Wade (Randall Martin); First Wall Street Corporation | Department of Finance

Department of Finance

About
- - - Idaho Department of Finance
      
      Safeguarding the financial health of Idahoans through the appropriate oversight of diverse financial institutions, the education and protection of consumers, and by fostering sensible innovation in the financial services market.
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Financial Institutions
- - - Financial Institutions Bureau
      
      The Financial Institutions Bureau regulates, supervises and examines state-chartered commercial banks, savings banks, credit unions, bank holding companies, trust companies and business and industrial development corporations.
      
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    - Unauthorized Use of Name – Waiver Request
Consumer Finance
- - - Consumer Finance Bureau
      
      The Consumer Finance Bureau licenses and supervises financial service providers pursuant to the Idaho Residential Mortgage Practices Act, the Idaho Collection Agency Act, and the Idaho Credit Code.
      
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Securities
- - - Securities Bureau
      
      The Securities Bureau administers and enforces several consumer and business protection statutes. Where individuals or entities violate these statutes, appropriate remedies are sought using statutory and administrative enforcement authority. The Bureau also provides assistance in criminal prosecutions when necessary.
      
      Learn More...
Legal
File a Complaint
Financial Exploitation of Certain Adults

About
- - - Idaho Department of Finance
      
      Safeguarding the financial health of Idahoans through the appropriate oversight of diverse financial institutions, the education and protection of consumers, and by fostering sensible innovation in the financial services market.
  - - About the Department
      - Department of Finance Administration
      - Department of Finance Director
    - Department Resources
      - Careers
      - Contact Us
  - - News and Media
Consumer Education
Financial Institutions
- - - Financial Institutions Bureau
      
      The Financial Institutions Bureau regulates, supervises and examines state-chartered commercial banks, savings banks, credit unions, bank holding companies, trust companies and business and industrial development corporations.
      
      Learn More...
  - - Digital Asset Custodians (Approved)
    - Unauthorized Use of Name – Waiver Request
Consumer Finance
- - - Consumer Finance Bureau
      
      The Consumer Finance Bureau licenses and supervises financial service providers pursuant to the Idaho Residential Mortgage Practices Act, the Idaho Collection Agency Act, and the Idaho Credit Code.
      
      Learn More...
  - - Mortgage
    - Mortgage Loan Originators
      - Mortgage, Mortgage Loan Servicing, and MLO Information and Forms
  - - Consumer Credit
      - Consumer Lender Forms
    - Collection Agencies
      - Collection Agency Forms
Securities
- - - Securities Bureau
      
      The Securities Bureau administers and enforces several consumer and business protection statutes. Where individuals or entities violate these statutes, appropriate remedies are sought using statutory and administrative enforcement authority. The Bureau also provides assistance in criminal prosecutions when necessary.
      
      Learn More...
Legal
File a Complaint
Financial Exploitation of Certain Adults

Wade (Randall Martin); First Wall Street Corporation

Wade (Randall Martin); First Wall Street Corporation

Agreement and Order

Wachovia Securities, LLC; Wachovia Capital Markets, LLC

Wachovia Securities, LLC; Wachovia Capital Markets, LLC

Administrative Consent Order

Wachovia Capital Markets, LLC

Wachovia Capital Markets, LLC

Findings of Fact Conclusions of Law Consent Order

UVEST Financial Services Group, Inc.

UVEST Financial Services Group, Inc.

Ultimate Holdings Corporation; Rieser (William R.)

Ultimate Holdings Corporation; Rieser (William R.)

Agreement and Order

UCI Wealth Advisors LLC; Higgins (Travis)

UCI Wealth Advisors LLC; Higgins (Travis)

Agreement and Order

UBS Warburg LLC; UBS PaineWebber, Inc.

UBS Warburg LLC; UBS PaineWebber, Inc.

Administrative Consent Order

UBS Securities LLC; UBS Financial Services, Inc.

UBS Securities LLC; UBS Financial Services, Inc.

Administrative Consent Order

U.S. Bancorp Piper Jaffray Inc.

U.S. Bancorp Piper Jaffray Inc.

Administrative Consent Order

TWH Annuities & Insurance Agency, Inc.

TWH Annuities & Insurance Agency, Inc.

Agreement and Order

ver: 3.5.2a | last updated: March 21, 2023 at 12:48 pm