND AFFILIATE BROKER-DEALER UBS SECURITIES LLC. (TOGETHER "UBS") SUBMITTED AN OFFER OF SETTLEMENT, ACCEPTED BY THE COMMISSION, IN WHICH UBS ADMITTED THE FACTS RECITED IN THE COMMISSION'S ORDER AND ACKNOWLEDGED VIOLATIONS OF THE SECURITIES EXCHANGE ACT OF 1934, SECTION 17(A) AND RULE 17A-4 THEREUNDER, REGARDING BOOKS AND RECORDS RETENTION REQUIREMENTS AND SECTION 15(B)(4)( E) REGARDING SUPERVISION OF SAME. THE COMMISSION IMPOSED A CEASE-AND-DESIST ORDER, A CENSURE, A CIVIL MONETARY FINE OF A TOTAL OF $125,000,000 AGAINST BOTH UBS BROKER-DEALERS JOINTLY, AND JOINT UNDERTAKINGS. THE COMMISSION FOUND THAT UBS FAILED TO RETAIN THE SUBSTANTIAL MAJORITY OF BUSINESS-RELATED WRITTEN ELECTRONIC COMMUNICATIONS THAT WERE SENT AND RECEIVED, INTERNALLY AND EXTERNALLY, ON UBS EMPLOYEES' PERSONAL DEVICES, USING UNAPPROVED MESSAGING CHANNELS SUCH AS TEXT MESSAGING AND WHATSAPP AND OTHER UNAPPROVED PLATFORMS. THE COMMISSION FURTHER FOUND THE CONDUCT TO BE WIDESPREAD ACROSS UBS, INVOLVING EMPLOYEES AT ALL LEVELS OF AUTHORITY INCLUDING SENIOR LEVELS OF MANAGEMENT, FROM JANUARY 2018 TO SEPTEMBER 2021. THE COMMISSION ALSO FOUND THAT UBS'S SUPERVISORS WHO WERE RESPONSIBLE FOR PREVENTING THIS CONDUCT, THEMSELVES ROUTINELY COMMUNICATED USING OFF-CHANNEL ELECTRONIC MESSAGING CHANNELS ON THEIR PERSONAL DEVICES. UBS'S SUPERVISORS RESPONSIBLE FOR IMPLEMENTING POLICIES AND PROCEDURES AND FOR OVERSEEING EMPLOYEES' COMPLIANCE WITH THOSE POLICIES AND PROCEDURES, WERE FOUND TO HAVE THEMSELVES FAILED TO COMPLY WITH THOSE POLICIES AND PROCEDURES, BY COMMUNICATING ABOUT UBS BUSINESS, USING NON-FIRM APPROVED CHANNELS ON THEIR PERSONAL DEVICES, WHICH THE COMMISSION FOUND TO BE A FAILURE TO REASONABLY SUPERVISE WITHIN THE MEANING OF THE EXCHANGE ACT. THE COMMISSION FURTHER FOUND THAT UBS'S RECORDKEEPING FAILURES LIKELY IMPACTED THE COMMISSION'S ABILITY TO CARRY OUT ITS REGULATORY FUNCTIONS AND INVESTIGATE VIOLATIONS OF THE FEDERAL SECURITIES LAWS. THE COMMISSION COMMENCED A RISK-BASED INITIATIVE TO INVESTIGATE THE USE OF OFF-CHANNEL AND UNPRESERVED COMMUNICATIONS AT A NUMBER OF BROKER-DEALERS, INCLUDING AT UBS. UBS HAS INITIATED A REVIEW OF ITS RECORDKEEPING FAILURES AND HAS BEGUN A PROGRAM OF REMEDIATION. Status: Final Sanction Detail: SANCTIONS INCLUDE: CENSURE, CEASE AND DESIST ORDER, CIVIL MONETARY FINE ASSESSED JOINTLY IN THE AMOUNT OF $125,000,000, TO BE PAID WITHIN 14 DAYS OF ENTRY OF THE ORDER, WHICH WAS PAID IN FULL AND TIMELY ON OCTOBER 7, 2022, AND COMPLIANCE WITH UNDERTAKINGS ENUMERATED IN THE OFFER. Summary: THE COMMISSION ACKNOWLEDGED AND CONSIDERED UBS'S COOPERATION AND REMEDIAL ACTS PROMPTLY UNDERTAKEN. UBS PAID IN FULL, AS REQUIRED, ON OCTOBER 7, 2022, WITHIN 14 DAYS OF ENTRY OF THE ORDER, THE CIVIL MONETARY FINE IN THE AMOUNT OF $125,000,000. UBS IS COMPLYING WITH THE UNDERTAKINGS ENUMERATED IN THE OFFER.
