Investing

Petitions, Orders and Stipulations

Date Name Stipulation
03/04/2014 Morgan Keegan & Company, Inc. Administrative Consent Order
03/12/2013 KBR Capital Markets, LLC Broker-Dealer Revocation Order
10/10/2012 E*Trade Securities LLC Administrative Consent Order
04/03/2012 Priority Capital Investments, LLC Broker-Dealer Revocation Order
04/03/2012 Pacific American Securities, LLC Broker-Dealer Revocation Order
10/05/2011 Raymond James Administrative Consent Order
11/17/2010 Morgan Stanley & Co. Incorporated Administrative Consent Order
11/10/2010 TD Ameritrade, Inc. Administrative Consent Order
06/29/2010 Credit Suisse Securities LLC Administrative Consent Order
06/01/2010 UBS Financial Services Inc. Administrative Consent Order
04/09/2010 Deutsche Bank Securities, Inc. Administrative Consent Order

Archived Orders (Zip File)

Office Information

State Capitol Building
200 West 24th Street
Cheyenne, WY 82002-0020

For additional information,
including driving directions,
please see the Contact Us page.

Office Hours

8:00 a.m. to 5:00 p.m. MST
Monday through Friday
(except for official state holidays)

About Our Office

We have a long history of serving the public. Beginning in April 1869 with the appointment of the first Secretary of the Territory of Wyoming, Edward M. Lee, by United States President Ulysses S. Grant, this office has always served the public from the State Capitol and continues to do so today.