Enforcement Actions Administrative

In the Matter of the Agent and Investment Adviser Representative Registrations of Jimmy Wayne Freeman Jr.: Fine, Suspension

In the Matter of the Agent and Investment Adviser Representative Registrations of Kris Bradford Rhoden: Fine, Suspension

In the Matter of the Investment Adviser Registration of Self Worth Financial Planning LLC: Reprimand, Fine

In the Matter of the Dealer Registration of Chestnut Exploration Partners Inc.: Fine, Reprimand

In the Matter of the Investment Adviser Registration of Dennis Tate Brock D/B/A B&F Investment Strategies: Suspension, Fine

In the Matter of the Dealer Registration of BNY Mellon Capital Markets LLC: Consent Order, Fine

In the Matter of Elevated Sound Productions Joint Venture Two LLC and Andrew Calvo: Agreed Cease and Desist Order

In the Matter of El Grado Spirits LLC: Agreed Cease and Desist Order

In the Matter of Gerald Page Brockman: Agreed Cease and Desist Order

In the Matter of Benjamin I. Gonzales: Agreed Cease and Desist Order