Enforcement Actions Administrative

Mar 19
2013

Order No. REG13-SUS-01

In the Matter of the Application for Agent Registration of Salvatore Clark

Mar 14
2013

SOAH Docket No. 312-13-3151

In the Matter of the Investment Adviser Registration of Wealth Solutions Inc. and the Investment Adviser Representative Registration of Richard Dwayne Blair: Notice of Hearing to Revoke Registrations

Mar 14
2013

Order No. ENF-13-CDO-1722

In The Matter of Profitable Sunrise and
Roman Novak: Emergency Cease and Desist Order

Feb 25
2013

Order No. IC13-SUS-01

In the Matter of the Agent and Investment Adviser Representative Registrations of Katherine Cannon Zamora: Suspension

Feb 25
2013

Order No. IC13-CAF-03

In the Matter of The Investment Adviser Registration of Warner Financial Group, Inc. and The Investment Adviser Representative Registration of Mark Taylor Warner: Reprimand, Fine

Feb 25
2013

Order No. IC13-SUS-02

In the Matter of the Agent and Investment Adviser Representative Registrations of John Edward Sprague: Suspension

Jan 29
2013

Order No. ENF-13-CDO-1721

In the Matter of Caroline B. Berthelot

Dec 14
2012

Order No. REG12-CEN-01

In the Matter of the Application for Investment Adviser Representative Registration of Gary Martin Borsch: Reprimand

Dec 14
2012

Order No. REG12-CEN-02

In the Matter of the Application for Investment Adviser Representative Registration of David Bruce Prilliman: Reprimand

Nov 16
2012

Order No. IC12-CAF-20

In the Matter of the Dealer Registration of IMS Securities Inc.: Reprimand, Fine