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.
| 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 |