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Maine.gov > PFR Home > Securities Home Page > Consent Agreements in Alphabetical Order

Consent Agreements in Alphabetical Order

Consent Agreements are voluntary settlement agreements. Unless otherwise indicated, they do not involve a finding or admission of wrongdoing.

ACS TradeOne Marketing, Inc.

- Consent Agreement - June 30, 2005 (PDF format)

Acument Securities, Inc.

- Notice of Intent to Issue a Cease and Desist Order, and to Impose a Civil Penalty Against McCarty, and to Bar from Association, and to Revoke the Broker-Dealer License of Acument, and to Impose a Civil Penalty Upon Acument - June 24, 2002 (PDF format)

- Amended Notice of Intent to Issue a Cease and Desist Order and to Impose a Civil Penalty Against Respondednts, to Bar McCarty from Association, to Revoke the Broker-Dealer License of Acument, to Censure or Revoke the Sales Representative License of Angle, and to Censure or Bar White from Association - October 8, 2002 (PDF format)

- Consent Agreement - February 11. 2003 (PDF format)

American Research & Management Company

- Consent Agreement - August 12, 2003 (PDF format)

Aptus Technology Corporation, Hirak Biswas, Joseph Orlando and Apurba Mukherjee

- Notice of Intent to Issue a Cease and Desist Order and Impose a Civil Penalty (PDF format)

- Consent Agreement - March 7, 2006 PDF format

A.R. Schmeidler & Co., Inc.

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Aurora Financial Group, LLC

-

Balis Lewittes & Coleman, Inc.

- Consent Agreement - September 13, 2002 (PDF format)

Bangor Securities, Inc. Michael Ludwig

- Consent Agreement - December 15, 2005 (PDF format)

William Thomas Bennett IV

-

Bidwell & Company

- Consent Agreement - March 1, 2001 (PDF format)

Biondo Asset Management LLC

- Consent Agreement - September 21, 2005 (PDF format)

Black Point Capital Management

- Consent Agreement - January 7, 2004 (PDF format)

Bolton Securities Corp.

- Consent Agreement - September 8, 2006 (PDF format)

Burke, Lawton, Brewer & Burke

- Consent Agreement - August 3, 2004 (PDF format)

Butler, Wick & Co., Inc.

- Consent Agreement - September 16, 2004 (PDF format)

Christopher Street Financial

- Consent Agreement - February 13, 2001 (PDF format)

Charles S. Clark

- Notice of Intent to Revoke a Sales Representative License and Bar Him from Association - December 5, 2003 (PDF format)

- Consent Agreement - March 19, 2004 (PDF format)

CitiStreet Advisors LLC.

- Consent Agreement - August 17, 2006 (PDF format)

Commonwealth Church Finance, Inc.

- Consent Agreement - August 15, 2005 (PDF format)

Commonwealth Financial Network, Alan Perry Hess, David Linus Kelly and Peter Thompkins Wheeler

- Notice of Intent to Censure and Impose a Civil Penalty on Broker-Dealer and Sales Representatives - July 28th, 2005 (PDF format)

- Consent Agreement - December 27, 2005 (PDF format)

Compass Securities Corporation

-

D.M. Becker Investment Management Company, Inc.

- Consent Agreement - December 17, 2003 (PDF format)

Deltec Asset Management LLC

- Consent Agreement - February 13, 2001 (PDF format)

Downeast Financial Group, Michael J. Poulin and Lena-Jo Hartley

- Consent Agreement - May 4, 2006 (PDF format)

Drake Asset Management, Inc., and David R. Lidstone

- Consent Agreement - April 5, 2004 (PDF format)

E. E. Powell & Company Inc., and Robert C. Wagner IV

- Consent Agreement - May 28, 2003 (PDF format)

Edward D. Jones & Co., L.P.

- Consent Agreement - February 28, 2006 (PDF format)

Eubanks Capital Management and Ronald M. Eubanks, Jr.

- Consent Agreement - June 22, 2006 (PDF format)

Fifth Third Securities, Inc.