Allegations: PAINEWEBBER ("UBSPW", AND CURRENTLY KNOWN AS UBS FINANCIAL SERVICES INC) SUBMITTED AN OFFER OF SETTLEMENT TO THE U.S. SECURITIES AND EXCHANGE COMMISSION ("SEC") IN CONNECTION WITH ITS INVESTIGATION INTO THE CONDUCT OF ENRIQUE E. PERUSQUIA, A FORMER REGISTERED REPRESENTATIVE OF UBSPW. Status: Final Sanction Detail: THE ORDER REQUIRED UBS PAINEWEBBER TO PAY A CIVIL PENALTY. Summary: PAINEWEBBER ("UBSPW", AND CURRENTLY KNOWN AS UBS FINANCIAL SERVICES INC. ) SUBMITTED AN OFFER OF SETTLEMENT TO THE U.S. SECURITIES AND EXCHANGE COMMISSION ("SEC") IN CONNECTION WITH ITS INVESTIGATION INTO THE CONDUCT OF ENRIQUE E. PERUSQUIA, A FORMER REGISTERED REPRESENTATIVE OF UBSPW. IN THE OFFER OF SETTLEMENT, WHICH WAS ACCEPTED BY THE SEC ON AUGUST 20, 2003, UBSPW, WITHOUT ADMITTING OR DENYING THE FINDINGS, CONSENTED TO THE ENTRY OF AN ADMINISTRATIVE ORDER INSTITUTING AND SETTLING PROCEEDINGS ("ORDER") THAT IT FAILED TO REASONABLY SUPERVISE ENRIQUE E. PERUSQUIA. THE ORDER CENSURED UBSPW AND REQUIRED IT TO PAY A CIVIL PENALTY OF $500,000.
Allegations: THE SEC FOUND THAT THE FIRM VIOLATED THE EXCHANGE ACT SECTION 15B(C)(1) AND MSRB RULE G-15(F)BY EFFECTING FOUR TRANSACTIONS IN MUNICIPAL BONDS UNDER THE MINIMUM DENOMINATION REQUIREMENT IN THE PROSPECTUS.THE FIRM HAS NEITHER ADMITTED NOR DENIED THESE FINDINGS. Status: Final Sanction Detail: THE FIRM WAS CENSURED, ORDERED TO PAY A CIVIL MONETARY PENALTY OF $56,400 AND TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 15B(C)(1) OF THE EXCHANGE ACT AND MSRB RULE G-15(F).
Allegations: FAILURE TO MAINTAIN CERTAIN 1979 AND 1980 BLYTH EASTMAN DILLON AND CO., INC RECORDS. Status: Final Sanction Detail: PAINEWEBBER INCORPORATED WAS FINED $22,500.00 BY THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") AND ORDERED TO CEASE AND DESIST FROM VIOLATIONS RELATING TO ITS FAILURE TO MAINTAIN CERTAIN 1979 AND 1980 BLYTH EASTMAN DILLON AND CO., INC RECORDS. PAINEWEBBER INC. ALSO UNDERTOOK TO MAINTAIN A SYSTEM SIMILAR TO ITS CURRENT SYSTEM DESIGNATING EXCHANGE FOR PHYSICAL TRANSACTIONS ON ITS RECORDS.
