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Enforcement Actions
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Wachovia Capital Markets, LLC
Administrative Consent Order
Filed: 6/6/2007
Wachovia Securities, LLC and Wachovia Capital Markets, LLC
Consent Order
Filed: 4/3/2009
Waddell & Reed, Inc., Lonnie Brown, and John K. Maloney
Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing on Enforcement Division Recommendation
Filed: 6/19/2008
Agreement/Order
Filed: 7/18/2008
Wallen, Richard
Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing on Enforcement Division Recommendation
Filed: 6/19/2008
Order Barring from Association with a Broker-Dealer and/or Investment Adviser
Filed: 8/6/2008
Walling Heirs Association, Beatrice J. Thedford, Karen Thompson, LaDonna Spradlin
Order
Filed: 1/22/1990
Administrator's Permanent Order
Filed: 1/23/1990
Nunc Pro Tunc Order
Filed: 1/23/1990
Walling Heirs Agreement
Filed: 3/16/1990
Wei, Benjamin
Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing with attached Enforcement Division Recommendation
Filed: 11/2/2004
Order [continence of time to submit response]
Filed: 11/15/2004
Order [granting request for continuance]
Filed: 11/15/2004
Benjamin Wei's Answer to the Recommendation and Request for Hearing
Filed: 11/30/2004
Respondent's waiver
Filed: 12/21/2004
Motion to Associate Counsel [Richard J. Babnick, Jr.]
Filed: 1/11/2005
Motion to Associate Counsel [Marc J. Ross]
Filed: 1/11/2005
Respondent's First Discovery Request
Filed: 1/11/2005
Respondent's Proposed Scheduling Order
Filed: 1/13/2005
Department's Proposed Scheduling Order
Filed: 1/13/2005
Order of Admitting to Practice [J. David Ogle]
Filed: 3/3/2005
Order of Admitting to Practice [Richard J. Babnick, Jr.]
Filed: 3/3/2005
Scheduling Order
Filed: 3/24/2005
Amended Scheduling Order
Filed: 3/30/2005
Order Denying Respondent’s Motion to Strike
Filed: 4/27/2005
Agreement, and Order of Censure
Filed: 7/13/2005
Well Off Network
Notice of Service on the Administrator and Affidavit of Compliance/Notice of Opportunity for Hearing on Enforcement Division Recommendation
Filed: 4/6/2008
Order to Cease and Desist
Filed: 2/17/2009
Wilbanks Securities, Inc., Randall Lee Wilbanks, and Aaron Bronelle Wilbanks
Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing w/Enforcement Division Recommendation
Filed: 8/7/2006
Motion to Quash and Objection to Jurisdiction by Respondents, and, Pleading in the Alternative, Answer, and Pleading in the Alternative, Request for Hearing
Filed: 8/29/2006
Entry of Appearance [Bill V. Wilkinson]
Filed: 8/29/2006
ODS' Response to Respondents' Motion to Quash and Objection to Jurisdiction
Filed: 8/30/2006
Order [setting hearing and denying Respondents' motion to quash and objection to jurisdiction]
Filed: 9/1/2006
Scheduling Order
Filed: 9/26/2006
Order Modifying Scheduling Order w/Modified Scheduling Order
Filed: 11/1/2006
Order
Filed: 3/6/2007
Williams Companies, Inc. (The) and Williams Communications Group, Inc.
Order Initiating Investigation
Filed: 4/26/2002
World Equity Partners, Inc. and Munday, Todd and Thresher, Tommy
Order Initiating Investigation
Filed: 9/21/2009
World Traders Association and Scott Rinald
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 to Cease and Desist
Filed: 11/24/2003
Worldwide Commercial Funding, Inc., Betty G. Solomon, Darrell Lee Solomon, North American Comme
Order Initiating Investigation
Filed: 9/28/2004
Press Release
Filed: 9/28/2004
Wycliffe Trust and Twyman, Vernon Ray, Jr.
Order Initiating Investigation against Wycliffe Trust and Vernon Twyman Jr.
Filed: 11/10/2009
