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2010 Administrative Actions
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7/29/2010
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In the matter of Wells Fargo Investments, LLC.
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7/21/2010
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In the matter of E*Trade Securities, LLC Initial Decision by the Administrative Law Judge Stipulation for Consent Order Consent Order
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6/29/2010
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In the matter of Triton Financial Stipulation for Consent Order
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5/24/2010
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In the Matter of TD Ameritrade, Inc.
Stipulation for Consent Order and Consent Order regarding auction rate securities
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5/12/2010
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In the Matter of UBS Securities, LLC and UBS Financial Services Inc. Stipulation for Consent Order
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4/12/2010
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In the matter of John B. Guyette: Stipulation for Consent Order
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2/1/2010
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In the Matter of Merrill Lynch Pierce Fenner & Smith Incorporated
Stipulation for Consent Order and Consent Order regarding Client Associates |
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1/20/2010
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In the Matter of Deutsche Bank Securities, Inc.
Stipulation for Consent Order regarding auction rate securities
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