Official Government Website

Administrative Actions

Date Description Docket Number
11/24/2021
2C Family Brewing Company 2C Family Brewing Company
2021-7-05
09/02/2011
A New Horizon Credit Counseling Services, Inc.

Consent Order (2011-9-02)

2011-9-02
10/31/2013
AAA Payday Advance UT LLC Order to Cease and Desist (2013-6-04)
2013-6-04
10/26/2010 2016-16-47
09/09/2021
AB Allen Financial LLC.; Allen, Linda AB Allen Financial LLC.; Allen, Linda
2021-7-03
12/28/2023 2023-16-14
08/29/2019
ABC Financial Services, LLC Consent Order (2019-9-11)

2019-9-11
02/08/2024
Abigail H & Associates, LLC

Order to Cease and Desist (02/08/2024)

2024-09-02
03/18/2013
Aboriginal GR Enterprises aka SignMyLoan.net Center, Cash Advance Service, NLS CashAdvance, GoMyTown, LLC, US National Payday Loan, and Enom, Inc. Order to Cease and Desist (2012-6-07)
2012-6-07
09/30/2011
Academy Mortgage Corporation Consent Order (2011-8-01)
2011-8-01
11/30/2012
Accelerated Revenue Management, Inc., dba A.R.M. Solutions,Inc. Consent Order (2012-9-15)
2012-9-15
10/17/2023
09/10/2009 2009-9-16
10/26/2018 2018-16-06
10/26/2010 2010-16-14
05/03/2021 2020-18-04
02/29/2016
Affordable Loans, LLC dba Affordable Title Loans Consent Order (2015-6-02)
2015-6-02
10/08/2019 2019-9-13
01/23/2019
Alejandro Flores dba Full Spectrum Loans Order to Cease and Desist (2018-8-03)
2018-8-03
12/20/2021 2021-16-80
02/09/2023
Alexandra VerValen Consent Order (2023-41-01)
2023-41-01
10/26/2010 2010-16-43
03/17/2022 2022-16-12
09/13/2022 2022-16-41
05/03/2021 2020-18-04
05/24/2021
Allan Hillman Densmore, and Retirement Services, LLC Allan Hillman Densmore, and Retirement Services, LLC
2017-7-15-A
10/28/2015 2015-16-03
02/09/2017 2017-16-01
08/14/2018 2018-16-03
05/22/2017
Allegis Investment Advisors, LLC Allegis Investment Advisors, LLC
2016-7-01
09/28/2011
Allied Interstate, LLC, fka Allied Interstate, Inc. Consent Order (2011-9-17)
2011-9-17
06/24/2013
Alpha Services, Inc. Consent Order (2013-9-03)
2013-9-03
06/15/2021 2021-16-29
10/26/2010 2010-16-19
04/15/2011
America’s Recovery Solutions, LLC Consent Order (2011-9-07)
2011-9-07
04/13/2017
American Advisor’s Group Consent Order (2017-8-01)
2017-8-01
09/08/2020
American Alternative Investments, LLC American Alternative Investments, LLC
2019-7-05-A
12/15/2021
American Integrity Partners Inc. and Constance Keckler Order to Cease and Desist (2021-08-01)
2021-08-01
07/15/2021 2021-16-36
05/31/2002
Anderson-David & Assoc., Inc.; Anderson (Gordon N.); Anderson (Judyth E.) Anderson-David & Assoc., Inc.; Anderson (Gordon N.); Anderson (Judyth E.)
2002-7-12
10/26/2010 2010-16-56
02/02/2022 2022-16-05
05/18/2021
Andrews, Benson and Associates Order to Cease and Desist (2021-9-03)
2021-9-03
01/26/2023 2023-16-02
10/26/2010 2010-16-58
11/07/2016 2016-16-01
10/26/2010 2010-16-05
01/05/2022
Anthony Pellegrino, and Goldstone Financial Group, LLC. Anthony Pellegrino, and Goldstone Financial Group, LLC.
2019-7-05-C
10/26/2010 2010-16-29
06/13/2016
APG & Associates aka APGOFNY.COM Order to Cease and Desist (2016-9-03)
2016-9-03
06/30/2009
Apply 2 Save, Inc Denial Order (2008-9-12)
2008-9-12
12/11/2018 2018-16-04
09/17/2009
APS Northwest Idaho LLC, dba Homemodifier, an Idaho Limited Liability Company Order Denying Application For A Mortgage Broker License (2009-9-12)
2009-9-12
06/27/2019
AR & Associates LLC dba Advanced Credit Solutions Consent Order (2019-9-09)
2019-9-09
09/09/2010
Armada Corp., a Washington corporation Consent Order (2010-9-08)
2010-9-08
01/06/2022 2021-9-07
05/05/2015
Assigned Credit Solutions, Inc. Consent Order (2015-9-01)
2015-9-01
08/22/2017
Associated Foreign Exchange, Inc. Agreement and Order - 08/22/2017 (2017-12-02)
2017-12-02
12/23/2021 2021-12-02
08/05/2021 2021-16-45
07/30/1998
Austin Forex International, Inc.; Austin Forex International of Sun Valley, Inc. Austin Forex International, Inc.; Austin Forex International of Sun Valley, Inc.
1998-7-61
10/26/2010
Automated Collection Systems, Inc., Consent Order (2010-9-13)
2010-9-13
07/30/2012 2012-9-05
11/01/2011 2011-9-16
03/18/2019
Avalon Equity Group, Inc. Avalon Equity Group, Inc.
2017-7-15-R
12/12/2021 2021-9-08
06/09/2009
Banc of America Securities, LLC; Banc of America Investment Services, Inc. Banc of America Securities, LLC; Banc of America Investment Services, Inc.
2009-7-13
11/23/2021
Bankers Life and Casualty Company; BLC Financial Services, Inc. Bankers Life and Casualty Company; BLC Financial Services, Inc.
2012-7-10
02/22/2008
Batten (James A.) Batten (James A.)
2007-7-16
12/13/2011
Beacon Debt Solutions, Inc. Order to Cease and Desist (2011-9-20)
2011-9-20
10/31/2013
Beacon Rock Investment Advisors, LLC; Feik (Adam Gregory) Beacon Rock Investment Advisors, LLC; Feik (Adam Gregory)
2011-7-19
09/26/2003
Bear, Stearns and Co. Inc. Bear, Stearns and Co. Inc.
2003-7-18
04/20/2021 2021-16-19
11/28/2000
Bennett (Bradlee L.); Bennett Enterprises Bennett (Bradlee L.); Bennett Enterprises
2000-7-58
11/19/2020 2020-16-62
11/19/2018
Berman & Rabin, P.A. Agreement (2018-9-01)
2018-9-01
05/04/2000
Bidwell & Company Bidwell & Company
2000-7-35
10/22/1999
BIG International a/k/a Big International, Inc. a/k/a Big Financial Group; Courtney Agencies; Agora Office Services BIG International a/k/a Big International, Inc. a/k/a Big Financial Group; Courtney Agencies; Agora Office Services
1999-7-73
08/29/2022 2022-09-04
03/03/2022 2019-18-01
08/10/2012
Bingham Collections, Inc. Consent Order (2012-9-04)
2012-9-04
01/13/1999
Bishop (Wendy Lee) Bishop (Wendy Lee)
1998-7-60
02/09/2024 2024-12-01
03/31/2022 2022-12-02
06/06/2022 2022-12-03
09/17/1999
Blackpool Investments, Inc.; Kotalwi (Parkash) Blackpool Investments, Inc.; Kotalwi (Parkash)
1999-7-65
04/25/2023 2023-16-09
04/06/2022
BlockFi Lending LLC BlockFi Lending LLC
2022-7-02
10/22/2019
Bogus Brewing Inc. d/b/a Boise Brewing Bogus Brewing Inc. d/b/a Boise Brewing
2019-7-09
01/24/2024
Bogus Brewing Inc. d/b/a Boise Brewing

Order of Exemption/Crowdfunding

2024-7-02
09/29/1997
Bottum (Bradley Scott) d/b/a Bradley Scott Bottum Financial Services, Inc. Bottum (Bradley Scott) d/b/a Bradley Scott Bottum Financial Services, Inc.
1997-7-114
06/12/2020 2020-9-01
05/13/2020
Bowhip, Inc. d/b/a Valley Foods

