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

Mar 15
2021

Order No. ENF-21-CDO-1833

In the Matter of DailyForex247 aka DialyForex247 [sic] AKA Futureview Express AKA Pocket Option: Emergency Cease and Desist Order

Mar 14
2021

Order No. ENF-21-CDO-1831

In the Matter of Delta Crypt Limited DBA Binance Assets dba BinanceAssets LTD DBA Bit Kind LTD: Emergency Cease and Desist Order

Feb 16
2021

Order No. REG21-CAF-01

In the Matter of the Investment Adviser Representative Registration of Thomas H. Payne: Reprimanded, Registration Granted

Dec 21
2020

Order No. REG20-CAF-07

In the Matter of The Investment Adviser Registration of S.G. Long & Company: Reprimand, Fine,  and Registration Granted

Dec 21
2020

Order No. ENF-20-CDO-1830

In the Matter of NeuMacro Investments, LLC; Prime Liqidators; Michael Ray Abri and Christopher Koozekanani: Emergency Cease and Desist Order 

Dec 14
2020

Order No. REG20-SUS-06

In the Matter of the Investment Adviser Registration of Kurt Jason Gunter: Suspension, Registration Granted

Dec 1
2020

Order No. REG20-DEN-05

In the Matter of The Investment Adviser Representative and Agent Registration of Lyle Boudreaux: Registration Denied and Undertaking

Nov 23
2020

Order No. ENF-20-CDO-1829

In the Matter of TradeGo Forex Exchange AKA TradeGo Exchange AKA TradeGo Forex Global Wealth Group AKA Forex Global Trading AKA Forex Wealth Group; Ronald Ameral AKA Ronald Greg Ameral AKA Greg Ronald; David Nielson AKA David Neilson; and Brandon Newbern: Emergency Cease and Desist Order

Nov 20
2020

Order No. ENF-20-CDO-1828

In the Matter of Cryptobase AKA the Crypt-Base AKA Crypt Base and Aaron Maxwell: Emergency Cease and Desist Order

Nov 19
2020

Order No. ENF-20-CDO-1827

In the Matter of KP Financials, LLC, Kevin VU Pham, Daniel Ajwani and Gerald Johnson: Emergency Cease and Desist Order

Nov 18
2020

Order No. ENF-20-CDO-1825

In the Matter of Binary Trade Forex, FX Trades and IQTrade: Emergency Cease and Desist Order

Nov 18
2020

Order No. ENF-20-CDO-1824

In the Matter of Proactive Expert Trading; Reliable Miners; Bitcoin FX Options AKA BitcoinFX Options; Sure Trade Earnings; CryptoTradeFXWay AKA CryptoTrade FX Way; Proactive ExpertTrade; ReliableFX Internal Trade; MaxFX Internal Trade; AntPoolTop Mining; ExpertTrade247and James Blundell: Emergency Cease and Desist Order 

Nov 9
2020

Order No. ENF-20-CDO-1823

In the Matter of ARCA Wildlife Development and Conservation, LLC, FKA ARCA Wildlife Partners, LLC, FKA ARCA Development and Conservation, LLC; Texas Savanna Partners LLC AKA Texas Savanna LLC Partnership, Texas Savanna Partnership LLC, AKA Texas Savanna Breeding Partnership, LLC AKA Texas Savanna Breeding Partnership; Brian Keith Alfaro; Kristi M. Alfaro; Ariana A. Alfaro and Reece A. Alfaro: Emergency Cease and Desist Order

Oct 22
2020

Order No. ENF-20-CDO-1822

In the Matter of Charles Winn, LLC ; Charlie Jake Smith ; Oscar Valentine ; Christian Fonte AKA Chris Font , Casey Farrell , Joe Adams , Helen Stanley and Michael Jones : Emergency Cease and Desist Order

Oct 16
2020

Order No. REG20-SUS-04

In the Matter of the Investment Adviser Registration of Queen B Advisors, LLC and the Investment Advisor Representative Registration of Brooklyn Chander Willy : Suspension, Undertaking, Registration Granted

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