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

Jul 14
2016

Order No. ENF-16-CDO-1745

In the Matter of Balanced Energy LLC and Kirk Johnson: Order Modifying Emergency Cease and Desist Order

May 23
2016

Order No. IC16-CAF-09

In the Matter of the Investment Adviser Registration of Post Oak Investment Management Inc.: Reprimand, Fine, Undertaking

May 23
2016

Order No. REG16-SUS-01

In the Matter of the Investment Adviser Representative Registration of Robert Michael Kuhn: Suspension, Fine

May 12
2016

Order No. IC16-CAF-08

In the Matter of the Investment Adviser Registration of Fuller Capital Management: Reprimand, Fine

Apr 28
2016

SOAH Docket No. 312-16-3856

In the Matter of David Del Castillo AKA David Castillo AKA David M. Huaracha AKA David Omar Huaracha, Now Doing Business As International Forex Fund: Notice of Hearing

Mar 30
2016

Order No. ENF-16-CDO-1744

In the Matter of David Del Castillo AKA David Castillo AKA David M. Huaracha AKA David Omar Huaracha, Now Doing Business as International Forex Fund: Emergency Cease and Desist Order

Mar 23
2016

Order No. IC16-REV-07

In the Matter of the Investment Adviser Representative Registration of Sarah Helen Hancock: Revoked

Mar 18
2016

Order No. ENF-16-CDO-1743

In the Matter of Woodbridge Mortgage Investment Fund 3 LLC and Robert H. Shapiro: Cease and Desist

Mar 18
2016

Order No. IC16-CAF-06

In the Matter of the Investment Adviser Registration of Mowery Capital Management LLC and the Investment Adviser Representative Registration of Frederick Eugene Mowery: Fines; Cease and Desist

Mar 18
2016

Order No. IC16-REV-05

In the Matter of the Investment Adviser Registration of Jim Poe & Associates Inc. and the Investment Adviser Representative Registration of James Emory Poe: Reprimand, Revocation

Mar 7
2016

Order No. IC16-CAF-04

In the Matter of the Dealer Registration of Scottrade Inc: Fine, Reprimand

Feb 23
2016

Order No. IC16-CAF-03

In the Matter of the Investment Adviser Registration of Donald Lee Laseter D/B/A Financial Consulting Services: Registration Granted with Reprimand, Fine

Feb 18
2016

Order No. IC16-CAF-02

In the Matter of the Dealer Registration of LPL Financial LLC: Reprimand, Fine

Feb 16
2016

Order No. IC16-SUS-01

In the Matter of the Investment Adviser Registration of Ronald Eugene Harrison: Suspension, Undertaking

Feb 1
2016

Order No. ENF-16-CDO-1742

In the Matter of Bristol Lamar Whittington DBA Whitco Medical Overseas S.A.: Agreed Cease and Desist Order

Dec 10
2015

Order No. IC15-CAF-06

In the Matter of the Investment Adviser Representative Registration of Michael Reed Hall: Cease and Desist; Fine; Reprimand

Dec 10
2015

Order No. IC15-SUS-05

In the Matter of the Investment Adviser Registration of Marvin M. Slater DBA Marvin M. Slater & Associates: Cease and Desist; Suspension

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