- Consent Agreement - March 29, 2001 (PDF format)

Financial Advocates Investment Management and Michael S Tuell

-

Financial Services of New England and Scott Pelletier

- Consent Agreement - December 22, 2003 (PDF format)

First Manhattan Co.

- Consent Agreement - October 31, 2005 (PDF format)

Fuller, Jones & Stivers, LLP - Judith A. Fuller - Rendle A. Jones

- Consent Agreement - May 17, 2005 (PDF format)

Winslow J. Furber

-

Gabriel J. Giguere, Jr.

- Consent Agreement - September 8, 2006 (PDF format)

Garden State Securities, Inc., Robert B. Steck, Kevin J. Derosa and Craig R. Margolies

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George McKelvey Co., Inc.

-

Gilbert Capital Group and Cass A. Gilbert

- Consent Agreement - February 18, 2004 (PDF format)

Gladowsky Capital Management Corp.

-

Global Resource Investments LTD

-

Greycourt & Co., Inc. and Claude Perrier

- Consent Agreement - May 20, 2004 (PDF format)

Guidance Point Advisors, LLC and Benjamin J. Smith

-

Harbor Investment Advisors and Thomas J. Repeta

- Consent Agreement - January 4, 2004 (PDF format)

Harvest Financial Corporation

- Consent Agreement - August 10, 2006 (PDF format)

Hawthorne Investment Management, LLC

- Notice of Intent to Issue an Order to Deny a License - June 7, 2002 (PDF format)

- Consent Agreement - December 2, 2002 (PDF format)

Huntington Investment Company

- Consent Agreement - October 4, 2005 (PDF format)

Intersecurities Inc

-

Investacorp, Inc., and Michael J. Poulin

- Consent Agreement - May 31, 2006 (PDF format)

Investment Management & Consulting Group, Charles W. Dibner and Fredric W. Williams

- Consent Agreement - March 30, 2005 (PDF format)

J.P. Turner & Company, LLC

- Consent Agreement - September 21, 2005 (PDF format)

Jaguar Capital Management, Inc.

- Consent Agreement - March 16, 2004 (PDF format)

Jepson Financial Advisors, P.A., Brent K. Jepson and Gordon W.H. Buzza, Jr.

- Consent Agreement - January 5, 2004 (PDF format)

Jesup & Lamont Securities Corp.

- Consent Agreement - March 4, 2005 (PDF format)

Kovack Securities, Inc.

- Consent Agreement - January 3, 2006 (PDF format)

Laidlaw & Company (UK) LTD

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Landmark Financial Services, Inc. and James F. Jurczak

- Consent Agreement - March 31, 2004 (PDF format)

Lemley, Yarling & Co. and Ralph J. Lemley II

- Consent Agreement - February 24, 2006 (PDF format)

Liberty Investment Advisors and Richard Liberty

- Consent Agreement - July 20, 2006 (PDF format)

M&I Brokerage Services, Inc.

-

Maine Securities Corporation

- Consent Agreement - December 22, 2004 (PDF format)

McKinnon & Company, Inc.

- Consent Agreement - November 28, 2005 (PDF format)

Brent Wilson McLaughlin dba The Glen Mills Group

-

Means Investment Co., Inc.

- Consent Agreement - July 26, 2005 (PDF format)

Merrill Lynch, Pierce, Fenner & Smith, Inc.

- Consent Agreement - October 21, 2002 (PDF format)

Merrion Group, LLC

- Consent Agreement - August 15, 2005 (PDF format)

MHP Asset Management LLC

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Mid-Ohio Securities Corp.

- Notice of Intent to Issue Cease and Desist Order - July 6, 2001 (PDF format)

- Notice of Intent to Issue Cease and Desist Order (Amended) - October 9, 2001 (PDF format)

- Consent Agreement - December 27, 2001 (PDF format)

Miller Johnson Steichen Kinnard, Inc.

