Published Enforcement Orders

Use the search bar below to search for disciplinary actions by Respondent Name. Alternatively, you can filter your search by month and year to see orders issued within the selected timeframe. 

Please note that you should also search the “Verify a license record” at www.michigan.gov/miclear and review Disciplinary Action Reports for additional disciplinary actions.

If you are researching the background of an investment professional, find additional resources at www.michigan.gov/investoreducation. 

To apply filters, select the category you would like to filter for from the drop downs. Be sure to select "Apply" in each drop down.

Note: Documents appearing on this section of the website are considered archived content and might not meet WCAG 2.1 AA accessibility standards.  See 28 CFR 35.201(a).  Yet if you need any specific content in an accessible format, please contact us at LARA-CSCL-Securities-Audit@michigan.gov.