Enforcement Actions
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Recent Submissions
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In the matter of: Steven Michael Diamond, respondent: administrative complaint
(Commonwealth of Massachusetts, Office of the Secretary of the Commonwealth, Securities Division, [Enforcement Section], 2022-05-03) -
In the matter of: ReAlpha Asset Management, Inc., respondent: consent order
(Commonwealth of Massachusetts, Office of the Secretary of the Commonwealth, Securities Division, [Enforcement Section], 2022-04-15) -
In the matter of: U.S. Data Mining Group Inc., respondent: consent order
(Commonwealth of Massachusetts, Office of the Secretary of the Commonwealth, Securities Division, [Enforcement Section], 2022-03-22) -
In the matter of: Alumni Ventures Group, LLC, and Michael Collins, Respondents : consent order
(Commonwealth of Massachusetts, Office of the Secretary of the Commonwealth, Securities Division, [Enforcement Section], 2022-03-04) -
In the matter of: Purshe Kaplan Sterling Investments, Inc., Respondent : administrative complaint
(Commonwealth of Massachusetts, Office of the Secretary of the Commonwealth, Securities Division, [Enforcement Section], 2022-02-17) -
In the matter of: In the matter of: Fidelity Brokerage Services LLC, Respondent : administrative complaint
(Commonwealth of Massachusetts, Office of the Secretary of the Commonwealth, Securities Division, [Enforcement Section], 2022-01-26) -
In the matter of: Robinhood Financial, LLC, respondent: administrative complaint
(Commonwealth of Massachusetts, Office of the Secretary of the Commonwealth, Securities Division, [Enforcement Section], 2020-12-16) -
In the matter of: Retire Happy, LLC, Julie A. Minuskin, and Joshua P. Stoll, respondents: administrative complaint
(Commonwealth of Massachusetts, Office of the Secretary of the Commonwealth, Securities Division, [Enforcement Section], 2020-12-22) -
In the matter of: James P. O'Connell and Charles Schwab & Co., Inc., respondents: administrative complaint
(Commonwealth of Massachusetts, Office of the Secretary of the Commonwealth, Securities Division, [Enforcement Section], 2021-07-21) -
In the matter of: MML Investors Services, LLC, respondent: consent order
(Commonwealth of Massachusetts, Office of the Secretary of the Commonwealth, Securities Division, [Enforcement Section], 2021-09-15) -
In the matter of: MML Investors Services, LLC: consent order
(Commonwealth of Massachusetts, Office of the Secretary of the Commonwealth, Securities Division, [Enforcement Section], 2021-09-15) -
In the matter of: Zipbox, Inc., Charmingbliss Inc., Leetown Development, Inc., Advancz Management Group Inc., Franz Wai Chan, and Pou San Au, respondents: administrative complaint
(Commonwealth of Massachusetts, Office of the Secretary of the Commonwealth, Securities Division, [Enforcement Section], 2021-10-05) -
In the matter of: Bestonomics, LLC, Best Banking, LLC, and Mark L. Sokol, respondents: administrative complaint
(Commonwealth of Massachusetts, Office of the Secretary of the Commonwealth, Securities Division, [Enforcement Section], 2020-12-01) -
In the matter of: Elizabeth Hughes, Gregory Felden, and IFC Holdings, Inc., respondents: administrative complaint
(Commonwealth of Massachusetts, Office of the Secretary of the Commonwealth, Securities Division, [Enforcement Section], 2020-09-18) -
In the matter of: Charles C. Kulch, respondent: administrative complaint
(Commonwealth of Massachusetts, Office of the Secretary of the Commonwealth, Securities Division, [Enforcement Section], 2020-07-16) -
In the matter of: Kenzley Ramos, respondent: administrative complaint
(Commonwealth of Massachusetts, Office of the Secretary of the Commonwealth, Securities Division, [Enforcement Section], 2020-07-14) -
In the matter of: Mark Baxter, respondent: administrative complaint
(Commonwealth of Massachusetts, Office of the Secretary of the Commonwealth, Securities Division, [Enforcement Section], 2020-07-14) -
In the matter of: GPB Capital Holdings, LLC, respondent: administrative complaint
(Commonwealth of Massachusetts, Office of the Secretary of the Commonwealth, Securities Division, [Enforcement Section], 2020-05-27) -
In the matter of: Bruce Taylor Cameron, and RBC Capital Markets, LLC, respondents : administrative complaint
(Commonwealth of Massachusetts, Office of the Secretary of the Commonwealth, Securities Division, [Enforcement Section], 2020-05-19) -
In the matter of: Ronald J. Leger, Jr., New England Alternative Investments, Inc., and New England Life Settlement Fund I Management Company LLC, respondents : administrative complaint
(Commonwealth of Massachusetts, Office of the Secretary of the Commonwealth, Securities Division, [Enforcement Section], 2020-02-06)
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