Enforcement Actions  
 
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U.S. Bancorp Piper Jaffray Inc. 
  Administrative Consent Order    Filed: 9/23/2003
UBS Financial Services, Inc. 
  Consent Order    Filed: 6/26/2014
UBS Securities, LLC (ARS) and UBS Financial Services, Inc. (ARS) 
  Consent Order    Filed: 12/8/2010
United Business Concepts of America and DePalma, Pete 
  Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing with Enforcement Division Recommendation    Filed: 2/25/2011
  Order to Cease and Desist    Filed: 3/25/2011
United Ventures, Jack W. Forrester, Matthew M. Reynolds, L.Vergo Mortensen, T. Mace Lichten, Pe 
  Order Initiating Investigation    Filed: 11/6/2002
Universal Factoring Company, Inc., Newco-HC, Inc., James Ray Eckhart 
  Amended Petition for Permanent Injunction and other Equitable Relief    Filed: 2/18/1999
  Dismissal without Prejudice    Filed: 3/30/2001
  Stipulation and Consent    Filed: 3/30/2001
  Agreed Order    Filed: 3/30/2001
  Citation of Indirect Criminal Contempt against Emzie Huletty    Filed: 3/19/2004
  Notice of Hearing [12/30/04 @ 9:00 a.m.] on Application for Allowance of Compensation and Reimbursement of Expenses    Filed: 12/8/2004
uSight 
  Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing with attached Enforcement Division Recommendation    Filed: 1/31/2003
  Order to Cease and Desist    Filed: 2/24/2003
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