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-SUS-05

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

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 1
2015

Order No. IC15-CDO-04

In the Matter of the Dealer Registration of LPL Financial LLC: Consent Order

Oct 21
2015

Order No. REG15-SUS-02

In the Matter of the Application for Investment Adviser Representative Registration of Jetmir Ahemeti: Reprimand, Suspension, Fine

Sep 3
2015

Order No. IC15-CAF-03

In the Matter of the Dealer Registration of WFG Investments, Inc.: Reprimand, Fine

Aug 18
2015

Order No. IC15-CAF-02

In the Matter of the Dealer Registration of Citigroup Global Markets Inc.: Consent Order, Fine

Jul 27
2015

Order No. IC15-CAF-01

In the Matter of the Dealer Registration of TD Ameritrade Inc.: Reprimand, Fine

Jun 22
2015

Order No. ENF-15-CDO-1739

In the Matter of Petro-San Resources LLC and Sean Patrick Riley: Emergency Cease and Desist Order

Apr 8
2015

Order No. REG15-SUS-01

In the Matter of the Application for Investment Adviser Representative Registration of Bruce William Schoendorf: Granted with Reprimand, Suspension

Mar 25
2015

Order No. ENF-15-CDO-1738

In the Matter of Lonestar Mineral Assets LLC AKA Lone Star Mineral Assets LLC and Kenneth Wayne McKay: Emergency Cease and Desist Order

Dec 11
2014

Order No. ENF-14-CDO-1737

In the Matter of Clifton Curtis Sneed Jr., DBA The Joint Venture Group, Top Money Earners Group, and Ivan Dickson: Emergency Cease and Desist Order

Nov 17
2014

SOAH Docket No. 312-15-1229

In the Matter of the Investment Adviser Registration of Mowery Capital Management LLC and the Investment Adviser Representative Registration of Frederick Eugene Mowery: Notice of Hearing

Oct 29
2014

Order No. REG14-FIN-02

In the Matter of Versus Capital Multi-Manager Real Estate Income Fund LLC: Fine

Pages