Agreement and Order - 05/13/2020 (2020-12-04)

2020-12-04
02/26/2013
Brainard (James); Coventry LLC; Copper Creek LLC Brainard (James); Coventry LLC; Copper Creek LLC
2010-7-17
06/06/2022 2022-16-26
12/07/2020 2020-16-67
03/17/2022 2022-16-13
10/04/2021 2021-16-58
11/29/2021 2021-16-73
10/26/2010 2010-16-30
04/16/2007 2007-05-01
10/26/2010 2010-16-63
01/30/2024 2024-16-03
04/20/2009
Brian Kvarfordt, dba North American Collections and Safety Check 2009-9-06 Consent Order (2009-9-06)
2009-9-06
12/11/2012
Brian Webber, and Edie Webber, husband and wife, dba Clean Slate Credit Services Consent Order (2012-9-20)
2012-9-20
08/14/2014
Bright Flash Development Inc. Bright Flash Development Inc.
2014-7-04
07/15/2021 2021-16-40
01/26/2011 2010-6-03
08/11/2003
Brocker (Jenifer) Brocker (Jenifer)
2002-7-35
05/18/2020
Brookes Ventures, LLC d/b/a Aulterra International; Dandurand (Kim Armond) Brookes Ventures, LLC d/b/a Aulterra International; Dandurand (Kim Armond)
2018-7-05
12/10/2018
Brooks (Raymond Eugene) Brooks (Raymond Eugene)
2017-7-15-O
10/20/2003
Browne (Jay R.) Browne (Jay R.)
2003-7-28
02/27/1998
Bryan & Associates Marketing Group, Inc.; Bryan (John B.) Bryan & Associates Marketing Group, Inc.; Bryan (John B.)
1998-7-50
09/12/2023
Bryant Hodge and Associates LLC dba BHA BHA Services BHA Bill Pay Order to Cease and Desist
2023-9-6
11/29/2010 2010-16-36
11/20/2001
Budwee (Richard M., Jr.) d/b/a Budwee Financial Planning Services, Inc. Budwee (Richard M., Jr.) d/b/a Budwee Financial Planning Services, Inc.
2001-7-28
05/28/2004
Budwee (Richard M., Jr.); Budwee Financial Planning Services, Inc. Budwee (Richard M., Jr.); Budwee Financial Planning Services, Inc.
2003-7-45
09/19/2018
Bullock (Eric Francisco) Bullock (Eric Francisco)
2017-7-15-I
08/20/2020
Burx Andrew Norrod III Notice of Intent (2020-16-46)
2020-16-46
05/20/2010
C&C Capital, LLC; Longson (Chad E.); Christensen (McCord) C&C Capital, LLC; Longson (Chad E.); Christensen (McCord)
2010-7-13
01/18/2017
Cache Private Capital Diversified Fund LLC Cache Private Capital Diversified Fund LLC
2015-7-03
08/04/2004
Caisse (Scott Alan) Caisse (Scott Alan)
2004-7-10
12/17/2009
Cambridge Asset Management, LLC Consent Order (2009-9-23)
2009-9-23
02/13/2012
Cambridge Huxley & Associates, LLC Order to Cease and Desist (2012-9-01)
2012-9-01
09/28/2021
Can Do Auto Credit, Inc. Consent Order (2021-6-01)
2021-6-01
10/06/2021 2021-16-60
09/28/2017
Capital Accounts, LLC Consent Order (2017-9-05)
2017-9-05
04/24/2006
Capital Financial Group, Inc. Capital Financial Group, Inc.
2006-7-07
06/06/2001
Carson (Paul Rae) d/b/a Carson International Capital Management, LLC Carson (Paul Rae) d/b/a Carson International Capital Management, LLC
2000-7-82
03/18/2013
Cash Jar, aka Down Under Ventures, LTD and Hong Kong Partners, LTD Order to Cease and Desist (2012-6-10)
2012-6-10
05/22/2023 2023-6-02
08/01/2022 2022-07-07
08/01/2022
Celsius Network Inc., Celsius Network Limited, Celsius US Holding LLC, Celsius Network LLC, Celsius Lending LLC Celsius Network Inc., Celsius Network Limited, Celsius US Holding LLC, Celsius Network LLC, Celsius Lending LLC
2022-7-07
09/20/2010 2010-16-52
06/06/2022 2022-16-27
10/13/2010
Christian Debt Consolidation, Inc., Consent Order (2010-9-07)
2010-9-07
08/25/2022 2022-16-38
09/13/2022 2022-09-05
05/18/2023 2023-16-12
06/18/2009
Citigroup Global Markets, Inc. Citigroup Global Markets, Inc.
2009-7-07
09/08/2003
CitiGroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. CitiGroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc.
2003-7-30
12/01/2021 2021-16-76
02/02/2022 2022-16-04
10/26/2010 2010-16-67
10/18/2012
Coast to Coast Financial Solutions, Inc. Consent Order (2012-9-11)
2012-9-11
02/15/1996
Cohig & Associates, Inc. Cohig & Associates, Inc.
1996-7-32
05/19/2022 2022-16-23
09/13/2022 2022-09-06
07/07/2015
Commercial Industries Service Company, Inc. dba CISCO, Inc. Consent Order (2015-9-05)
2015-9-05
02/28/2017
Commonwealth Foreign Exchange Consent Order - 02/28/2017 (2017-12-01)
2017-12-01
07/23/2018
Conestoga Settlement Trust; Conestoga Settlement Services, LLC; Conestoga International, LLC Conestoga Settlement Trust; Conestoga Settlement Services, LLC; Conestoga International, LLC
2017-7-17
08/04/2022 2022-16-34
12/21/2015
Consolidated Wealth Holdings, Inc.; Spalding (John); Osborne (Deanna); Osborne (Scott) Consolidated Wealth Holdings, Inc.; Spalding (John); Osborne (Deanna); Osborne (Scott)
2015-7-02
12/14/2009
Contego Law, P.C., Respondent Consent Order (2009-9-18)
2009-9-18
02/22/2010
Continental Credit Association, Inc., an Oregon corporation, Order To Cease And Desist (2010-9-04)
2010-9-04
03/20/2019 2019-16-14
08/19/2021 2021-16-50
2024-16-06
01/28/2014
Covino (Peter Carmine, III) Covino (Peter Carmine, III)
2013-7-15
10/26/2010 2010-16-10
07/16/2021 2021-16-37
09/25/2012
Credit Bureau of Jamestown, Inc., dba CBJ Credit Recovery Consent Order (2012-9-10)
2012-9-10
02/23/2011
Credit Justice Services, LLC Consent Order (2011-9-05)
2011-9-05
01/23/2023 2023-9-02
09/12/2003
Credit Suisse First Boston LLC f/k/a Credit Suisse First Boston Corporation Credit Suisse First Boston LLC f/k/a Credit Suisse First Boston Corporation
2003-7-22
03/09/2010 2010-9-03
12/16/2010
Crestwood Mgmt LLC Consent Order (2010-9-12)
2010-9-12
10/22/2018
Crook (Douglas William) Crook (Douglas William)
2017-7-15-K
10/26/2010 2010-16-64
10/03/2014
D. Scott Carruthers, dba Law Office of D. Scott Carruthers Order to Cease and Desist (2014-9-06)
2014-9-06
04/20/1999
D.H. Blair & Co., Inc. D.H. Blair & Co., Inc.
1999-7-35
08/21/2022 2022-41-01
10/26/2010 2010-16-70
11/15/2018 2018-16-05
01/30/2024 2024-16-01
05/19/2022 2022-16-24
10/04/2021 2021-16-56
12/11/2018 2018-16-07
04/13/2017 2017-16-02
10/26/2010 2010-16-26
12/08/2020 2020-16-68
11/03/2021 2021-16-63
10/12/2021 2021-16-61
04/06/2022 2022-16-16
08/28/2009 2009-16-06
06/29/2022 2022-16-29
10/26/2010 2010-16-59
10/26/2010 2010-16-32
11/03/2021 2021-9-06
02/11/2019
DCN Holdings, Inc. dba ACCOUNTSRECEIVABLE.COM

