Dec 30
2016

Order No. REG16-CAF-05

In the Matter of the Investment Adviser Representative Registration and the Agent Registration of Bruce Russell Clark: Registrations Granted; Reprimand; Fine

Oct 14
2016

Order No. IC16-SUS-17

In the Matter of the Investment Adviser Registration of J. Pinkernell Global Wealth LLC and the Investment Adviser Representative Registration of Jens Pinkernell: Suspension

Oct 4
2016

Order No. REG16-SUS-03

In the Matter of the Investment Adviser Representative Registration and the Agent Registration of MF Long II: Registrations Granted, Suspension, Undertaking

Oct 3
2016

Order No. ENF-17-CDO-1748

In the Matter of Old Security Financial Group Inc.; Donald Anthony MacKenzie; and Robert S. Davis Jr.: Agreed Order

Sep 22
2016

Order No. IC-CAF-16

In the Matter of the Dealer Registration of Charles Schwab & Co. Inc: Reprimand, Fine

Sep 21
2016

Order No. REG16-CAF-02

In the Matter of the Investment Adviser Representative Registration and the Agent Registration of Stephen M. Scheurer: Reprimand, Fine, Registrations Granted

Sep 20
2016

Order No. IC16-CAF-15

In the Matter of the Investment Adviser Registration of Rubicon Investment Management & Analytics LLC: Reprimand, Fine

Sep 19
2016

Order No. ENF-16-CDO-1747

In the Matter of Strata Medical Innovations Inc. and Mark Aldana: Agreed Cease and Desist Order

Sep 14
2016

Order No. REG16-CAF-15

In the Matter of the Application for Dealer Registration of Richards, Merrill & Peterson Inc. and Applications for the Agent Registrations of Steven Richard Larson and John Scott Larson: Reprimands, Fine

Aug 29
2016

SOAH Docket No. 312-16-5973

In the Matter of Texas First Financial LLC; Bobby Eugene Guess; and Mechanical Motion Solutions LLC: Notice of Hearing

Aug 15
2016

Order No. ENF-16-CDO-1746

In the Matter of Texas First Financial LLC; Bobby Eugene Guess: and Mechanical Motion Solutions LLC: Emergency Cease and Desist Order

Aug 9
2016

SOAH Docket No. 312-16-5589

In the Matter of the Investment Adviser Registration of Lawrence Allen Deshetler DBA Partners Investment Advisors: Notice of Hearing to Revoke Registration

Aug 8
2016

Order No. IC16-CAF-14

In the Matter of the Investment Adviser Registration of Valor Capital Asset Management LLC: Reprimand, Fine

Aug 2
2016

Order No. IC16-CAF-13

In the Matter of the Dealer Registration of the The Investment Center Inc.: Reprimand, Fine

Jul 27
2016

Order No. IC16-SUS-12

In the Matter of the Dealer and Investment Adviser Registrations of Michael Jason Gamez: Suspension

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 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

Pages