Enforcement Actions Administrative

Aug 28
2013

Order No. IC13-CAF-06

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

Aug 9
2013

Order No. ENF-13-CDO-1728

In the Matter of TriStar Equity and Tom Carter: Agreed Cease and Desist Order

Jul 18
2013

Order No. ENF-13-CDO-1727

In the Matter of Affordable Leasing and Finance LP; Leap Frog Capital LP; Your Dollar Builder LLC; and Bruce A. Craig: Emergency Cease and Desist Order

Jul 16
2013

Order No. ENF-13-CDO-1726

In the Matter of Texas Investment & Trust Co., Whittle Development Inc., and Robert S. Whittle: Agreed Cease and Desist Order

Jun 20
2013

Order No. IC13-SUS-05

In the Matter of the Investment Adviser Representative Registration of Jason Allen D'Amato: Suspension

May 23
2013

Order No. IC13-SUS-04

In the Matter of the Investment Adviser Representative Registration of Tracy Morgan Spaeth: Suspension

May 7
2013

Order No. ENF-13-CDO-1725

In the Matter of Cliff Rock Capital Management LLC and Charles W. Gorman: Agreed Cease and Desist Order

Apr 30
2013

Order No. ENF-13-CDO-1724

In the Matter of Modern Oil Ventures, LLC and Marion Don Miller

Apr 22
2013

Order No. ENF-13-CDO-1723

In the Matter of A&I Lease Service, Inc., and Dora Ozuna

Mar 19
2013

Order No. REG13-SUS-01

In the Matter of the Application for Agent Registration of Salvatore Clark