Allegations: IN AN ACTION BROUGHT AGAINST ALMOST ALL OF THE MAJOR NASDAQ MARKET MAKERS, THE SEC FOUND THAT IN 1994 MARKET MAKERS, INCLUDING PAINEWEBBER, VIOLATED PROVISIONS OF THE FEDERAL SECURITIES LAWS IN CONNECTION WITH THEIR MARKET MAKING ACTIVITIES IN NASDAQ SECURITIES Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, PAINEWEBBER AGREED TO PAY A CIVIL PENALTY OF $6,300,000 AND DISGORGEMENT OF $381,685 TO SETTLE THE MATTER. IN ADDITION, IT AGREED TO A CEASE AND DESIST ORDER AND TO SUBMIT TO CERTAIN OF ITS POLICIES TO AN INDEPENDENT CONSULTANT.
Allegations: ON APRIL 6, 2000, THE SEC BROUGHT AND SETTLED CIVIL ADMINISTRATIVE CHARGES AGAINST TEN BROKERAGE FIRMS, INCLUDING PAINEWEBBER, RESOLVING ITS INVESTIGATION OF THE PRICING OF GOVERNMENT SECURITIES BY BROKER-DEALERS IN MUNICIPAL BOND ADVANCED REFUNDING TRANSACTIONS DURING THE PERIOD 1990 THROUGH 1994. CONSISTENT WITH THE SEC ORDERS INVOLVING THE OTHER BROKER-DEALERS IN THE SETTLEMENT, THE PAINEWEBBER ORDER CONTAINS FINDINGS THAT THE FIRM VIOLATED SECURITIES ACT SECTIONS 17(A)(2) AND 17(A)(3) BY EFFECTING DEFEASANCE ESCROW TRANSACTIONS WITH MUNICIPALITIES AT PRICES DEEMED ?NOT REASONABLY RELATED TO THE CURRENT WHOLESALE MARKET PRICES FOR THE SECURITIES UNDER THE PARTICULAR FACTS AND CIRCUMSTANCES?.? PAINEWEBBER NEITHER ADMITTED NOR DENIED THE FINDINGS IN THE ORDER. Status: Final Sanction Detail: PURSUANT TO THE TERMS OF THE ORDER, PAINEWEBBER IS REQUIRED TO PAY $21,571,057.72 TO THE UNITED STATES TREASURY UNDER AN AGREEMENT SIMULTANEOUSLY ENTERED INTO AMONG PAINEWEBBER, THE INTERNAL REVENUE SERVICE AND THE UNITED STATES ATTORNEY FOR THE SOUTHERN DISTRICT OF NEW YORK, AND ALSO MUST MAKE CERTAIN PAYMENTS TOTALING $4,608,326.23 TO CERTAIN SPECIFIED MUNICIPAL ISSUERS. Summary: THE SEC SETTLEMENTS ARE PART OF A GLOBAL RESOLUTION INVOLVING 17 BROKERAGE FIRMS AND THE SEC, NASD REGULATION, INC., THE UNITED STATES ATTORNEY FOR THE SOUTHERN DISTRICT OF NEW YORK AND THE INTERNAL REVENUE SERVICE. THE GLOBAL RESOLUTION REQUIRES THE FIRMS TO PAY A TOTAL OF MORE THAN $135 MILLION.
Allegations: ON SEPTEMBER 28, 2016, THE U.S. SECURITIES AND EXCHANGE COMMISSION ("SEC") FILED A SETTLED ORDER ("ORDER"), FINDING THAT DURING THE PERIOD OF 2011-2014, UBS FINANCIAL SERVICES INC. ("UBS" OR "THE FIRM") FAILED REASONABLY TO FULFILL SUPERVISORY RESPONSIBILITIES WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE SECURITIES EXCHANGE ACT OF 1934 ("ACT") BECAUSE UBS FAILED TO ESTABLISH REASONABLE POLICIES AND PROCEDURES, AND A SYSTEM FOR APPLYING SUCH PROCEDURES, THAT WOULD REASONABLY BE EXPECTED TO PREVENT AND DETECT VIOLATIONS OF SECTION 17(A)(3) OF THE ACT. THE PRODUCT UNDER REVIEW WAS THE REVERSE CONVERTIBLE NOTE ("RCN") WITH A SINGLE STOCK AS THE UNDERLYING ASSET, ALSO CALLED