May 15
2018

Order No. ENF-18-CDO-1764

In the Matter of Wind Wide Coin AKA WWC Inc., Charles Roman, Fred Andrew, and John Anny: Emergency Cease and Desist Order

May 8
2018

Order No. ENF-18-CDO-1763

In the Matter of Forex EA & Bitcoin Investment LLC AKA My Forex EA & Bitcoin Investment LLC AKA My Forex EA, James Butcher and Richard Dunn: Emergency Cease and Desist Order

May 8
2018

Order No. ENF-18-CDO-1762

In the Matter of Bitcoin Trading & Cloud Mining Limited AKA BTCRUSH, Jaylon Cross, Bruce Rodgerson, Robin Lozinski and Thomas A. Johnson: Emergency Cease and Desist Order

Apr 5
2018

Order No. ENF-18-CDO-1761

In the Matter of Estrada Trucking Inc., Caleb Estrada Vasquez, Venture Capital Cash AKA Capital Cash Funding AKA Capital Cash, Financial Freedom Club Inc., Mark J. Moncher, 911MoneyStore Inc., and Frank Dalotto: Emergency Cease and Desist Order

Feb 26
2018

ENF-18-CDO-1760

In the Matter of Leadinvest: Emergency Cease and Desist Order

Feb 15
2018

Order No. ENF-18-CDO-1759

In the Matter of Investors of Crypto LLC and Daniel Neves: Agreed Cease and Desist Order

Feb 9
2018

Order No. ENF-18-CDO-1758

In the Matter of SourceRock Energy Phoenix Prospect LP; SourceRock Energy GP LLC; SourceRock Energy Partners LP; J.A. Gilbert AKA Jason A. Gilbert; and Parker Hallam: Emergency Cease and Desist Order

 

Jan 30
2018

REG18-SUS-01

In the Matter of the Investment Adviser Registration of Jason N. Anderson: Suspension

Jan 24
2018

ENF-18-CDO-1756

In the Matter of R2B Coin: Emergency Cease and Desist

Jan 8
2018

Order No. ENF-18-CDO-1755

In the Matter of the 7S Oil & Gas LLC, Pecos O&G Corporation, and William A. Sewell A/K/A Gillian Sewell: Agreed Cease and Desist Order

Dec 29
2017

Order No. IC17-REV-01

In the Matter of the Investment Adviser Registration of Jackson Financial Services: Revocation

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

Pages