Archives: Administrative Actions

Stifel, Niclaus & Company, Inc.

Administrative Consent Order

Blake Michael Allen

Order Denying MLO License Application and Notice of Right to a Hearing (9/11/2025)

Scott James Rocky II

Order Denying MLO License Application and Notice of Right to a Hearing(9/11/2025)

Kelly Jo Goodwin

Order Denying Mortgage Loan Originator License Application and Notice of Right to a Hearing (9/4/2025)

Androu George Soliman

Order Denying MLO License Application and Notice of the Opportunity to Request A Hearing

Andre Lamont Grey

Order Denying MLO License Application and Notice of the Opportunity to Request A Hearing

Lawrence Edward II Scott

Order Denying MLO License Application and Notice of the Opportunity to Appeal

The 401K Source, Inc.

The 401K Source, Inc Order of Summary Suspension of IA Registration 1.2.2025

Ryan Patrick Nohalty

Order Denying MLO License Application and Notice of the Opportunity to Request A Hearing

LG Associates, dba LG & Associates LLC, dba Lehigh Gates & Associates, and dba Lehigh Gates & Associates, LLC

Order to Cease and Desist

1 2 3 4 … 83