- Consent Agreement - July 31, 2001 (PDF format)

Robert J. Montgomery

- Consent Agreement - November 22, 2004 (PDF format)

Moors & Cabot/Hodgman

- Consent Agreement - June 14, 2004 (PDF format)

Morgan Financial Advisors, Inc.

- Consent Agreement -July 8, 2004 (PDF format)

Nations Financial Group, Inc.

- Consent Agreement - February 21, 2001 (PDF format)

James W. Nichols

-

North Coast Energy, Inc. and McDonald Investments Inc.

- Consent Agreement - April 29, 2005 (PDF format)

Northern Capital Securities Corporation

- Consent Agreement - July 7, 2005 (PDF format)

Ohanesian/Lecours, Inc. and Richard Hammond

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Olympia Asset Management, Ltd. and Michael P. Murphy

- Notice of Intent to Deny a Broker-Dealer and Sales Representative License, Issue a Cease and Desist Order, and Impose a Civil Penalty - December 20, 2004 (PDF format)

- Consent Agreement - January 31, 2005 (PDF format)

OneSetPrice, Inc.

- Consent Agreement - November 8, 2002 (PDF format)

OppenheimerFunds, Inc. and OppenheimerFunds Distributor, Inc.

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James L. Paris Financial Services, Inc., James L. Paris and Carmen G. Paris

- Notice of Intent to Impose a Civil Penalty, Censure and Issue a Cease and Desist Order Against Respondents or to Bar James L. Paris - August 4, 2003 (PDF format)

- Consent Agreement - February 18, 2004 (PDF format)

Petersen Investments, Inc.

- Consent Agreement - February 14, 2006 (PDF format)

Portland Global Advisors LLC, John Sullivan, Derek Jaskulski, Richard Strabley and Charles Oestreicher

- Consent Agreement - April 21, 2006 (PDF format)

Prospera Financial Services, Inc.

- Consent Agreement - September 5, 2006 (PDF format)

Pruco Securities, LLC

-

RDSC, LLC

- Consent Agreement - September 2, 2004 (PDF format)

Ram Trust Services Inc.

- Consent Agreement - March 21, 2005 (PDF format)

Raymond James Financial Services, Inc. and Nina Lee J. Mendall

- Consent Agreement - June 14, 2005 (PDF format)

Robotti & Company LLC

-

Roger F. Woodman Jr. & Co. and Roger F. Woodman Jr.

- Consent Agreement - December 24, 2003 (PDF format)

SF Investments, Inc.

- Consent Agreement - July 20, 2005 (PDF format)

Sandgrain Securities Inc.

- Consent Agreement - October 20, 2003 (PDF format)

Sigma Financial Corporation

- Consent Agreement - February 18, 2004 (PDF format)

Sterne, Agee & Leach, Inc.

- Consent Agreement - November 19, 2001 (PDF format)

Alec Joel Stevens

-

StoresOnline, Inc.

- Consent Agreement - June 24, 2003 (PDF format)

- Consent Agreement - June 24, 2004 (PDF format)

- Consent Agreement - September 14, 2004 (PDF format)

Summit Brokerage Services, Inc.

- Consent Agreement - December 9, 2003 (PDF format)

Tesseract Partners, LLC

- Consent Agreement - October 7, 2003 (PDF format)

Tradex Brokerage Service, Inc.

- Consent Agreement - March 26, 2004 (PDF format)

Trubee, Collins & Co., Inc.

-

Univest Investments Inc

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Van Ness Investments, LLC/Linda Van Ness

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VanceGray Wealth Management Inc. and Joseph M. Alvarez

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Wachovia Securities, LLC

- Consent Agreement - September 16, 2004 (PDF format)

- Consent Agreement - April 25, 2005 (PDF format)

Waters, Parkerson & Co., Inc.

- Consent Agreement - December 14, 2001 (PDF format)

Welton Street Investments LLC

-

Wind River Capital Mangement, Inc., William S. Clark and John Benjamin Wootten

- Consent Agreement - April 5, 2004 (PDF format)

Wind River Capital Mangement, Inc. and William M. Hunter II

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Last Updated: February 6, 2013 11:27 AM