Oct 20
2014

Order No. ENF-14-CDO-1736

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

Jul 2
2014

Order No. REG14-FIN-01

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

Jun 27
2014

Order No. IC14-REV-05

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

Jun 10
2014

Order No. ENF-14-CDO-1734

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

May 19
2014

SOAH Docket No. 312-14-3619

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

May 12
2014

Order No. IC14-CAF-04

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

May 2
2014

Order No. IC14-CAF-03

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

Apr 28
2014

Order No. ENF-14-CDO-1732

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

Mar 10
2014

Order No. ENF-14-CDO-1731

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

Feb 19
2014

Order No. IC14-CAF-02

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

Jan 13
2014

Order No. IC14-REV-01

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

Dec 19
2013

Order No. ENF-13-CDO-1730

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

Dec 17
2013

Order No. ENF-13-CDO-1729

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

Nov 19
2013

SOAH Docket No. 312-14-0996

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

Oct 16
2013

SOAH Docket No. 312-14-0607

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

Sep 16
2013

Order No. IC13-CAF-08

In the Matter of the Dealer Registration of UBS Financial Services Inc.: Reprimand, Fine

Sep 16
2013

Order No. IC13-CAF-09

In the Matter of the Dealer Registration of RBC Capital Markets LLC: Reprimand, Fine

Sep 5
2013

Order No. IC13-SUS-07

In the Matter of the Investment Adviser Representative Registration of Douglas Bruce Shaw: Suspension

Aug 28
2013

Order No. IC13-CAF-06

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

Jul 18
2013

Order No. ENF-13-CDO-1727

In the Matter of Affordable Leasing and Finance LP; Leap Frog Capital LP; Your Dollar Builder LLC; and Bruce A. Craig: Emergency Cease and Desist Order

Jul 16
2013

Order No. ENF-13-CDO-1726

In the Matter of Texas Investment & Trust Co., Whittle Development Inc., and Robert S. Whittle: Agreed Cease and Desist Order

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