Order to Cease and Desist (2019-9-02)

2019-9-02
03/15/2012
Deanne M. Cottle Consent Order (2011-03-02)
2011-03-02
08/24/2005
Deaton (Mark) Deaton (Mark)
2005-7-14
03/29/2011
Debt Settlement Solutions, Inc. Consent Order (2011-9-04)
2011-9-04
10/18/2011 2011-9-13
07/10/2014 2014-9-03
05/31/2013
Densmore (Anna M.) Densmore (Anna M.)
2011-7-11-A
04/15/2011
Densmore Financial Group, Inc.; Densmore (Allan H.) Densmore Financial Group, Inc.; Densmore (Allan H.)
2010-7-04
07/07/2017
Depew (Jay); Tradewind Investments Depew (Jay); Tradewind Investments
2016-7-05
05/24/2021 2021-16-24
07/15/2005
Deutsche Bank Securities, Inc. Deutsche Bank Securities, Inc.
2005-7-11
03/29/2011
Discount Debt Solutions, Inc. Consent Order (2011-9-03)
2011-9-03
01/27/2005
DJM Enterprises; Team Concepts, L.P.; Team Builders, L.P.; Huffman (Michael); Underwood (Jeffrey D.), et al DJM Enterprises; Team Concepts, L.P.; Team Builders, L.P.; Huffman (Michael); Underwood (Jeffrey D.), et al
2004-7-21
11/12/2008
DMI Funding Incorporated, dba Direct Mortgage Order to Cease and Desist (2008-8-08)
2008-8-08
03/24/2009
DMI Funding Incorporated, dba Direct Mortgage

Amended Consent Order (2009-8-01)

2009-8-01
06/29/2022 2022-16-32
01/12/2022
Douglas R. Andrew; Paramount Financial Services, Inc. d/b/a Live Abundant; Aaron R. Andrew; Marcus K. Maxfield; and Jeremy A. Watson Douglas R. Andrew; Paramount Financial Services, Inc. d/b/a Live Abundant; Aaron R. Andrew; Marcus K. Maxfield; and Jeremy A. Watson
2017-7-15-F
06/13/2022
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
2017-7-15-F
12/01/2011
DTA Solutions, LLC formerly known as Faslo Solutions, LLC Consent Order (2011-9-19)
2011-9-19
06/10/2019 2019-09-05
09/21/2012
E*Trade Securities LLC E*Trade Securities LLC
2012-7-12
05/21/1998
Earl (Dean C.)
1998-7-84
12/11/2006
Eaton (Bruce B.); Stocknet, LLC Eaton (Bruce B.); Stocknet, LLC
2006-7-43
02/05/2009
Ecostructure Corporation a/k/a Ecostructure Financial; Ecostructure Capital, LLC; Winmark, Inc.; Winstein (Mark) Ecostructure Corporation a/k/a Ecostructure Financial; Ecostructure Capital, LLC; Winmark, Inc.; Winstein (Mark)
2007-7-26
03/17/2022 2022-16-11
05/12/2019 2019-09-03
07/15/2019 2019-16-39
10/26/2010 2010-16-34
12/09/2003
Elison (Andrew Delos) Elison (Andrew Delos)
2003-7-27
08/24/2020
Elite Retirement Strategies, LLC., and Peterson Holly Elite Retirement Strategies, LLC., and Peterson Holly
2020-7-10
03/17/2022 2022-16-09
10/26/2010 2010-16-55
02/12/2004 2003-7-43
10/05/2010 2010-16-17
07/16/2007
EMI Sun Village, Inc.; Sun Village Juan Dolio, Inc.; Sun Village Juan Dolio Associates, LLC EMI Sun Village, Inc.; Sun Village Juan Dolio, Inc.; Sun Village Juan Dolio Associates, LLC
2007-7-13
10/26/2010 2010-16-42
05/01/2022 2022-16-20
10/02/2012
Empire Collection Authorities, Inc. Consent Order (2012-9-07)
2012-9-07
05/12/2021 2021-16-23
09/30/2010 2010-16-24
04/21/2020
Escrow Licensee Renewal Filing Disruptions Resulting From Coronavirus Escrow Licensee Renewal Filing Disruptions Resulting From Coronavirus
2020-07-07
09/14/2021 2021-16-54
04/07/2021 2021-16-16
10/28/2014
Exercise Institute Inc. Exercise Institute Inc.
2014-7-05
06/27/2007
Fairchild (David A.) Fairchild (David A.)
2007-7-08
01/04/2021 2020-16-71
10/16/2003
Family Solution, Inc. (The) d/b/a NutriFun International; Thompson (R. Wayne) Family Solution, Inc. (The) d/b/a NutriFun International; Thompson (R. Wayne)
2002-7-28
03/18/2013
Fast Efunds, LLC, dba FasteFunds.com Order to Cease and Desist (2012-6-08)
2012-6-08
07/08/2010
Federal Recovery Acceptance, Inc., dba Paramount Acceptance Consent Order (2010-9-06)
2010-9-06
07/10/2019
Financial Credit Services dba Asset Recovery Associates Consent Order (2019-09-06)
2019-09-06
04/12/2012 2011-7-08
06/20/2021 2021-16-42
03/12/2001
First Dallas Securities Incorporated First Dallas Securities Incorporated
2000-7-75
02/24/2020
First Global Money Inc. Revocation - 02/24/2020 (2020-12-02)
2020-12-02
09/17/1996
First Union Brokerage Services, Inc. First Union Brokerage Services, Inc.
1996-7-74
12/16/1999
Fitzgerald (Charles); Jeppesen (Zane); Beverly Hills Development Corporation Fitzgerald (Charles); Jeppesen (Zane); Beverly Hills Development Corporation
1999-7-70
09/19/2014
Flagship Financial Group LLC Consent Order (2014-8-01)
2014-8-01
02/05/2010
Flatiron Financial Services, Inc., dba Peak5 Order Revoking Idaho Collection Agency License and Notice (2009-9-22)
2009-9-22
12/16/2010 2010-6-04
01/02/2001
Foster (William Owen) Foster (William Owen)
2000-7-77
09/12/2011
Freedom Companies, Inc., et al Order to Cease and Desist (2011-8-02)
2011-8-02
06/17/2009 2009-9-11
12/30/2009
Freedom Debt Solutions, LLC Consent Order (2009-9-17)
2009-9-17
08/21/2006
Front Row Tickets a/k/a Front Row Events operating as Frontrowevents.com; Pittarelli (Anthony); Tamara (Sam); Pilling (Robert) Front Row Tickets a/k/a Front Row Events operating as Frontrowevents.com; Pittarelli (Anthony); Tamara (Sam); Pilling (Robert)
2006-7-29
02/15/2023 2023-06-01
07/22/2013
G. Reynolds Sims and Associates P.C. Consent Order (2012-9-21)
2012-9-21
08/05/2021 2021-16-46
12/09/1998
Gambrel (Floyd Clark, Jr.) Gambrel (Floyd Clark, Jr.)
1998-7-126
12/22/2017
Garden State Securities, Inc. Garden State Securities, Inc.
2016-7-07
09/14/2007
Gary James Sroka and Joseph Terrazas Order To Cease and Desist (2007-7-14)
2007-7-14
11/12/2014
GDE Corp. d/b/a Uniburr GDE Corp. d/b/a Uniburr
2014-7-06
06/03/2010 2010-7-16
05/31/2016
Gem State Angel Fund Gem State Angel Fund
2016-7-03
11/01/2018
George (Daniel Ray) George (Daniel Ray)
2017-7-15-P
10/26/2010 2010-16-16
08/19/2021 2021-16-49
12/20/2010
GHS Solutions, LLC Consent Order (2010-9-16)
2010-9-16
10/16/2003
Gidley (David A.) Gidley (David A.)
2003-7-29
06/09/2020 2020-16-24
11/27/2019
Girard (Ray Leo); MLC Enterprises Unlimited LLC Girard (Ray Leo); MLC Enterprises Unlimited LLC
2019-7-03
05/14/2024
Global Solutions Biz LLC

Order to Cease and Desist (05/14/2024)

