Carroll, Jonathan Pitts dba Carroll & Company Capital Management
License or Case Number
Date of Initial Action
03/25/2019
Date of Most Recent Action
10/07/2022
Defendant/Respondent
Carroll, Jonathan Pitts dba Carroll & Company Capital Management (Carroll & Company Capital Management)
Documents
- 03/25/19 – Order Summarily Revoking (PDF)
- 04/26/19 – Settlement Agreement (PDF)
- 09/08/22 – Order to Discontinue Violations (PDF)
- 09/08/22 – Statement in Support of Order to Discontinue Violations (PDF)
- 10/07/22 – Consent Order (PDF)
About the Regulated Entity
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