Dec 1
2017

Order No. REG17-CAF-07

In the Matter of the Investment Adviser Representation and the Agent Registration of Richard L. Havard: Fine, Reprimand

Oct 23
2017

Order No. IC17-CAF-04

In the Matter of the Investment Adviser Registration of 212 Advisory Group LLC and the Investment Adviser Representative Registration of John McDonough: Suspension, Fine

Jul 18
2017

Order No. IC17-CAF-03

In the Matter of the Investment Adviser Registration of Michael Keith Parish: Suspension, Fine

Jun 21
2017

Order No. REG17-CAF-05

In the Matter of the Agent Registration of Trevor M. Carney: Fine, Reprimand

Jun 19
2017

Order No. IC17-CAF-02

In the Matter of the Investment Adviser Registration of Provident Capital Management Inc.: Suspension, Fine

Jun 2
2017

Order No. IC17-CAF-01

In the Matter of the Dealer Registration of PTI Securities & Futures LP: Fine, Reprimand

 

May 22
2017

Order No. ENF-17-CDO-1752

In the Matter of DBack Capital Inc. and Kenneth Edward Shelton: Agreed Cease and Desist Order

May 5
2017

Order No. ENF-17-CDO-1751

In the Matter of Raymond Hill, Mark Diaz, and Wales Marketing and Consultancy: Emergency Cease and Desist

May 4
2017

Order No. REG17-SUS-04

In the Matter of the Investment Adviser Representative Registration and the Agent Registration of Marie P. Goforth: Registration Granted; Suspension

Apr 10
2017

Order No. REG17-SUS-03

In the Matter of the Investment Adviser Representative Registration of Kermit Gordon Gable Jr.: Suspension

Apr 5
2017

Order No. REG17-CAF-02

In the Matter of the Agent Registration and Investment Adviser Representative Registration of Brad Cain: Fine, Reprimand

Feb 13
2017

Order No. REG17-CAF-01

In the Matter of the Investment Adviser Representative Registration of Robert Yrshus: Suspension, Fine, Registration Granted

Jan 5
2017

Order No. ENF-17-CDO-1750

In the Matter of BP Financial & Tax Design Group and Brett Pittsenbarger:  Cease and Desist

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

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