2024-09-04
02/04/2021
Go To DRA, LLC and DRA, LLC both aka Debt Recovery Associates Order to Cease and Desist (2021-9-01)
2021-9-01
04/20/2015
Gold Mountain Management LLC; Bied (Gregorry Alyn) f/k/a Bied (Gregory Alan) Gold Mountain Management LLC; Bied (Gregorry Alyn) f/k/a Bied (Gregory Alan)
2014-7-08
06/29/2010
Gold Mountain Management LLC; Bied (Gregory Alan) Gold Mountain Management LLC; Bied (Gregory Alan)
2010-7-05
05/28/1999
Golden Cross Investments, Inc.; Mallinson (William M., Sr.); Leonard (Jeannette C.) a/k/a Levisee (Jeannette) Golden Cross Investments, Inc.; Mallinson (William M., Sr.); Leonard (Jeannette C.) a/k/a Levisee (Jeannette)
1998-7-100
04/27/2010
Goldman Sachs & Co. Goldman Sachs & Co.
2010-7-11
04/03/2000
Golfer’s Paradise, Inc. Golfer's Paradise, Inc.
2000-7-29
05/24/2011
Goodwill Finance, LLC Consent Order (2011-6-01)
2011-6-01
02/21/2018
Gordon Bolster Advisors LLC; Bolster (Gordon Lee) Gordon Bolster Advisors LLC; Bolster (Gordon Lee)
2017-7-18
01/29/2003
Gray (Delbert W) Gray (Delbert W)
2003-7-06
05/07/2015
Greenberg, Grant & Richards, Inc. Consent Order (2015-9-03)
2015-9-03
10/26/2010 2010-16-38
10/19/2020 2017-7-15-N
04/26/2018
Grigorieff (Bill John) Grigorieff (Bill John)
2017-7-17-A
03/18/2013 2012-6-09
05/04/2017 2017-7-08
05/09/1996
Harris (Bennie R., II); The Havilah Company Harris (Bennie R., II); The Havilah Company
1996-7-31
10/14/1997
Harris (Jay Dee); Acquire Venture Capital Group; Acquire Venture Fund Group; Acquire Investment Group Harris (Jay Dee); Acquire Venture Capital Group; Acquire Venture Fund Group; Acquire Investment Group
1997-7-58
04/15/2011
Harrison Investments, LLC; Densmore Financial Group, Inc.; Densmore (Allan H.) Harrison Investments, LLC; Densmore Financial Group, Inc.; Densmore (Allan H.)
2010-7-02
01/27/2021 2021-16-03
09/27/2019
Hawke (Jason Steven) Hawke (Jason Steven)
2019-7-06
11/18/2022
HBR VI, LLC HBR VI, LLC
2020-7-05-C
06/12/2019 2019-9-04
12/03/2009
Hegemony Partners, LP; Interfund Capital Corp.; Hepworth (David D.) Hegemony Partners, LP; Interfund Capital Corp.; Hepworth (David D.)
2009-7-21
09/28/2018
Helgeson (James Daniel) Helgeson (James Daniel)
2017-7-15-J
08/16/1999
Henderson (David B.); Independent Funding Inc. Henderson (David B.); Independent Funding Inc.
1999-7-49
12/19/2019
Henry, Patrick dba Guardian Research Associates Consent Order (2019-9-14)
2019-9-17
09/08/2021 2021-9-05
03/05/2020
Hill (Ronald Melvin) Hill (Ronald Melvin)
2019-7-01-A
05/13/2020
Hill, Cody C Hill, Cody C
2019-7-05-B
09/15/2009
Hillside Financial Group Order To Cease And Desist (2009-40-01)
2009-40-01
11/06/2018
Hofhines (Bradley Kay) Hofhines (Bradley Kay)
2017-7-17-D
06/21/2011
Holm (Douglas Paul) Holm (Douglas Paul)
2001-7-03
02/10/2023
Homebound Resources, LLC

Homebound Resources, LLC (2-10-2023)

2020-7-05-A
01/05/2012
Hopkins Financial Services, Inc. Hopkins Financial Services, Inc.
2009-7-03
06/20/2021 2021-16-43
07/31/2017
Hughes (Gorden); Hughes Investment Group, Inc. Hughes (Gorden); Hughes Investment Group, Inc.
2017-7-11
11/05/2019 2019-16-49
03/18/2013
Huskhawk Group LTD, dba Huskhawk Marketing Group and Huskhawk Marketing Company Order to Cease and Desist (2012-6-14)
2012-6-14
04/03/2013
Hydra Financial Limited Loan Fund Amended Order to Cease and Desist (2012-6-12)
2012-6-12
03/18/2013
Hydra Financial Limited Loan Fund I, dba Hydra Financial Limited Loan Fund II, Hydra Limited Loan Fund III, & Hydra Limited Loan Fund IV Order to Cease and Desist (2012-6-12)
2012-6-12
11/29/2012 2012-9-19
08/16/2007
Idaho Real Estate Solutions LLC Idaho Real Estate Solutions LLC
2007-7-25
06/11/2015
Idaho’s Bounty Co-op, Inc. Idaho's Bounty Co-op, Inc.
2015-7-05
02/22/2023 2023-16-05
06/04/2003
IFM Humanitarian Fund LLC; Mitchell (Keith Eugene) IFM Humanitarian Fund LLC; Mitchell (Keith Eugene)
2002-7-26
07/19/2007
Impact, Inc.; Impact Net Worth; Impact America; Impact-America.com; Impact Lending; Impact Corporate; Impact Net Worth, LLC; Catledge (James B.) Impact, Inc.; Impact Net Worth; Impact America; Impact-America.com; Impact Lending; Impact Corporate; Impact Net Worth, LLC; Catledge (James B.)
2007-7-14
02/09/2023
InboundProspect, Inc. dba Debthunch Order to Cease and Desist (2023-09-03)
2023-09-03
08/04/2020
Instant Tax Solutions, LLC Consent Order (2020-9-03)
2020-9-03
10/15/2015
Intermountain Credit Services, LLC, and Akberet Mehertab

Consent Order (2015-9-09)Amendment to Consent Order (2015-9-09)

2015-9-09
10/06/2009 2009-8-02
08/27/1999
International Currency Management, L.L.C.; Needle (Howard W.) International Currency Management, L.L.C.; Needle (Howard W.)
1998-7-109
03/20/1998
International Funding Association International Funding Association
1998-7-58
10/05/2022
Investigative Recovery LTD LLLP and Investigative Recovery Services, LLC Order to Cease and Desist (2022-09-07)
2022-09-07
03/31/2020
Investment Adviser and Broker-Dealer Operations and Securities Issuers Filings Disruptions Resulting From Coronavirus Investment Adviser and Broker-Dealer Operations and Securities Issuers Filings Disruptions Resulting From Coronavirus
2020-7-06
09/21/2020
Investment Adviser and Broker-Dealer Operations Disruptions Resulting From Coronavirus Investment Adviser and Broker-Dealer Operations Disruptions Resulting From Coronavirus
2020-7-14
04/29/2024
Investment Advisers with Custody Solely in connection with a Standing Letter of Authorization

