Enforcement Actions Administrative

In the Matter of Balanced Energy LLC and Kirk Johnson: Emergency Cease and Desist Order

In the Matter of the Investment Adviser Registration of Wealth Solutions Inc. and the Investment Adviser Representative Registration of Richard Dwayne Blair: Reprimand, Undertaking

In the Matter of the Agent and Investment Adviser Representative Registrations of Lloyd James Chappell: Revoked

In the Matter of EcoEnergy Group Inc. DBA Intermodal Wealth, Intermodal Wealth Inc., John Patrick Acord, Steven Patrick Jones, and Donald Drabik: Order Affirming Emergency Cease and Desist Order

In the Matter of Eratz Investments Inc.; California World Energy Group Inc.; Kendra Industries Ltd; and Samuel H. Roden: Agreed Cease and Desist Order

In the Matter of the Agent and Investment Adviser Representative Registrations of Lloyd James Chappell: Notice of Hearing

In the Matter of the Investment Adviser Registration of Wealth Solutions Inc. and the Investment Adviser Representative Registration of Richard Dwayne Blair: Notice of Hearing

In the Matter of the Dealer Registration of UBS Financial Services Inc.: Reprimand, Fine

In the Matter of the Dealer Registration of RBC Capital Markets LLC: Reprimand, Fine

In the Matter of the Investment Adviser Representative Registration of Douglas Bruce Shaw: Suspension