Enforcement Actions Administrative

In the Matter of the Investment Adviser Representative and Agent Registration of Logan Cox: Reprimanded & Undertaking

In the Matter of the Dealer Registration of TD Ameritrade, Inc.: Reprimanded and Fined

In the Matter of the Dealer Registration of Stifel, Nicolaus & Company, Inc.: Reprimanded, Fined, and Cease & Desist Order

In the Matter of the Dealer Registration of RBC Capital Markets, LLC: Reprimanded, Fined, and Cease & Desist Order

In the Matter of the Dealer Registration of LPL Financial LLC: Reprimanded, Fined, and Cease & Desist Order

In the Matter of the Dealer Registration of Edward D. Jones & CO., L.P.: Reprimanded, Fined, and Cease & Desist Order

In the Matter of the Investment Adviser Registration of Smith Wealth Advisors, LLC and the Investment Adviser Representative Registration of Ronald Dewayne Smith, Jr.

In the Matter of Alan Shield, Jr.: Agreed Cease and Desist Order

In The Matter of the Dealer Registration of Vanguard Marketing Corporation and the Investment Adviser Registration of The Vanguard Group, Inc.: Cease & Desist and Undertaking
 

In the Matter of Apertum Foundation, Josip Heit, Dirc Zahlmann, Bruce Innes Wylde Hughes, and Dennis Christopher Loos: Agreed Order Setting Aside Emergency Order