General Order

2024-7-03
10/06/2017 2017-9-20
01/12/2005
Investments Eternal; Eagle International Ministries; Black (Dale R.); Black (Paula) Investments Eternal; Eagle International Ministries; Black (Dale R.); Black (Paula)
2004-7-16
07/07/2017 2017-24-07
09/02/2003
J.P. Morgan Securities, Inc. J.P. Morgan Securities, Inc.
2003-7-25
07/14/2011
Jaffe & Asher LLP, a New York limited liability partnership Consent Order (2011-9-10)
2011-9-10
10/04/2021 2021-16-59
10/17/2022 2022-16-47
04/29/2021 2021-16-21
10/05/2010 2010-16-57
11/28/2018 2018-16-11
04/15/2021
JD Cowan & Company, LLC JD Cowan & Company, LLC
2021-7-01
11/16/2012 2012-9-17
03/17/2022 2022-16-08
10/26/2010 2010-16-31
01/11/2023 2023-16-01
10/17/2022 2022-16-46
10/26/2010 2010-16-67
10/05/2010 2010-16-46
08/30/2021 2021-16-52
07/16/2009
John Thomas Financial; Molinaro (Michael R.); Lorenzo (Gregg C.) John Thomas Financial; Molinaro (Michael R.); Lorenzo (Gregg C.)
2008-7-11
05/24/2004
Johnson (Ronald W.) Johnson (Ronald W.)
2004-7-04
12/23/2020 2020-16-70
11/29/2021 2021-16-74
11/22/2013 2013-16-02
10/26/2010 2010-16-06
11/10/2021 2021-16-70
11/14/2023 2023-16-16
10/26/2010 2010-16-44
10/26/2010 2010-16-11
11/04/2021 2021-16-68
07/30/2009
JPMorgan Chase & Co. JPMorgan Chase & Co.
2009-7-20
07/27/2015
JSD Management, Inc., dba James Stevens & Daniels Consent Order (2015-9-07)
2015-9-07
02/02/2022 2022-16-02
08/07/2020 2020-16-42
07/01/2021 2021-16-32
10/26/2010 2010-16-45
07/01/2021 2021-16-33
05/19/2022 2022-16-21
02/22/2021 2021-16-12
06/09/2005
Karel (Vondean Renee) Karel (Vondean Renee)
2005-7-18
04/13/2021
Karen Lynn Hoagland; and All-Star Staffing, LLC Karen Lynn Hoagland; and All-Star Staffing, LLC
2020-7-15
06/09/2010
Karl Richard Aguilera Consent Order (2010-16-02)
2010-16-02
05/22/2020 2020-16-22
02/24/2022 2021-16-78
10/26/2010 2010-16-61
05/02/2022 2022-16-19
09/06/2012 2012-7-09
11/03/2021 2021-16-65
07/09/2019 2019-16-35
05/27/2021 2021-16-25
09/18/1997
Kirsch (Vincent) Kirsch (Vincent)
1997-7-113
04/03/2018
Kornfeld (Barry Michael); First Financial Tax Group Kornfeld (Barry Michael); First Financial Tax Group
2017-7-15-C
10/26/2010 2010-16-13
10/29/2020 2020-16-64
10/26/2010 2010-16-41
06/28/2022 2022-12-01
11/03/2021 2021-16-66
09/30/2010 2010-16-22
10/06/2022 2022-16-45
10/26/2010 2010-16-37
12/18/2019 2019-16-52
10/29/2012
Law Offices of Andreu, Palma & Andreu, PL Consent Order (2012-9-14)
2012-9-14
07/20/2021 2021-16-44
10/08/2014
Legal and Debt Recovery Order to Cease and Desist (2014-9-05)
2014-9-05
08/24/2015
Legal Loan Repair, LLC Consent Order (2015-8-01)
2015-8-01
09/08/2003
Lehman Brothers, Inc. Lehman Brothers, Inc.
2003-7-23
06/21/2013
Leland Energy, Inc. Leland Energy, Inc.
2012-7-04-B
11/05/2021
Lend Connect, LLC Consent Order (2012-6-05)
2012-6-05
10/04/2021 2021-16-57
08/09/2022 2022-16-35
01/09/2014
Liberty Loans, LLC Consent Order (2013-6-03)
2013-6-03
02/23/2017
Lifelong Investment Management Services LLC; Lee (Eric) Lifelong Investment Management Services LLC; Lee (Eric)
2017-7-03
12/11/2019
Like Love, LLC Like Love, LLC
2019-7-12
06/28/1996
Lindgren (Gary M.); McFarland (Michael B.) Lindgren (Gary M.); McFarland (Michael B.)
1996-7-83
10/26/2010 2010-16-40
03/02/2000
LinkNet, Inc. f/k/a INFOLINK, Inc. LinkNet, Inc. f/k/a INFOLINK, Inc.
2000-7-09
11/17/2009 2009-41-01
10/19/2009 2007-05-01
10/26/2010 2010-16-62
07/22/2013
Litster (Jeremy) Litster (Jeremy)
2013-7-08
03/19/2013
LIV Management, LLC LIV Management, LLC
2013-7-02
08/30/1996
Lloyds of London Lloyds of London
1996-7-100
05/11/2010
LoanPointe, LLC and Eastbrook LLC also dba Ecash and GeteCash Order To Cease And Desist (2010-6-01)
2010-6-01
04/28/1998
Loeschner (Ted) Loeschner (Ted)
1998-7-67
11/03/2021 2021-16-64
10/26/2010 2010-16-08
04/11/2003
Lost Rivers Hospital District d/b/a Lost Rivers Medical Center; Tibbitts (Steve); Burroughs (Kathy); Van Etten (Cary); Vaden (Bob); Lagomarsino (Ann); Jensen (Warren); Pacheco (Debbie); Drussell (Sandra) Lost Rivers Hospital District d/b/a Lost Rivers Medical Center; Tibbitts (Steve); Burroughs (Kathy); Van Etten (Cary); Vaden (Bob); Lagomarsino (Ann); Jensen (Warren); Pacheco (Debbie); Drussell (Sandra)
2003-7-09
12/31/2018
LPL Financial LLC LPL Financial LLC
2018-7-03
11/18/2010
Magic Valley Credit Repair, LLC Consent Order (2010-9-14)
2010-9-14
01/31/2017
Magic Valley Finance, Inc. Consent Order (2016-6-01)
2016-6-01
07/08/2022 2022-09-02
09/10/2017
Mann Mortgage, LLC Consent Order (2017-8-02)
2017-8-02
06/28/2021 2021-16-31
01/30/2024 2024-16-02
04/19/2022 2022-16-18
10/26/2010 2010-16-37
04/02/2024 2024-16-07
03/24/2022 2022-16-15
06/06/2022 2022-16-28
07/23/2019 2019-16-57
03/28/2012 2012-16-05
12/10/2018
Matheson (Daniel J.) Matheson (Daniel J.)
2017-7-15-M
08/30/2021 2021-16-53
10/26/2010 2010-16-28
03/02/2000
May (Stephen P.) d/b/a Hotstocks.org; Options and Solutions, Inc. May (Stephen P.) d/b/a Hotstocks.org; Options and Solutions, Inc.
2000-7-03
08/03/2022
McCarthy, Kevin; Merchant Savings, LLC; and Mastermind Web Development LLC. McCarthy, Kevin; Merchant Savings, LLC; and Mastermind Web Development LLC.
2020-7-09
10/23/2003
McDonald Investments, Inc. McDonald Investments, Inc.
2003-7-01
09/17/2012
McGuigan Law Office, LLC Consent Order (2012-9-08)
2012-9-08
10/20/2010
McIntosh (W.M. “Bill”) McIntosh (W.M. "Bill")
2010-7-01
04/22/2021 2021-16-20
03/31/2021 2021-16-14
01/17/2023
Merchants and Professional Bureau, Inc. Verified Complaint (2023-9-01)Consent Order (2023-9-01)
2023-9-01
05/22/2020
Meridian National Title Inc. Agreement and Order - 2020/05/22 (2020-18-02)
2020-18-02
06/18/2009
Merrill Lynch, Pierce, Fenner & Smith Incorporated Merrill Lynch, Pierce, Fenner & Smith Incorporated
2009-7-14
06/28/2002
Merrill Lynch, Pierce, Fenner & Smith, Inc. Merrill Lynch, Pierce, Fenner & Smith, Inc.
2002-7-19
03/07/2024 2024-16-05
11/29/2010 2010-16-35
05/08/2023 2023-16-11
10/26/2010 2010-16-54
10/19/2021 2021-16-62
10/26/2010 2010-16-33
08/20/2020 2020-16-47
05/24/2018
