Enforcement Actions Administrative

Jun 15
2021

Order No. ENF-21-CDO-1840

In the Matter of Valiant Holdings, LLC, The Goodnight Group, and David Wesley Goodnight: Emergency Cease and Desist Order

May 19
2021

Order No. IC21-REV-02

In the Matter of the Investment Adviser Representative Registration of Randall Fields: Registration Revoked

Apr 30
2021

Order No. ENF-21-CDO-1839

In the Matter of EscoCapital aka Esco Capital and Anthony Jerome aka Anthony Vitale: Emergency Cease and Desist Order

Apr 29
2021

Order No. ENF-21-CDO-1838

In the Matter of Hyperion Trust LLC aka HyperionTrust aka Hyperion Mutual Trust aka Hyperion Assets Limited aka Hyperion Assets Management Limited; Roberto Atrizio; Alisia Briston; Thomas Mcclelland; and Robert Greene: Emergency Cease and Desist Order

Apr 27
2021

Order No. ENF-21-CDO-1837

In the Matter of Affort Projects S.A.; AlgorAndTrade24; AuxiliaryFX LTD aka AuxiliaryFX aka Auxiliary FX; CryptoDail yTradePlus; CryptoStreamTrade aka CryptoStream aka Crypto$tream; Exerlo; FXtradeplus24; FXVirwoxFair; Nexetral; Prime Coin Option aka PrimeCoinOption; SplitFXTrade aka OandaForexTrade; TradeFlow 24 aka TradeFlow24; TradeOptionMarket aka Trade Option Market; ViaForexTrade; XpressTrade24; and XpressTrade247: Emergency Cease and Desist Order

Apr 16
2021

Order No. ENF-21-CDO-1836

In the Matter of Bitles Limited aka "Bitle$"; Janis Lacis; C3 Data Services; and Edward Carter: Emergency Cease and Desist Order

Apr 15
2021

Order No. ENF-21-CDO-1835

In the Matter of Dennis Keith Sanders and Southwest Resources, Inc.: Agreed Cease and Desist Order

Apr 15
2021

Order No. REG21-CAF-02

In the Matter of the Investment Adviser Registration the Investment Adviser Representative Registration of Scott Malone: Reprimand, Fine, Undertaking, and Registration Granted

 

Apr 1
2021

Order No. IC21-CAF-01

In the Matter of Independent Financial Group, LLC: Undertaking and Fine

Mar 18
2021

Order No. ENF-21-CDO-1834

In the Matter of D&S Recruiting, LLC, DBA Legacy Leads; Dirty Richard’s Products, LLC, DBA Dirty Dick’s Products, LLC; and Larry Scott Rogers AKA Scott Rogers: Emergency Cease and Desist Order