SINGLE-STOCK-LINKED RCNS. THE ORDER FINDS THAT THE FIRM FAILED REASONABLY TO SUPERVISE ITS RCN SALES BY FAILING TO DEVELOP AND IMPLEMENT ADEQUATE EDUCATION AND TRAINING FOR ITS FINANCIAL ADVISORS REGARDING CERTAIN ASPECTS OF SINGLE STOCK-LINKED RCNS, INCLUDING FOR EXAMPLE, THE ROLE OF IMPLIED VOLATILITY OF THE UNDERLYING STOCK IN THE SELECTION OF THE STOCK AS THE ASSET UNDERLYING THE RCN. THE ORDER HIGHLIGHTED THE FIRM'S SIGNIFICANT COOPERATION AND PROMPT ENHANCEMENT OF PROCEDURES ADDRESSING THE SEC'S CONCERNS. WITHOUT ADMITTING OR DENYING THE UNDERLYING ALLEGATIONS AND WITHOUT ADJUDICATION OF ANY ISSUE OF LAW OR FACT, THE FIRM CONSENTED TO THE ORDER. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE UNDERLYING ALLEGATIONS AND WITHOUT ADJUDICATION OF ANY ISSUE OF LAW OR FACT, THE FIRM CONSENTED TO THE ORDER OF CENSURE, AND PAYMENT OF DISGORGEMENT IN THE AMOUNT OF $8,227,566, PREJUDGMENT INTEREST IN THE AMOUNT OF $798,316, AND A CIVIL MONEY PENALTY OF $6,000,000, ALL COMPONENTS OF WHICH WERE PAID ON SEPTEMBER 30, 2016.
Allegations: ON JULY 20, 2020, UBS FINANCIAL SERVICES INC. ("UBS" OR THE "RESPONDENT") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ON A NO ADMIT/NO DENY BASIS RESULTING IN THE SEC ISSUING AN ADMINISTRATIVE ORDER (THE "ORDER"). THE RESPONDENT CONSENTED TO THE ENTRY OF THE ORDER, WHICH FOUND THAT UBS VIOLATED MSRB RULES G-11(K), G-17, G-27 AND SECTION 15B(C)(1) OF THE EXCHANGE ACT. THE ORDER FOUND THAT BETWEEN AUGUST 2012 AND JUNE 2016, UBS DID NOT COMPLY WITH CERTAIN RETAIL ORDER PERIOD RESTRICTIONS IN NEW ISSUE MUNICIPAL BOND OFFERINGS IT DISTRIBUTED BY ALLOCATING BONDS INTENDED FOR RETAIL CUSTOMERS TO CERTAIN CUSTOMERS, WHO IMMEDIATELY RESOLD OR "FLIPPED" THE BONDS TO OTHER BROKER-DEALERS AS A PROFIT. THE ORDER ALSO FOUND UBS, THROUGH CERTAIN REGISTERED REPRESENTATIVES, IMPROPERLY OBTAINED NEGOTIATED NEW ISSUE BONDS FOR UBS'S INVENTORY BY PLACING INDICATIONS OF INTEREST WITH THE FLIPPERS WHO THEN PLACED CUSTOMER ORDERS WITH THE UNDERWRITING SYNDICATE, INSTEAD OF UBS SUBMITTING DEALER ORDERS DIRECTLY WITH THE SYNDICATE ON ITS OWN BEHALF. THIS PRACTICE WAS FOUND TO HAVE CIRCUMVENTED THE PRIORITY OF ORDERS AND GIVEN UBS ACCESS TO A HIGHER PRIORITY IN THE BOND ALLOCATION PROCESS THAN IT TYPICALLY WOULD HAVE HAD. Status: Final Sanction Detail: THE ORDER CENSURED UBS AND DIRECTED UBS TO CEASE-AND-DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 15B(C)(1) OF THE EXCHANGE ACT AND MSRB RULES G-11(K), G-17, AND G-27. ADDITIONALLY, THE ORDER REQUIRED THE RESPONDENT TO PAY DISGORGEMENT OF $6,740,000, PREJUDGMENT INTEREST OF $1,549,336, AND A CIVIL PENALTY IN THE AMOUNT OF $1,750,000, WHICH WERE PAID ON JULY 22, 2020. Summary: SOLELY FOR THE PURPOSE OF SETTLING THIS PROCEEDING, THE RESPONDENT