Enforcement Actions  
 
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J&R Distributing Co. and Montgomery, Robert T. 
  Agreement/Order    Filed: 7/5/2013
J. Ross Financial, Inc. and Brian Jason Ross 
  Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing w/Enforcement Division Recommendation    Filed: 11/8/2005
  Agreement, and Order Barring from Association with a Broker-Dealer or Investment Adviser and from Offering or Selling Securities    Filed: 1/24/2006
J.P. Morgan Securities Inc. 
  Administrative Consent Order    Filed: 9/18/2003
J.P. Morgan Securities, LLC 
  Consent Order    Filed: 9/11/2014
Jason F. Jacobs dba Financial Planning Group 
  Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing on Enforcement Division Recommendation    Filed: 6/27/2008
  Agreement/Order    Filed: 7/28/2008
Joe E. Poe, Jr. 
  Notice of Service on the Administrator and Affidavit of Compliance; and Notice of Intent to Deny or Condition Registration and Opportunity for Hearing w/Enforcement Division Recommendation    Filed: 11/23/2005
  Response of Respondent, Joe E. Poe, Jr. to Enforcement Division Recommendation and Request for Hearing    Filed: 12/8/2005
  Order Setting Hearing    Filed: 1/23/2006
  Order Appointing Hearing Officer    Filed: 2/14/2006
  Order Imposing Sanctions against Joe E. Poe, Jr.    Filed: 4/26/2006
John Johanning, Inc. and Johanning, John 
  Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing on Enforcement Division Recommendation    Filed: 9/26/2012
  Order Revoking Registrations    Filed: 10/31/2012
John Johanning, Inc. and Johanning, John Arnold 
  Notice of Service on the Administrator and Affidavit of Compliance; Order to Cease and Desist and Notice of Opportunity for Hearing    Filed: 5/27/2015
  Agreement; Order    Filed: 6/19/2015
  Final Order    Filed: 6/24/2015
Johnson, Mark Anthony [CRD 2842194] 
  Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing on Enforcement Division Recommendation    Filed: 5/28/2009
  Entry of Appearance [J. Angela Ables and Johnny R. Blasingame]    Filed: 6/22/2009
  Answer and Request for Hearing [Mark A. Johnson]    Filed: 6/23/2009
  Order Setting Hearing [September 30, 2009 @ 9:00 a.m.]    Filed: 7/13/2009
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