Midwest Recovery Systems, LLC Order to Cease and Desist (2018-9-02)
2018-9-02
09/30/2008
Millennial Financial Group, Inc.; Mackey (Tyree); King (Jeremy); Miner (Pat G.) Millennial Financial Group, Inc.; Mackey (Tyree); King (Jeremy); Miner (Pat G.)
2007-7-35
11/10/2021 2021-16-71
02/06/2013 2012-9-18
07/15/2021 2021-16-39
09/24/2012
Mjollnir Group, Inc. Consent Order (2012-9-12)
2012-9-12
03/27/2023 2023-16-07
09/19/2012
Morgan Asset Management, Inc.; Morgan Keegan & Company Morgan Asset Management, Inc.; Morgan Keegan & Company
2012-7-05
05/05/2010
Morgan Stanley & Co. Incorporated Morgan Stanley & Co. Incorporated
2010-7-07
02/07/2006
Morgan Stanley DW Inc. Morgan Stanley DW Inc.
2005-7-30
04/07/2014
Mortgage Investors Corporation dba Amerigroup Mortgage Corporation Consent Order (2013-8-02)
2013-8-02
11/17/2022 2022-9-10
06/07/2004
Multi-Financial Securities Corporation; Batten (James A.); Lodge (James E.) Multi-Financial Securities Corporation; Batten (James A.); Lodge (James E.)
2002-7-17
09/28/2022 2022-16-44
08/19/2022 2022-16-36
09/28/2022 2022-16-42
11/25/2014
Myriad Capital Management, Inc., a Florida Corporation, dba Stone Whitman & Associates Order to Cease and Desist (2014-9-07)
2014-9-07
10/26/2010 2010-16-07
04/20/2009
National Foreclosure Relief, Inc., a Nevada Corporation Order To Cease And Desist (2009-9-10)
2009-9-10
11/23/2021
National Homeowner Services Order to Cease and Desist (2021-41-02)
2021-41-02
01/20/2010
National Patient Account Services, Inc. Consent Order (2010-9-15)
2010-9-15
01/10/2017
National Principal Group, LLC Order to Cease and Desist (2016-9-04)
2016-9-04
12/08/2021
National Processing Headquarters Order to Cease and Desist (2021-41-03)
2021-41-03
12/06/1997
Nations International, LLC a/k/a Nations International Trading, LLC; Lloyd (Glenn Earl, II) Nations International, LLC a/k/a Nations International Trading, LLC; Lloyd (Glenn Earl, II)
1997-7-142
10/23/2018 2018-9-03
11/23/2020 2020-9-02
11/12/2014 2014-9-04
04/19/2021 2021-16-18
06/15/2021 2021-16-27
03/24/2000
New Times Securities Services, Inc. New Times Securities Services, Inc.
2000-7-02
01/31/2023
Nexo Capital Inc; Nexo Inc; Nexo Financial Inc; Trenchev, Antoni
2023-07-01
02/13/2019 2019-16-06
08/07/2020 2020-9-04
08/19/2021 2021-16-48
12/28/2021 2021-16-82
09/27/2005
Niece (Richard C.); Gardner (Philip); Seascape Management Co., LLC; First Security Investor Services, Inc.; Van Kasper LLC Niece (Richard C.); Gardner (Philip); Seascape Management Co., LLC; First Security Investor Services, Inc.; Van Kasper LLC
2005-7-27
10/27/2005
Niece (Richard C.); Gardner (Philip); Seascape Management Co., LLC; Wells Fargo Securities LLC Niece (Richard C.); Gardner (Philip); Seascape Management Co., LLC; Wells Fargo Securities LLC
2005-7-29
09/23/2019 2019-16-43
09/23/2019
Nightingale (Jason) Nightingale (Jason)
2019-7-05-G
04/20/2017 2017-8-03
06/30/1997
Ohio Company (The) Ohio Company (The)
1997-7-43
10/11/2022
Oliver Wright & Associates Order to Cease and Desist (2022-9-08)
2022-9-08
02/22/2021 2021-16-13
08/18/1997
ORB Industries, Inc; Hight (Charles C.) ORB Industries, Inc; Hight (Charles C.)
1996-7-142
10/25/2022 2022-09-09
06/12/2020 2020-16-29
11/08/2016
OTCQX Best Market OTCQX Best Market
2016-7-03
09/15/2009
Outside Credit Solutions Order To Cease And Desist (2009-40-02)
2009-40-02
12/16/2015 2015-9-11
05/09/1996
PaineWebber Inc. PaineWebber Inc.
1996-7-61
01/27/2009
Palmer (Daren L.); Trigon Inc. Palmer (Daren L.); Trigon Inc.
2009-7-02
06/09/2020 2020-16-23
10/26/2010 2010-16-50
03/08/2010
Paul & Associates Law Offices, PLLC dba Paul Law Offices, a Utah professional limited liability company, Consent Order (2010-9-05)
2010-9-05
10/29/2020
Paul Fredrick Johnson Paul Fredrick Johnson
2017-7-15-B
11/03/2021 2021-16-67
04/23/2020
Paychex Holdings, LLC, Paychex, Inc. Agreement and Order - 04/23/2020 (2020-12-03)
2020-12-03
12/16/2020 2020-12-08
11/17/1999
PC-Hut Enterprises; Russell (Rodney A.) PC-Hut Enterprises; Russell (Rodney A.)
1999-7-30
10/26/2010 2010-16-51
01/23/2018
Pedro Yesid Silva and Silmex Inc. Agreement and Order - 01/23/2018 (2017-12-03)
2017-12-03
04/01/2013
Pennaluna and Company Pennaluna and Company
2013-7-01
07/09/2014
Permissible Investments Pursuant to the Idaho Money Transmitters Act Order - 07/09/2014 (2014-12-01)
2014-12-01
08/04/2022 2022-16-33
04/01/2021 2021-16-15
02/20/2019 2019-16-04
10/17/2022
Petro Rock Mineral Holdings, LLC; Homebound Resources, LLC; Homebound Financial Group, LP; Homebound, Inc; Resolute Capital Partners, LTD; Toth, Stefan Tiberiu; Etheredge, Teddy Dale; Powell, Thomas Joseph; Choice Energy Petro Rock Mineral Holdings, LLC; Homebound Resources, LLC; Homebound Financial Group, LP; Homebound, Inc; Resolute Capital Partners, LTD; Toth, Stefan Tiberiu; Etheredge, Teddy Dale; Powell, Thomas Joseph; Choice Energy
2020-7-05-B
12/29/2017 2017-12-29
08/30/2012
Pinnacle Capital Mortgage Corporation Consent Order (2012-8-02)
2012-8-02
09/29/2020
Pioneer Law Firm, P.C. Consent Order (2020-9-05)
2020-9-05
07/29/2019
Powell (Ross Clark) Powell (Ross Clark)
2019-7-05-D
03/30/2004
Preston (Timothy Fred) Preston (Timothy Fred)
2003-7-40
07/29/2014
Primary Enterprises, Inc. d/b/a Low Book Auto Sales; Crane (Howard A.) Primary Enterprises, Inc. d/b/a Low Book Auto Sales; Crane (Howard A.)
2010-7-22
07/28/2022 2022-12-05
03/27/2001
Prime Yield, Inc.; Carter (Bruce Edward); Zalewski (Dariusz a/k/a “Darek”) Prime Yield, Inc.; Carter (Bruce Edward); Zalewski (Dariusz a/k/a "Darek")
2001-7-09
11/19/2020 2020-12-07
12/27/2016 2016-9-06
09/24/2012
ProEquities, Inc. ProEquities, Inc.
2012-7-13
09/28/2010
Professional Recovery Consultants, Inc., a North Carolina corporation Consent Order (2010-9-09)
2010-9-09
01/18/2013
Profits Plus Capital Management, LLC Profits Plus Capital Management, LLC
2010-7-20
05/27/2019
Prominent Escrow Service, Inc. & Quality Escrow, Inc. Agreement and Order - 05/27/2019 (2019-18-04)
2019-18-04
06/02/2005 2005-12-01
10/13/2023
Quilici Asset Management, LLC

