Wyoming Secretary of State

Enforcement

The Secretary of State is granted authority to investigate any violation or potential violation of Wyoming's Uniform Securities Act and the Wyoming Registered Offices and Agents Act. The text of administrative orders in enforcement actions are listed below to provide the public with official records of actions taken against persons in the securities industry.

Administrative Procedures:
Petitions, Orders and Stipulations

Date
Name
Stipulation
03/16/2009 David Oliver, Michael LaSala, IncSmart.biz, Inc. Findings of Fact Regarding False Filings with the Wyoming Secretary of State and Order Refusing Filings
04/21/2009 Mortgages Ltd. Securities, LLC Order Revoking Broker-Dealer Registration
04/21/2009 Bernard L. Madoff Investment Securities, LLC Order Revoking Broker-Dealer Registration
04/21/2009 North American Clearing, Inc. Order Revoking Broker-Dealer Registration
06/23/2009 Wachovia Securities, LLC Administrative Consent Order
07/13/2009 Citigroup Global Markets Inc. Administrative Consent Order
08/19/2009 Prosper Marketplace, Inc. Administrative Consent Order
09/02/2009 Merrill Lynch, Pierce, Fenner & Smith Incorporated Administrative Consent Order
04/09/2010 Deutsche Bank Securities, Inc. Administrative Consent Order
06/01/2010 UBS Financial Services Inc. Administrative Consent Order

Archived Orders

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