Feb 15
2018

Order No. ENF-18-CDO-1759

In the Matter of Investors of Crypto LLC and Daniel Neves: Agreed Cease and Desist Order

Feb 9
2018

Order No. ENF-18-CDO-1758

In the Matter of SourceRock Energy Phoenix Prospect LP; SourceRock Energy GP LLC; SourceRock Energy Partners LP; J.A. Gilbert AKA Jason A. Gilbert; and Parker Hallam: Emergency Cease and Desist Order

 

Jan 30
2018

REG18-SUS-01

In the Matter of the Investment Adviser Registration of Jason N. Anderson: Suspension

Jan 24
2018

ENF-18-CDO-1756

In the Matter of R2B Coin: Emergency Cease and Desist

Jan 8
2018

Order No. ENF-18-CDO-1755

In the Matter of the 7S Oil & Gas LLC, Pecos O&G Corporation, and William A. Sewell A/K/A Gillian Sewell: Agreed Cease and Desist Order

Dec 29
2017

Order No. IC17-REV-01

In the Matter of the Investment Adviser Registration of Jackson Financial Services: Revocation

Dec 1
2017

Order No. REG17-CAF-07

In the Matter of the Investment Adviser Representation and the Agent Registration of Richard L. Havard: Fine, Reprimand

Oct 23
2017

Order No. IC17-CAF-04

In the Matter of the Investment Adviser Registration of 212 Advisory Group LLC and the Investment Adviser Representative Registration of John McDonough: Suspension, Fine

Jul 18
2017

Order No. IC17-CAF-03

In the Matter of the Investment Adviser Registration of Michael Keith Parish: Suspension, Fine

Jun 21
2017

Order No. REG17-CAF-05

In the Matter of the Agent Registration of Trevor M. Carney: Fine, Reprimand

Jun 19
2017

Order No. IC17-CAF-02

In the Matter of the Investment Adviser Registration of Provident Capital Management Inc.: Suspension, Fine

Jun 2
2017

Order No. IC17-CAF-01

In the Matter of the Dealer Registration of PTI Securities & Futures LP: Fine, Reprimand

 

May 22
2017

Order No. ENF-17-CDO-1752

In the Matter of DBack Capital Inc. and Kenneth Edward Shelton: Agreed Cease and Desist Order

May 5
2017

Order No. ENF-17-CDO-1751

In the Matter of Raymond Hill, Mark Diaz, and Wales Marketing and Consultancy: Emergency Cease and Desist

May 4
2017

Order No. REG17-SUS-04

In the Matter of the Investment Adviser Representative Registration and the Agent Registration of Marie P. Goforth: Registration Granted; Suspension

Apr 10
2017

Order No. REG17-SUS-03

In the Matter of the Investment Adviser Representative Registration of Kermit Gordon Gable Jr.: Suspension

Apr 5
2017

Order No. REG17-CAF-02

In the Matter of the Agent Registration and Investment Adviser Representative Registration of Brad Cain: Fine, Reprimand

Feb 13
2017

Order No. REG17-CAF-01

In the Matter of the Investment Adviser Representative Registration of Robert Yrshus: Suspension, Fine, Registration Granted

Jan 5
2017

Order No. ENF-17-CDO-1750

In the Matter of BP Financial & Tax Design Group and Brett Pittsenbarger:  Cease and Desist

Dec 30
2016

Order No. REG16-CAF-05

In the Matter of the Investment Adviser Representative Registration and the Agent Registration of Bruce Russell Clark: Registrations Granted; Reprimand; Fine

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