Suspension of Investment Advisor Registration

2023-7-11
07/01/2021 2021-16-35
05/22/2020
Qwikescrow, d/b/a www.qwikescrow.com Cease and Desist 2020/05/22 (2020-18-03)
2020-18-03
11/03/2022 2022-16-48
04/20/2020 2020-16-15
06/29/2022 2022-16-30
07/28/2022 2022-12-04
08/25/2022 2022-16-39
04/22/2011
Rauch-Milliken International, Inc. Consent Order (2011-9-08)
2011-9-08
04/08/2019
Rauch-Milliken International, Inc.

Consent Order (2019-9-01)

2019-9-01
09/03/2013
Ray (Doyle G.); Financial Consulting Incorporated Ray (Doyle G.); Financial Consulting Incorporated
2010-7-08
10/03/2011
Raymond James & Associates, Inc.; Raymond James Financial Services, Inc. Raymond James & Associates, Inc.; Raymond James Financial Services, Inc.
2011-7-15
07/14/2009
RBC Capital Markets Corp. RBC Capital Markets Corp.
2009-7-15
01/17/2014
RBC Capital Markets, LLC RBC Capital Markets, LLC
2013-7-10
04/03/2013
Regional Adjustment Bureau Inc. Order to Cease and Desist (2013-9-02)
2013-9-02
07/19/2005
Registration Exemption for a Transaction In a Note, Bond, Debenture or Other Evidence Of Indebtedness Secured by a Mortgage or Other Security Agreement Registration Exemption for a Transaction In a Note, Bond, Debenture or Other Evidence Of Indebtedness Secured by a Mortgage or Other Security Agreement
2005-7-19
10/19/2020
Registration Exemption for Investment Advisers to Private Funds Registration Exemption for Investment Advisers to Private Funds
2020-7-16
12/08/2023
Registration Exemption for Investment Advisers whose only Clients are Insurance Companies

General Order (12/8/2023)

2023-7-15
06/17/2005
Registration Exemption for Transactions Between Financial Professionals and/or Clients Displaced as a Result of Hurricane Katrina Registration Exemption for Transactions Between Financial Professionals and/or Clients Displaced as a Result of Hurricane Katrina
2005-7-25
09/11/2015
Regulation A Tier 2 Regulation A Tier 2
2015-7-09
06/29/2019 2019-16-33
10/12/2011
Reliant Capital Solutions, LLC Consent Order (2011-9-12)
2011-9-12
02/21/2017 2017-18-01
01/25/2013
Reliant Support Services, Inc., a California corporation Order to Cease and Desist (2012-9-06)
2012-9-06
04/27/2010
Relief Law Center, also known as USA Loan Auditors Order To Cease And Desist (2010-8-01)
2010-8-01
07/01/2021 2021-16-34
09/24/2010 2010-16-18
10/26/2010 2010-16-25
09/21/2009 2009-16-07
07/15/2021 2021-16-41
10/26/2010 2010-16-21
12/17/2015 2015-9-10
09/28/2022 2022-16-43
10/07/2010 2010-16-72
10/26/2010 2010-16-15
12/17/2013
Roberts (Douglas S.) Roberts (Douglas S.)
2013-7-08-A
06/12/2017
Roberts (Teddy L.) Roberts (Teddy L.)
2017-7-09
06/23/2023
Robinhood Financial, LLC

Admin Consent Order

2023-07-03
01/16/2008
Rodgers (Trecia D.) d/b/a Rodgers Financial Services Rodgers (Trecia D.) d/b/a Rodgers Financial Services
2007-7-38
06/28/2021 2021-16-30
08/05/2021 2021-16-47
04/19/2022 2022-16-17
12/21/2023
Rongistrvautosales.com; Auto Sales Group, LLC; AAAEquiplag, LLC; Larry Gibbs; Darius Petronis

Order to Cease and Desist and Notice of Opportunity for a Hearing(12/21/2023)

2023-41-03
05/14/2024
Rosenthal and Thomas Inc

Order to Cease and Desist (05/14/2024)

2024-09-03
12/17/2012
Royal Wealth Management, Inc. d/b/a Northstar Capital; Royal (Brian M.) Royal Wealth Management, Inc. d/b/a Northstar Capital; Royal (Brian M.)
2011-7-11
12/31/2001
RPM Machine, Inc.; Riegert (Franz); Riegert (Fae A.) RPM Machine, Inc.; Riegert (Franz); Riegert (Fae A.)
2001-7-44
10/03/2019 2019-16-46
05/19/2017
Russ Trading Inc.; Russo (Nicolas, Jr.); Cactus Partners LP. Russ Trading Inc.; Russo (Nicolas, Jr.); Cactus Partners LP.
2017-7-10
10/26/2010 2010-16-09
10/26/2010 2010-16-69
06/29/2022 2022-16-31
10/17/2022
S & W Payroll Services, L.L.C., d/b/a Netchex Agreement and Order - 2022/10/17 (2022-12-6)
2022-12-6
04/29/2021 2021-16-22
10/25/2023
Safeguard Metals LLC; Ikahn, Jeffrey Administrative Order
2022-07-01
11/19/2019 2019-16-50
10/02/2020 2020-16-57
12/16/2019 2019-16-53
10/19/2016 2016-16-02
05/19/2022 2022-16-25
01/26/1999
Schiess (Gary K.) Schiess (Gary K.)
1998-7-68
01/29/2004
Schiess (Gary) Schiess (Gary)
2003-7-38
11/14/2023 2023-16-15
03/03/2022 2022-16-06
01/10/2022 2022-16-01
02/02/2022 2022-16-03
03/17/2017
SeaQuest Holdings LLC; Covino (Vince) SeaQuest Holdings LLC; Covino (Vince)
2017-7-05
02/04/2011
Seattle Service Bureau, Inc., dba National Service Bureau Consent Order (2011-9-01)
2011-9-01
10/04/2021 2021-18-01
06/29/2020
Selway Asset Management Inc., and Mark Matsko Selway Asset Management Inc., and Mark Matsko
2019-7-02
07/28/2008
Set Advisors LLC Set Advisors LLC
2007-7-39
07/15/2021 2021-16-38
10/26/2010 2010-16-66
04/02/2020 2020-16-11
03/15/2023 2023-16-06
10/12/2006
Shaw (Michael RW) a/k/a Michael R. Shaw d/b/a Michael Shaw Ministries and d/b/a MSM Ministries, Shaw (Michael RW) a/k/a Michael R. Shaw d/b/a Michael Shaw Ministries and d/b/a MSM Ministries,
2006-7-24
11/29/2021 2021-16-75
03/18/2013 2012-6-06
06/30/2009
Sierra Capital Services, Inc Consent Order (2009-9-04)
2009-9-04
09/10/2020
Signalwise, LLC., and William Stern Signalwise, LLC., and William Stern
2020-7-08
03/21/2024
01/04/2010
Simon (Peter A.) d/b/a Financial Planning Solutions Simon (Peter A.) d/b/a Financial Planning Solutions
2009-7-26
11/25/2014
Simple Recovery Solutions, LLC Order to Cease and Desist (2014-9-08)
2014-9-08
04/27/2015
Simpson (Mark Cole); Simpson Hughes Financial LLC Simpson (Mark Cole); Simpson Hughes Financial LLC
2013-7-14
04/17/2000
Sisbro Portfolio Consultants, LLC Sisbro Portfolio Consultants, LLC
2000-7-36
06/26/2012 2012-8-01
12/15/2015 2015-12-01
06/02/2005
Smiley (Jack Lee); Iraqi Investment (The) Smiley (Jack Lee); Iraqi Investment (The)
2005-7-15
07/27/2000
Smith (Paul H.); Munson (Steve) Smith (Paul H.); Munson (Steve)
2000-7-46
11/13/2008
Smith (Paul Horton, Sr.) Smith (Paul Horton, Sr.)
2008-7-10
03/09/2020
Solium Financial Services LLC Solium Financial Services LLC
2019-7-13
05/09/2003
Sonic Universal Investment Club d/b/a sonic.universal.com; Wilder (Daryl A.) Sonic Universal Investment Club d/b/a sonic.universal.com; Wilder (Daryl A.)
2003-7-02
06/14/2005
Spears (Mary F) Spears (Mary F)
2005-7-01
06/27/2011
Spencer (Karl Kent) d/b/a Yes Funding Spencer (Karl Kent) d/b/a Yes Funding
2011-7-02
10/11/2011
STA International, Inc. Consent Order (2011-9-18)
2011-9-18
03/31/2023 2023-16-08
01/25/2013
Standley and Associates, LLC Order to Cease and Desist (2012-9-22)
2012-9-22
03/28/2002
Starcash, Inc.; Infinity Services, Inc.; Ackersly (John); LeClercq (Jeanne) Starcash, Inc.; Infinity Services, Inc.; Ackersly (John); LeClercq (Jeanne)
2002-7-07
10/29/2010 2010-16-77
11/23/2021
Stephen Paul May; Options & Solutions Inc. Stephen Paul May; Options & Solutions Inc.
2021-7-02
11/23/2020 2020-16-50
05/19/2022 2022-16-22
12/20/2021 2021-16-79
06/11/2015 2015-16-02
06/15/2021 2021-16-28
05/27/2010
Stone (James C.) d/b/a JCS Advisory Stone (James C.) d/b/a JCS Advisory
2010-7-14
02/08/2018
Straight Line Investment Group LLC; Davis (Melissa); Papin (Jerry A., Jr.) Straight Line Investment Group LLC; Davis (Melissa); Papin (Jerry A., Jr.)
2017-7-13
07/05/2012
Strategic Capital Alternatives, LLC Strategic Capital Alternatives, LLC
2012-7-04
12/11/2006 2006-12-02
04/03/2017
Sun Valley Advisors, Inc.; Jessen (Neil M.) Sun Valley Advisors, Inc.; Jessen (Neil M.)
2017-7-07
08/12/2002
SunAmerica Securities, Inc. SunAmerica Securities, Inc.
2001-7-48
10/11/1999
Sundance Systems, Inc.; Patman (Michael E.) Sundance Systems, Inc.; Patman (Michael E.)
1999-7-68
08/17/2009
Sunrise Credit Services, Inc Consent Order (2009-9-14)
2009-9-14
07/21/2011
Superior Debt Services, dba Superior Debt Services, INC. Consent Order (2011-9-09)
2011-9-09
08/08/2022
Surrogacy Escrow Account Management, LLC a/k/a Seam, LLC Agreement And Order - 2022/08/08 (2022-18-02)
2022-18-02
11/29/2022
Swassing, Gleason Franklin “Frank”; Six Eight Properties Inc.
2021-7-04
10/29/2020 2020-9-06
02/29/2012 2011-6-02
01/09/2014 2014-9-01
01/26/2023
Tam, Marcus; MTRE VB2 LLC; Marcus Tam Real Estate Development & Investment Company LLC; MTRE Village Bungalows Investment LLC
2020-07-11
01/14/2020 2020-16-01
09/08/2022 2022-16-40
10/13/2020
Taylor Dean Ogden, and American Prosperity LLC Taylor Dean Ogden, and American Prosperity LLC
2017-7-15-S
08/31/2023
TC Group & Associates dba Tower Consulting LLC Order to Cease and Desist
2023-9-5
10/26/2010 2010-16-39
09/25/1998
Tew (Randy); J&T Enterprises Tew (Randy); J&T Enterprises
1998-7-90
12/22/2010
The Affiliated Group, Inc., dba Affiliated Credit Services Consent Order (2010-9-17)
2010-9-17
03/04/2017
The Credit Pros International Corporation Consent Order (2016-9-05)
2016-9-05
03/30/2012
The Credit Pros International Corporation, a New Jersey corporation Consent Order (2012-9-02)
2012-9-02
02/05/2014
The Land Title Company of Pend Oreille County, Inc. and Judy C. Kokano Consent Order to Cease and Desist - 02/05/2014 (2014-18-01)
2014-18-01
11/16/2015
The Law Office of Charles Mifsud, LLC dba MLO Group Consent Order (2015-9-08)
2015-9-08
09/14/2021 2021-9-04
11/14/2012
The Residential Litigation Group, P.A. Order to Cease and Desist (2012-41-02)
2012-41-02
05/22/2023
The Sands Law Group, LLP dba Whitestone Legal Group

