In the Matter of the Investment Adviser Registration of Jim Poe & Associates Inc. and the Investment Adviser Representative Registration of James Emory Poe: Reprimand, Revocation
In the Matter of the Investment Adviser Registration of Donald Lee Laseter D/B/A Financial Consulting Services: Registration Granted with Reprimand, Fine
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 the Investment Adviser Registration of Warren Financial Services LLC and the Investment Adviser Representative Registration of Kenneth Wayne Graves: Registrations Revoked