Enforcement Actions Administrative

Feb 2
2018

Order No. ENF-18-CDO-1757

In the Matter of DavorCoin: Emergency Cease and Desist

Jan 30
2018

REG18-SUS-01

In the Matter of the Investment Adviser Registration of Jason N. Anderson: Suspension

Jan 24
2018

ENF-18-CDO-1756

In the Matter of R2B Coin: Emergency Cease and Desist

Jan 8
2018

Order No. ENF-18-CDO-1755

In the Matter of the 7S Oil & Gas LLC, Pecos O&G Corporation, and William A. Sewell A/K/A Gillian Sewell: Agreed Cease and Desist Order

Jan 4
2018

Order No. ENF-CDO-1754

In the Matter of BitConnect: Emergency Cease and Desist Order

Dec 29
2017

Order No. IC17-REV-01

In the Matter of the Investment Adviser Registration of Jackson Financial Services: Revocation

Dec 20
2017

Order No. ENF-17-CDO-1753

In the Matter of USI-Tech Limited, Clifford "Cliff"Thomas and Michael "Mike"Rivera

Dec 1
2017

Order No. REG17-CAF-07

In the Matter of the Investment Adviser Representation and the Agent Registration of Richard L. Havard: Fine, Reprimand

Nov 22
2017

Order No. REG17-CAF-06

In the Matter of the Agent Registration of Octavio Tovar: Fine, Reprimand

Oct 23
2017

Order No. IC17-CAF-04

In the Matter of the Investment Adviser Registration of 212 Advisory Group LLC and the Investment Adviser Representative Registration of John McDonough: Suspension, Fine