Jun 6
2019

Order No. ENF-19-CDO-1778

In the Matter of InnerGeo LLC, WaterReco LLC DBA OilReco: Emergency Cease and Desist Order

Jun 6
2019

Order No. REG19-SUS-04

In the Matter of the Investment Adviser Representative Registration of Mark A. Trewitt: Suspension

Jun 6
2019

Order No. IC19-CAF-01

In the Matter of the Investment Adviser Registration of LFS RIA LLC and the Investment Adviser Representative Registration of Clair Crossland: Reprimand, Repayment

Apr 30
2019

Order No. ENF-19-CDO-1777

In the Matter of TMTE Inc., AKA Metals.com, Chase Metals LLC, and Chase Metals Inc.; Walter Vera; Michael Kendall and Athena Hunter: Emergency Cease and Desist Order

Apr 9
2019

Order No. ENF-19-CDO-1776

In the Matter of FxBitGlobe AKA FX Bit Globe Limited AKA FxBitGlobe Trading Company FKA Fidelity Trading Company: Emergency Cease and Desist Order

Apr 1
2019

Order No. REG19-CAF-03

In the Matter of the Investment Adviser Registration of Integrity RIA LLC: Fine, Reprimand

Mar 7
2019

Order No. ENF-19-CDO-1775

In the Matter of Advanced Wellness Services LLC, DBA WellnessTech Health, Recovery Management International and Randall "Randy" Johnson: Emergency Cease and Desist Order

Feb 21
2019

Order No. ENF-19-CDO-1774

In the Matter of Mintage Mining LLC, BC Holdings and Investments LLC DBA Mintage Mining, Social Membership Network Holding LLC, NUI Social LLC, and Darren Olayan: Fine, Rescission Offer

Feb 19
2019

Order No. REG19-CAF-01

In the Matter of the Investment Adviser Registration of Global Asset Management Group Inc.: Fine, Reprimand

Nov 27
2018

Order No. REG18-CAF-03

In the Matter of the Investment Adviser Representative Registration and the Agent Registration of Robin Curt Holcomb: Fine, Reprimand

Nov 27
2018

Order No. ENF-18-CDO-1773

In the Matter of My Crypto Mine and Mark Steven Royer: Emergency Cease and Desist Order

Nov 6
2018

Order No. ENF-18-CDO-1771

In the Matter of AWS Mining PTY Ltd, Automated Web Services Mining AKA AWS Mining, Daniel Beduschi, Alexandre Campos, Jessica Nunes Sivirino, MyCoinDeal, AWS Elite, Josiah Kostek, West Texas Oilfield Cloud Miners Club and Kenneth Luster: Emergency Cease and Desist Order

Nov 6
2018

Order No. ENF-18-CDO-1772

In the Matter of EXY Crypto AKA EXECRYPTO, Morgan Nolan, Rafael Logan and Melissa Spring: Emergency Cease and Desist Order

Nov 5
2018

Order No. IC18-CAF-03

In the Matter of the Dealer Registration of Trade-PMR Inc.: Fine, Reprimand

Nov 5
2018

Order No. IC18-CAF-04

In the Matter of the Dealer and Investment Adviser Registration of Brazos Securities Inc.: Fine, Reprimand

Oct 10
2018

Order No. ENF-18-CDO-1770

In the Matter of GoForex Group AKA Go Forex Group, Mary A. Scott, and Sharon Henderson: Emergency Cease and Desist Order

Sep 18
2018

Order No. ENF-18-CDO-1769

In the Matter of Ultimate Assets LLC, Daniel Dishmon, and John Jason Woodard: Emergency Cease and Desist Order

Sep 18
2018

Order No. ENF-18-CDO-1767

In the Matter of Coins Miner Investment Ltd. AKA Coins Miner and Ana Julia Lara: Emergency Cease and Desist Order

Sep 18
2018

Order No. ENF-18-CDO-1768

In the Matter of DGBK Ltd. AKA DigitalBank, Tim Weiss, Ranka Romic and Kim Joseph Manning: Emergency Cease and Desist Order

Aug 15
2018

Order No. IC18-CAF-01

In the Matter of the Investment Adviser Representative Registration and the Ageny Registration of John William Noey: Fine, Reprimand

Aug 15
2018

Order No. IC18-CAF-02

In the Matter of the Investment Adviser Registration of TK2 Advisers LLC: Reprimand

Pages