Archives: Administrative Actions

Quilici Asset Management, LLC

Suspension of Investment Advisor Registration

Abby Mikael Beard

Order Denying Mortgage Loan Originator License Application and Notice Of the Opportunity To Request A Hearing (09/07/2023)

Order Dismissing Matter (12/28/2023)

Joseph John Struczynski Jr.

Order Denying Mortgage Loan Originator License Application and Notice Of the Opportunity To Request A Hearing (11/14/2023)

Scott Adams Benson

Order Denying Mortgage Loan Originator License Application and Notice Of the Opportunity To Request A Hearing (11/14/2023)

xCraft; Claridge, JD

Agreement and Order

Vericore, LLC

Consent Order (2009-9-03)

Thomas Wayne Ives

Agreement and Order (8-3-2023)

Homebound Resources, LLC

Homebound Resources, LLC (2-10-2023)

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)

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