Archives: Administrative Actions

Registration Exemption for Investment Advisers whose only Clients are Insurance Companies

General Order

Wall & Associates Inc.

Verified complaint for order to cease and desist and for monetary penalty and notice of the opportunity to request a hearing (12/03/2019)

Decision and order regarding complainant’s motion for preliminary order (06/14/2021)

Order RE: Motion for Reconsideration (06/14/2021)

Order RE: Motion for Reconsideration (07/16/2021)

Amended Order Regarding Complainant’s Motion for Preliminary Order and Respondent’s Motion for Summary Judgment and Respondent’s Motion for Reconsideration (07/30/2021)

Order Regarding Restitution and Penalties (01/04/2022)

Order RE: Motion for Reconsideration (02/07/2022)

Order Regarding Restitution, Penalties and Costs (03/07/2022)

Final Order Adopting and Amending Hearing Officer Preliminary Order (08/30/2022)

Order Denying Respondents Motion for Reconsideration of Directors Final Order (10/03/2022)

Decision on Judicial Review (09/22/2023)

Order for Fees on Appeal (10/24/2023)

Reid, Kenneth, Jr.

Final Order Denying MLO License Application (2019-16-33)Notice of Intent to Issue Order of Denial of MLO License Application (2019-16-33)

Nicholas Cooper

Order Denying MLO License Application (2021-16-48)

Nexo Capital Inc; Nexo Inc; Nexo Financial Inc; Trenchev, Antoni

Swassing, Gleason Franklin “Frank”; Six Eight Properties Inc.

Earl (Dean C.)

Tam, Marcus; MTRE VB2 LLC; Marcus Tam Real Estate Development & Investment Company LLC; MTRE Village Bungalows Investment LLC

Safeguard Metals LLC; Ikahn, Jeffrey

Administrative Order

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

Order to Cease and Desist

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