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Enforcement Actions

 

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J. Ross Financial, Inc. and Brian Jason Ross
	Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing w/Enforcement Division Recommendation    Filed: 11/8/2005
	Agreement, and Order Barring from Association with a Broker-Dealer or Investment Adviser and from Offering or Selling Securities    Filed: 1/24/2006

 

Jason F. Jacobs dba Financial Planning Group
	Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing on Enforcement Division Recommendation    Filed: 6/27/2008
	Agreement/Order    Filed: 7/28/2008

 

Joe E. Poe, Jr.
	Notice of Service on the Administrator and Affidavit of Compliance; and Notice of Intent to Deny or Condition Registration and Opportunity for Hearing w/Enforcement Division Recommendation    Filed: 11/23/2005
	Response of Respondent, Joe E. Poe, Jr. to Enforcement Division Recommendation and Request for Hearing    Filed: 12/8/2005
	Order Setting Hearing    Filed: 1/23/2006
	Order Appointing Hearing Officer    Filed: 2/14/2006
	Order Imposing Sanctions against Joe E. Poe, Jr.    Filed: 4/26/2006

 

Jon B. Wallis, Ronald Chirstopher Kaufman, and Devonshire Small Cap Growth Fund LLP
	Order Initiating Investigation    Filed: 8/27/2007

 

Jones Financial Group, Inc.
	Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing with attached Enforcement Division Recommendation    Filed: 10/31/2003
	Order of Case Closure    Filed: 12/31/2003

JPMorgan Chase & Co.
	Consent Order    Filed: 10/26/2009