Sep 9
2020

Order No. IC20-REV-05

In the Matter of The Investment Advisor Representative Registration of Kim D. Butler: Registration Revoked

Sep 3
2020

Order No. ENF-20-CDO-1820

In the Matter of Forex Birds, LTD.; Kumar Babu Gondesi; Eric Balusek aka Darwin Eric Balusek aka Bitcoin Pope; and Pek Universe: Emergency Cease and Desist Order

Sep 1
2020

Order No. ENF-20-CDO-1818

In the Matter of Energy Investment Partners, LLC and John Robert "Bob" Flournoy: Emergency Cease and Desist Order 

Aug 14
2020

Order No. ENF-20-CDO-1817

In the Matter of Liquid Gold Trust, Liquidity Card Solution LLC, Liquidity Global Card Solution (PTY) LTD, and Lance Angus Jerrard: Emergency Cease and Desist Order

Jul 23
2020

Order No. ENF-20-CDO-1815

In the Matter of Advanced Wellness Services, LLC dba WellnessTech Healthtm, Recovery Management International, and Randall "Randy" Johnson: Order Modifying Emergency Cease and Desist Order ENF-19-CDO-1775

 

Jul 16
2020

Order No. ENF-20-CDO-1814

In the Matter of Mind Capital AKA Mind Capital OÜ AKA Mind Capital Tech SL; Gonzo Garcia-Pelayo; Oscar Garcia-Pelayo; Rubén Arcas; Manual Arniz; Cristina Kelly Lopez’ Alejandro Mejía; and Craig Kintzel

Jul 7
2020

Order No. ENF-20-CDO-1811

In the Matter of Mirror Trading International PTY LTD; Cornelius Johannes "Johann" Steynberg; ForexandBitcoin.com; Michael Aaron Cullison; Steve Herceg and Brian D. Knott: Emergency Cease and Desist Order

Jun 17
2020

Order No. ENF-20-CDO-1810

In the Matter of PRT Consulting, LLC DBA Petroleum Resources of Texas; Emilio Barrera, Jr. AKA Mike Barrera; Beeler 2H Joint Venture; Todd Prince; Richmond Engineering, Inc; SmartOilAndGas.org D/B/A Smart Oil and Gas; and Mark Allan Plummer AKA M.A. Plummer: Emergency Cease and Desist Order

Jun 15
2020

Order No. IC20-CAF-04

In the Matter of the Investment Adviser Registration of Jim Poe & Associates, Inc.: Reprimand, Undertaking

Jun 12
2020

Order No. ENF-20-CDO-1809

In the Matter of Travco Oil and Gas, LLC, Travis Jordan and Tom Darcy: Agreed Order, Fine

Jun 3
2020

Order No. ENF-20-CDO-1807

In the Matter of Paul Leslie Depew aka Leslie Paul and How Bazzar, LLC: Emergency Cease and Desist Order

May 29
2020

Order No. REG20-CAF-03

In the Matter of the Investment Adviser Registration of Challenger Wealth Management: Reprimand, Fine, Registration Granted

May 27
2020

Order No. ENF-20-CDO-1806

In the Matter of Winchester Financial Group; PCI Group Companies, Inc; PCI Group Companies, LTD; and Stephen Charles Peterson: Emergency Cease and Desist Order

May 27
2020

Order No. REG20-SUS-02

In the Matter of the Agent and the Investment Adviser Representative Registration of Michael C De Pippo: Reprimand, Registration Granted

May 15
2020

Order No. ENF-20-CDO-1804

In the Matter of Nickolas Steele AKA Nick Vop Steele AKA Nick Steele: Emergency Cease and Desist Order

May 14
2020

Order No. IC20-CAF-03

In the Matter of the Investment Adviser Registration of Lorintine Capital LP: Fine, Reprimand

Apr 17
2020

Order No. ENF-20-CDO-1803

In the Matter of Kenzley Ramos AKA Anthony David "Tony" Mckinney AKA Anthony Green: Emergency Cease and Desist Order

Apr 16
2020

Order No. ENF-CDO-1802

In the Matter of Texas Shallow Oil & Gas LLC and Kenneth Wayne Wooldridge: Emergency Cease and Desist Order

Apr 8
2020

Order No ENF-20-CDO-1801

In the Matter of UltraMining.IO AKA Ultra BTC Mining LLC AKA Ultra Mining and Laura Branch: Emergency Cease and Desist Order

Pages