Enforcement Actions Administrative

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

In the Matter of the Dealer Registration of J.P. Morgan Securities LLC: Reprimand, Fine

In the Matter of the Investment Adviser Representative Registration of Kenneth Warren Paxton Jr.: Disciplinary Order

In the Matter of James Dean French and Morning Tower Ltd.: Emergency Cease and Desist Order

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

In the Matter of the Investment Adviser Registration of Wealth Solutions Inc. and the Investment Adviser Representative Registration of Richard Dwayne Blair: Reprimand, Undertaking

In the Matter of the Agent and Investment Adviser Representative Registrations of Lloyd James Chappell: Revoked

In the Matter of EcoEnergy Group Inc. DBA Intermodal Wealth, Intermodal Wealth Inc., John Patrick Acord, Steven Patrick Jones, and Donald Drabik: Order Affirming Emergency Cease and Desist Order

In the Matter of Eratz Investments Inc.; California World Energy Group Inc.; Kendra Industries Ltd; and Samuel H. Roden: Agreed Cease and Desist Order