CONSENTED TO THE ORDER, WITHOUT ADMITTING OR DENYING THE FINDINGS SET FORTH IN THE ORDER. THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: ON JULY 20, 2020 UBS FINANCIAL SERVICES INC ("UBS" OR THE "RESPONDENT") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ON A NO/ADMIT NO/DENY BASIS RESULTING IN THE SEC ISSUING AN ADMINISTRATIVE ORDER (THE "ORDER"). THE RESPONDENT CONSENTED TO THE ENTRY OF THE ORDER, WHICH FOUND THAT UBS VIOLATED MRSB RULES G-11(K), G-17, G-27 AND SECTION 15(B)(C)(1) OF THE EXCHANGE ACT. THE ORDER FOUND THAT BETWEEN AUGUST 2012 AND JUNE 2016, UBS DID NOT COMPLY WITH CERTAIN RETAIL ORDER PERIOD RESTRICTIONS IN NEW ISSUE MUNICIPAL BOND OFFERINGS IT DISTRIBUTED BY ALLOCATING BONDS INTENDED FOR RETAIL CUSTOMERS TO CERTAIN CUSTOMERS, WHO IMMEDIATELY RESOLD OR "FLIPPED" THE BONDS TO THE OTHER BROKER-DEALERS AS A PROFIT. THE ORDER ALSO FOUND UBS, THROUGH CERTAIN REGISTERED REPRESENTATIVES, IMPROPERLY OBTAINED NEGOTIATED NEW ISSUE BONDS FOR UBS'S INVENTORY BY PLACING INDICATIONS OF INTEREST WITH THE FLIPPERS WHO THEN PLACED CUSTOMER ORDERS WITH THE UDERWRITING SYNDICATE, INSTEAD OF UBS SUBMITTING DEALER ORDERS DIRECTLY WITH THE SYNDICATE ON ITS OWN BEHALF. THIS PRACTICE WAS FOUND TO HAVE CIRCUMVENTED THE PRIORITY OF ORDERS AND GIVEN UBS ACCESS TO A HIGHER PRIORITY IN THE BOND ALLOCATION PROCESS THAN IT TYPICALLY WOULD HAVE HAD. Status: Final Sanction Detail: THE ORDER CENSURED UBS AND DIRECTED UBS TO CEASE-AND-DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FURTHER VIOLATIONS OF SECTION 15(B)(C)(1) OF THE EXCHANGE ACT AND MRSB RULES G-11(K), G-17,AND G-27. ADDITIONALLY, THE ORDER REQUIRED THE RESPONDENT TO PAY DISGORGEMENT OF $6,740.000, PREDUGMENT INTEREST OF $1,549.336 AND A CIVIL PENALTY IN THE AMOUNT OF $1,750.000, WHICH WERE PAID ON JULY 22, 2020. Summary: SOLELY FOR THE PURPOSE OF SETTLING THIS PROCEEDING, THE RESPONDENT CONSENTED TO THE ORDER, WITHOUT ADMITTING OR DENYING THE FINDINGS SET FORTH IN THE ORDER. THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12
Allegations: WITHOUT ADMITTING OR DENYING THE SEC 'S FINDINGS, UBS FINANCIAL SERVICES INC. CONSENTED TO THE ENTRY OF AN ORDER BY THE SEC ON JULY 19, 2021 INSTITUTING CEASE & DESIST PROCEEDINGS IN WHICH THE SEC FOUND THAT, FROM JANUIARY 2016 THROUGH JANUARY 2018, UBS FS VIOLATED SECTION 206(4)-7 OF THE INVESTMENT ADVISERS ACT AND ADVISERS ACT RULE 206(4)-7 RULE IN CONNECTION WITH THE FIRM'S FAILURE TO ADOPT WRITTEN POLICIES AND PROCEDURES THAT WERE REASONABLY DESIGNED TO PREVENT THE UNSUITABLE USE OF VXX, A VOLATILITY EXCHANGE-TRADED PRODUCT, AS A BUY-AND-HOLD INVESTMENT IN THE FIRM'S DISCRETIONARY PORTFOLIO MANAGEMENT PROGRAM. Status: Final Sanction Detail: TOTAL AMOUNT TO BE PAID IS $8,112,274 IN PENALTY, DISGORGEMENT AND INTEREST. Summary: THE MATTER WAS SETTLED BY ENTRY OF AN ORDER ON JULY 19, 2021. UBS FS IS REQUIRED TO PAY A TOTAL PENALTY OF $8,000,000 PLUS DISGORGEMENT AND INTEREST OF $112,274, WHICH WILL BE DISTRIBUTED TO AFFECTED CLIENTS PER A PLAN TO BE APPROVED BY THE SEC.