Enforcement Actions Administrative

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 5
2020

Order No. ENF-20-CDO-1808

In the Matter of CoinVaultPro: Emergency Cease and Desist Order

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. ENF-20-CDO-1805

In the Matter of David Edward "Dave"Flake: 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