Enforcement Actions  
 
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Wachovia Capital Markets, LLC 
  Administrative Consent Order    Filed: 6/6/2007
Wachovia Securities, LLC and Wachovia Capital Markets, LLC 
  Consent Order    Filed: 4/3/2009
Waddell & Reed, Inc., Lonnie Brown, and John K. Maloney 
  Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing on Enforcement Division Recommendation    Filed: 6/19/2008
  Agreement/Order    Filed: 7/18/2008
Wallen, Richard 
  Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing on Enforcement Division Recommendation    Filed: 6/19/2008
  Order Barring from Association with a Broker-Dealer and/or Investment Adviser    Filed: 8/6/2008
Walling Heirs Association, Beatrice J. Thedford, Karen Thompson, LaDonna Spradlin 
  Order    Filed: 1/22/1990
  Administrator's Permanent Order    Filed: 1/23/1990
  Nunc Pro Tunc Order    Filed: 1/23/1990
  Walling Heirs Agreement    Filed: 3/16/1990
Watkins, Rodney Larry Jr. [CRD 3091936] 
  Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing on Enforcement Division Recommendation    Filed: 3/30/2012
  Order Granting Extension of Time to Answer    Filed: 4/11/2012
  Respondent's Response to Enforcement Division Recommendation    Filed: 5/15/2012
  Order and Agreement as to Rodney Larry Watkins Jr.    Filed: 8/29/2012
  Notice of Request for Hearing by Rodney Larry Watkins    Filed: 4/15/2013
  Notice of Request for Hearing by Southeast Investments, N.C. Inc. and Frank H. Black    Filed: 4/15/2013
  Order Setting Hearing    Filed: 5/9/2013
  Order Striking Hearing    Filed: 10/22/2013
  Order Setting Scheduling Conference    Filed: 10/23/2013
  Motion Requesting Rescheduling of Telephone Scheduling Conference    Filed: 10/23/2013
  Order Resetting Scheduling Conference    Filed: 10/25/2013
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