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ("SEC") INSTITUTED PROCEEDINGS PURSUANT TO SECTIONS 15(B) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934 AND SECTIONS 203(E) AND 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940, AGAINST UBS FINANCIAL SERVICES INC. ("UBS"), ALLEGING THAT UBS FAILED TO ADEQUATELY DEVELOP AND IMPLEMENT A WRITTEN IDENTITY THEFT PREVENTION PROGRAM AS REQUIRED BY RULE 201 OF REGULATION S-ID, FROM JANUARY 1, 2017 TO OCTOBER 3, 2019 (RELEVANT PERIOD), BECAUSE ITS WRITTEN IDENTITY THEFT PREVENTION PROGRAM LACKED REASONABLE POLICIES AND PROCEDURES TO (1) IDENTIFY RELEVANT RED FLAGS FOR THE COVERED ACCOUNTS UBS OFFERED AND MAINTAINED, AND INCORPORATE THOSE RED FLAGS INTO ITS PROGRAM; (2)DETECT RED FLAGS THAT HAVE BEEN INCORPORATED INTO ITS PROGRAM; (3) RESPOND APPROPRIATELY TO DETECTED RED FLAGS TO PREVENT AND MITIGATE IDENTITY THEFT; AND (4) ENSURE THAT THE PROGRAM WAS UPDATED PERIODICALLY. IN ADDITION, THE SEC ALLEGED THAT FOR THE RELEVANT PERIOD, UBS FAILED TO PERIODICALLY REVIEW NEW OR EXISTING ACCOUNTS TO DETERMINE WHETHER THEY WERE "COVERED ACCOUNTS," AND FAILED TO PROVIDE FOR THE CONTINUED ADMINISTRATION OF ITS PROGRAM BY NOT ADEQUATELY INVOLVING THE BOARD OF DIRECTORS, AN APPROPRIATE COMMITTEE THEREOF, OR A DESIGNATED EMPLOYEE AT THE LEVEL OF SENIOR MANAGEMENT IN THE OVERSIGHT, DEVELOPMENT, IMPLEMENTATION AND ADMINISTRATION OF THE PROGRAM; AND NOT EFFECTIVELY TRAINING ITS EMPLOYEES REGARDING IMPLEMENTATION OF ITS PROGRAM. Status: Final Sanction Detail: JULY 27, 2022 DISPOSITION RESULTED IN A FINE OF $925,000 AGAINST UBS FINANCIAL SERVICES INC., WHICH WAS PAID IN FULL ON THE FOLLOWING DAY, JULY 28, 2022. Summary: UBS FINANCIAL SERVICES INC. ("UBS") SUBMITTED AN OFFER OF SETTLEMENT WHICH THE SEC ACCEPTED. BY ORDER DATED JULY 27, 2022, THE SEC MADE CERTAIN FINDINGS OF VIOLATIONS OF RULE 201 OF REGULATION S-ID, APPLICABLE TO UBS'S LEGACY IDENTITY THEFT PREVENTION PROGRAM IN PLACE FROM 2017 TO 2019, WHICH UBS DID NOT ADMIT OR DENY. THE SEC ACKNOWLEDGED AND CONSIDERED THE SELF-INITIATED REMEDIAL ACTS UNDERTAKEN BY UBS, INCLUDING A FULL REVIEW AND UPDATE OF ITS PROGRAM. THE SEC ORDERED THAT UBS IS CENSURED AND CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF RULE 201 OF REGULATION S-ID. IN ADDITION, UBS WAS ORDERED TO PAY A CIVIL MONEY FINE IN THE AMOUNT OF $925,000.00 TO THE SEC FOR TRANSFER TO THE GENERAL FUND OF THE UNITED STATES TREASURY. UBS PAID THE FINE IN FULL THE FOLLOWING DAY, JULY 28, 2022.
