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

Jun 20
2013

Order No. IC13-SUS-05

In the Matter of the Investment Adviser Representative Registration of Jason Allen D'Amato: Suspension

May 23
2013

Order No. IC13-SUS-04

In the Matter of the Investment Adviser Representative Registration of Tracy Morgan Spaeth: Suspension

May 7
2013

Order No. ENF-13-CDO-1725

In the Matter of Cliff Rock Capital Management LLC and Charles W. Gorman: Agreed Cease and Desist Order

Apr 22
2013

Order No. ENF-13-CDO-1722

In the Matter of Texas Investment & Trust Co., Whittle Development, Inc., and Robert S. Whittle

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

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-SUS-02

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

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

Oct 22
2012

Order No. IC12-REV-18

In the Matter of the Investment Adviser Registration of Duncan Private Wealth Management LLC and the Investment Adviser Representative Registration of Donovan Colin Duncan: Registrations Revoked

Oct 11
2012

Order No. ENF-12-CDO-1720

In the Matter of Global Eagle Media Inc., RMB International Distribution Inc., Waverider International LLC, and Bruce F. Brown: Agreed Cease and Desist Order

Sep 26
2012

Order No. IC12-SUS-19

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

Sep 12
2012

SOAH Docket No. 312-13-0128

In the Matter of the Investment Adviser Registration of Duncan Private Wealth Management LLC and the Investment Adviser Representative Registration of Donovan Colin Duncan: Notice of Hearing

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