Archives: Administrative Actions

Safeguard Metals LLC; Ikahn, Jeffrey

Administrative Order

Bryant Hodge and Associates LLC dba BHA BHA Services BHA Bill Pay

Order to Cease and Desist

TC Group & Associates dba Tower Consulting LLC

Order to Cease and Desist

ACI Payments, Inc.

Settlement Agreement and Consent Order

Investment Adviser and Broker-Dealer Operations Disruptions Resulting From Coronavirus

Investment Adviser and Broker-Dealer Operations Disruptions Resulting From Coronavirus

Douglas R. Andrew; Paramount Financial Services, Inc. d/b/a Live Abundant; Aaron R. Andrew; Marcus K. Maxfield; Jeremy A. Watson; Gregory Duckwitz; J. Scott Reynolds; and Leland Whiting

Douglas R. Andrew; Paramount Financial Services, Inc. d/b/a Live Abundant; Aaron R. Andrew; Marcus K. Maxfield; Jeremy A. Watson; Gregory Duckwitz; J. Scott Reynolds; and Leland Whiting

Signalwise, LLC., and William Stern

Signalwise, LLC., and William Stern

Adam Rho

Final Order Denying License Application (2018-16-06)
Notice of Intent to Issue Order Revoking Mortgage Loan Originator License and Notice of the Opportunity to Request a Hearing (2018-16-06)

America’s Recovery Solutions, LLC

Consent Order (2011-9-07)

American Advisor’s Group

Consent Order (2017-8-01)

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