Allegations: ON 11 NOVEMBER 2014, THE CFTC ISSUED AN ORDER CONCERNING UBS AG'S FOREIGN EXCHANGE SPOT TRADING AROUND CERTAIN FOREIGN EXCHANGE BENCHMARKS. IN THE ORDER, THE CFTC FOUND THAT UBS AG VIOLATED CERTAIN SECTIONS OF THE COMMODITY EXCHANGE ACT, IMPOSED REMEDIAL SANCTIONS, AND IMPOSED A CIVIL MONETARY PENALTY OF $290 MILLION. Status: Final Sanction Detail: REMEDIAL SANCTIONS,CIVIL MONETARY PENALTY OF $290 MILLION.
Allegations: SEC ALLEGED THAT PWI VIOLATED THE ANTIFRAUD & RECORDKEEPING PROVISIONS OF THE FEDERAL SECURITIES LAWS IN CONNECTION WITH THE OFFER & SALE OF CERTAIN LIMITED PARTNERSHIP INTERESTS BETWEEN 1986-1992 AND FAILED REASONABLY TO SUPERVISE CERTAIN REG. REPS & OTHER EMPLOYEES INVOLVED IN THE SALE OF THESE INTERESTS. Status: Final Sanction Detail: PWI CONSENTED, WITHOUT ADMITTING OR DENYING THE FINDINGS THERIN, TO THE ENTRY OF ORDER WHICH IMPOSED A CENSURE, A CEASE & DESIST ORDER, A $5M CIVIL PENALTY AND VARIOUS REMEDIAL SANCTIONS, PWI MUST COMPLY WITH ITS REPRESENTATION THAT IT HAS PAID & WILL PAY A TOTAL OF $292.5M TO INVESTORS,INCLUDING A PAYMENT OF $40M FOR CLAIMS FUND.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS OR CONCLUSIONS THEREIN, UBS AG AND UBSSJ CONSENTED TO THE ENTRY OF THE CFTC ORDER MAKING FINDINGS THAT CERTAIN UBS PERSONNEL ENGAGED IN EFFORTS TO MANIPULATE SUBMISSIONS FOR CERTAIN BENCHMARK RATES TO BENEFIT TRADING POSITIONS; CERTAIN EMPLOYEES AT THE BANK COLLUDED WITH EMPLOYEES AT OTHER BANKS AND CASH BROKERS TO INFLUENCE CERTAIN BENCHMARK RATES TO BENEFIT THEIR TRADING POSITIONS; AND CERTAIN PERSONNEL GAVE INAPPROPRIATE DIRECTIONS TO UBS SUBMITTERS THAT WERE IN PART MOTIVATED BY A DESIRE TO AVOID UNFAIR AND NEGATIVE MARKET AND MEDIA PERCEPTIONS DURING THE FINANCIAL CRISIS. THE CONDUCT ENCOMPASSED BY THE SETTLEMENT INCLUDES YEN LIBOR, GBP LIBOR, CHF LIBOR, EURO LIBOR, USD LIBOR, EURIBOR AND EUROYEN TIBOR, ALTHOUGH THE NATURE AND EXTENT OF THE CONDUCT IN QUESTION VARIED SIGNIFICANTLY FROM ONE CURRENCY TO ANOTHER. Status: Final Sanction Detail: ON 19 DECEMBER 2012, THE COMMODITY FUTURES TRADING COMMISSION (CFTC) ENTERED AN ORDER AGAINST UBS AG AND UBS SECURITIES JAPAN CO. LTD IN CONNECTION WITH THEIR INVESTIGATION OF LIBOR AND OTHER BENCHMARK INTEREST RATES. UBS AGREED TO PAY A TOTAL OF USD 700 MILLION TO THE CFTC, TO CEASE AND DESIST FROM FURTHER VIOLATIONS AS CHARGED, AND TAKE SPECIFIED STEPS TO ENSURE THE INTEGRITY AND RELIABILITY OF ITS LIBOR AND OTHER BENCHMARK INTEREST RATE SUBMISSIONS AND IMPROVE RELATED INTERNAL CONTROLS.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
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