Enforcement Actions Administrative

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 31
2016

Order No. IC16-CAF-11

In the Matter of Ralph W. Lillard: Fine; Cease and Desist

May 31
2016

Order No. IC16-CAF-10

In the Matter of Stanley Brian Catlin: Fine; Cease and Desist

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

May 5
2016

SOAH Docket No. 312-16-4076

In the Matter of Stanley Brian Catlin: Notice of Hearing

May 5
2016

SOAH Docket No. 312-16-4077

In the Matter of Ralph W. Lillard: Notice of Hearing

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