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

Oct 14
2016

Order No. IC16-SUS-17

In the Matter of the Investment Adviser Registration of J. Pinkernell Global Wealth LLC and the Investment Adviser Representative Registration of Jens Pinkernell: Suspension

Oct 4
2016

Order No. REG16-SUS-03

In the Matter of the Investment Adviser Representative Registration and the Agent Registration of MF Long II: Registrations Granted, Suspension, Undertaking

Oct 3
2016

Order No. ENF-17-CDO-1748

In the Matter of Old Security Financial Group Inc.; Donald Anthony MacKenzie; and Robert S. Davis Jr.: Agreed Order

Sep 22
2016

Order No. IC-CAF-16

In the Matter of the Dealer Registration of Charles Schwab & Co. Inc: Reprimand, Fine

Sep 21
2016

Order No. REG16-CAF-02

In the Matter of the Investment Adviser Representative Registration and the Agent Registration of Stephen M. Scheurer: Reprimand, Fine, Registrations Granted

Sep 20
2016

Order No. IC16-CAF-15

In the Matter of the Investment Adviser Registration of Rubicon Investment Management & Analytics LLC: Reprimand, Fine

Sep 19
2016

Order No. ENF-16-CDO-1747

In the Matter of Strata Medical Innovations Inc. and Mark Aldana: Agreed Cease and Desist Order

Sep 14
2016

Order No. REG16-CAF-15

In the Matter of the Application for Dealer Registration of Richards, Merrill & Peterson Inc. and Applications for the Agent Registrations of Steven Richard Larson and John Scott Larson: Reprimands, Fine

Aug 29
2016

SOAH Docket No. 312-16-5973

In the Matter of Texas First Financial LLC; Bobby Eugene Guess; and Mechanical Motion Solutions LLC: Notice of Hearing

Aug 15
2016

Order No. ENF-16-CDO-1746

In the Matter of Texas First Financial LLC; Bobby Eugene Guess: and Mechanical Motion Solutions LLC: Emergency Cease and Desist Order

Aug 9
2016

SOAH Docket No. 312-16-5589

In the Matter of the Investment Adviser Registration of Lawrence Allen Deshetler DBA Partners Investment Advisors: Notice of Hearing to Revoke Registration

Aug 8
2016

Order No. IC16-CAF-14

In the Matter of the Investment Adviser Registration of Valor Capital Asset Management LLC: Reprimand, Fine

Aug 2
2016

Order No. IC16-CAF-13

In the Matter of the Dealer Registration of the The Investment Center Inc.: Reprimand, Fine

Jul 27
2016

Order No. IC16-SUS-12

In the Matter of the Dealer and Investment Adviser Registrations of Michael Jason Gamez: Suspension

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