Enforcement Actions Administrative

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

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

In the Matter of Quixote Xploration LLC and James Patrick Bona: Emergency Cease and Desist Order

In the Matter of Lance A. Bell D/B/A JB and Company: Agreed Cease and Desist Order

In the Matter of Smart Trust, Tax Free Income Trust, Series 13: Order to Pay Fees for Sales of Unregistered Securities

In the Matter of the Investment Adviser Registration of Warren Financial Services LLC and the Investment Adviser Representative Registration of Kenneth Wayne Graves: Registrations Revoked

In the Matter of FlippingYourMoney.com and Brian Keith McClain: Emergency Cease and Desist Order

In the Matter of Balanced Energy, LLC and Kirk Johnson: Notice of Hearing

In the Matter of Ross Edmond Taylor: Emergency Cease and Desist Order

In the Matter of the Investment Adviser Registration of Warren Financial Services LLC and the Investment Adviser Representative Registration of Kenneth Wayne Graves: Notice of Hearing