Dec 19
2013

Order No. ENF-13-CDO-1730

In the Matter of EcoEnergy Group Inc. DBA Intermodal Wealth, Intermodal Wealth Inc., John Patrick Acord, Steven Patrick Jones, and Donald Drabik: Order Affirming Emergency Cease and Desist Order

Dec 17
2013

Order No. ENF-13-CDO-1729

In the Matter of Eratz Investments Inc.; California World Energy Group Inc.; Kendra Industries Ltd; and Samuel H. Roden: Agreed Cease and Desist Order

Nov 19
2013

SOAH Docket No. 312-14-0996

In the Matter of the Agent and Investment Adviser Representative Registrations of Lloyd James Chappell: Notice of Hearing

Oct 16
2013

SOAH Docket No. 312-14-0607

In the Matter of the Investment Adviser Registration of Wealth Solutions Inc. and the Investment Adviser Representative Registration of Richard Dwayne Blair: Notice of Hearing

Sep 16
2013

Order No. IC13-CAF-09

In the Matter of the Dealer Registration of RBC Capital Markets LLC: Reprimand, Fine

Sep 16
2013

Order No. IC13-CAF-08

In the Matter of the Dealer Registration of UBS Financial Services Inc.: Reprimand, Fine

Sep 5
2013

Order No. IC13-SUS-07

In the Matter of the Investment Adviser Representative Registration of Douglas Bruce Shaw: Suspension

Aug 28
2013

Order No. IC13-CAF-06

In the Matter of the Investment Adviser Registration of Wealth Solutions Inc. and the Investment Adviser Representative Registration of Richard Dwayne Blair: Reprimand, Undertaking

Jul 18
2013

Order No. ENF-13-CDO-1727

In the Matter of Affordable Leasing and Finance LP; Leap Frog Capital LP; Your Dollar Builder LLC; and Bruce A. Craig: Emergency Cease and Desist Order

Jul 16
2013

Order No. ENF-13-CDO-1726

In the Matter of Texas Investment & Trust Co., Whittle Development Inc., and Robert S. Whittle: Agreed Cease and Desist Order

Jun 20
2013

Order No. IC13-SUS-05

In the Matter of the Investment Adviser Representative Registration of Jason Allen D'Amato: Suspension

May 23
2013

Order No. IC13-SUS-04

In the Matter of the Investment Adviser Representative Registration of Tracy Morgan Spaeth: Suspension

May 7
2013

Order No. ENF-13-CDO-1725

In the Matter of Cliff Rock Capital Management LLC and Charles W. Gorman: Agreed Cease and Desist Order

Apr 22
2013

Order No. ENF-13-CDO-1722

In the Matter of Texas Investment & Trust Co., Whittle Development, Inc., and Robert S. Whittle

Mar 19
2013

Order No. REG13-SUS-01

In the Matter of the Application for Agent Registration of Salvatore Clark

Mar 14
2013

SOAH Docket No. 312-13-3151

In the Matter of the Investment Adviser Registration of Wealth Solutions Inc. and the Investment Adviser Representative Registration of Richard Dwayne Blair: Notice of Hearing to Revoke Registrations

Feb 25
2013

Order No. IC13-CAF-03

In the Matter of The Investment Adviser Registration of Warner Financial Group, Inc. and The Investment Adviser Representative Registration of Mark Taylor Warner: Reprimand, Fine

Feb 25
2013

Order No. IC13-SUS-02

In the Matter of the Agent and Investment Adviser Representative Registrations of John Edward Sprague: Suspension

Feb 25
2013

Order No. IC13-SUS-01

In the Matter of the Agent and Investment Adviser Representative Registrations of Katherine Cannon Zamora: Suspension