Wyoming Secretary of State

Enforcement

Summary

The Secretary of State is granted authority to investigate any violation or potential violation of Wyoming's Uniform Securities Act. The Uniform Securities Act provides the Secretary of State authority to bring administrative actions against the registrations of persons who violate provisions of the law. Such actions may be taken under W.S. 17-4-106, W.S. 17-4-112, and W.S. 17-4-114. Administrative actions are commenced according to the provisions of Wyoming's Administrative Procedure Act. W.S. 16-3-101 et seq. and the provisions found in Wyoming Securities Rule, Chapter 8, regarding orders, contests and hearings. The Secretary of State may also refer evidence of criminal wrong-doing to the Attorney General or to county attorneys who may institute the appropriate criminal proceedings under this act. The following are alerts about matters the Secretary of State has concerns with and wishes to provide warnings to investors. 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

Order Name Date Stipulation
05-01 Thomas Weisel Partners, LLC 07/19/2005 Administrative Consent Order
05-02 Deutsche Bank Securities, Inc. 07/26/2005 Administrative Consent Order
06-04 America First Associates Corp. 03/27/2006 Order Revoking-Broker-Dealer Registration
06-05 The Malachi Group, Inc. 03/27/2006 Order Revoking-Broker-Dealer Registration
06-06 Merrill Lynch Financial Markets, Inc. 06/05/2006 Order Registering Non-NASD Member Broker-Dealer
07-01 Wachovia Capital Market, LLC 12/28/2006 Consent Order
07-04 Essex & York, Inc. 06/21/2007 Order Revoking-Broker-Dealer Registration
07-03 Indievest Securities, Inc. 06/21/2007 Order Revoking-Broker-Dealer Registration
NA Morgan Stanley & CO. Incorporated 05/08/2008 Findings Of Fact Conclusions Of Law Consent Order

Archived Orders

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