Consent Order (2023-09-04)

2023-09-04
04/06/2010
Thomas G. Landis, dba Law Office of Thomas Landis Consent Order (2010-9-02)
2010-9-02
08/03/2023 2020-7-13-A
05/24/2005
Thomas Weisel Partners, LLC Thomas Weisel Partners, LLC
2005-7-10
03/28/2022
Tim Forsmann, LPA d/b/a Forsmann Accounting Service Agreement And Order - 2022/03/28 (2022-18-03)
2022-18-03
08/19/2022 2022-16-37
09/21/2010 2010-16-49
12/01/2021 2021-16-77
12/28/2021 2021-16-81
11/15/2022
Timothy McReynolds; and June Lee McReynolds Timothy McReynolds; and June Lee McReynolds
2020-7-17
10/26/2010 2010-16-23
10/26/2010 2010-16-27
03/03/2011
Todd, Bremer & Lawson, Inc. Consent Order (2011-9-06)
2011-9-06
03/22/2016
Tolman (Rulon Lee) Tolman (Rulon Lee)
2015-7-02-B
02/08/2013
Total Recovery Solutions, LLC. Order to Cease and Desist (2012-9-13)
2012-9-13
10/16/2015
Tracy Ann Widner Consent Order (2015-41-02)
2015-41-02
11/10/2021 2021-16-69
11/18/2021 2021-16-72
01/08/2024
Tradestation Crypto, Inc.

Consent Order

2023-7-14
05/12/2000
Trans-Link Research and Development Group, Inc.; Tusberg (Lee Douglas); Edgemon (Barbara) Trans-Link Research and Development Group, Inc.; Tusberg (Lee Douglas); Edgemon (Barbara)
2000-7-44
10/11/2006 2006-12-01
10/26/2010 2010-16-20
01/20/2012
Treasure Valley Angel Fund, LLC Treasure Valley Angel Fund, LLC
2012-7-02
10/07/2010 2010-16-04
05/07/2015 2015-9-04
08/20/2012
Trinity Enterprises, LLC, and dba Trinity Enterprises Partners, LLC Order to Cease and Desist (2012-9-03)
2012-9-03
10/26/2010 2010-16-71
10/03/2023
True Bullion, LLC; Anderson, Anthony Allen

Administrative Consent Order

2023-07-10
04/18/2006
Turner (Shane Michael), an individual, and Network Financial Services, LLC operating as Network Investments Turner (Shane Michael), an individual, and Network Financial Services, LLC operating as Network Investments
2006-7-14
10/22/2018
TWH Annuities & Insurance Agency, Inc. TWH Annuities & Insurance Agency, Inc.
2017-7-15-L
08/26/2014 2014-18-02
09/18/2003
U.S. Bancorp Piper Jaffray Inc. U.S. Bancorp Piper Jaffray Inc.
2003-7-24
04/27/2010
UBS Securities LLC; UBS Financial Services, Inc. UBS Securities LLC; UBS Financial Services, Inc.
2010-7-10
08/22/2003
UBS Warburg LLC; UBS PaineWebber, Inc. UBS Warburg LLC; UBS PaineWebber, Inc.
2003-7-19
09/13/2016
UCI Wealth Advisors LLC; Higgins (Travis) UCI Wealth Advisors LLC; Higgins (Travis)
2015-7-03
05/03/2019
Ultimate Holdings Corporation; Rieser (William R.) Ultimate Holdings Corporation; Rieser (William R.)
2018-7-01
08/29/1997
Union Financial Corporation Union Financial Corporation
1997-7-72
01/07/2011 2010-9-11
12/17/2020 2020-12-06
02/05/2013
UVEST Financial Services Group, Inc. UVEST Financial Services Group, Inc.
2013-7-04
06/13/2022 2022-6-01
01/30/2020 2020-12-01
03/26/2009 2009/9/03
09/21/2009
Victor J. Carlino, dba Idaho Capital Group Consent Order (2009-9-19)
2009-9-19
05/08/2023 2023-16-10
03/18/2013 2012-6-15
03/18/2013
VIP PDL Services, LLC aka The VIP Loan Shop Order to Cease and Desist (2012-6-13)
2012-6-13
08/02/2011
Vision Financial Corp., a New York corporation Consent Order (2011-9-11)
2011-9-11
09/21/2010
Vision Financial Corp., a New York corporation

Consent Order (2010-9-10)

2010-9-10
01/16/1998
VW 3000 LLC; Westmark (Dan A.) VW 3000 LLC; Westmark (Dan A.)
1997-7-111
05/10/2007
Wachovia Capital Markets, LLC Wachovia Capital Markets, LLC
2007-7-18
06/22/2009
Wachovia Securities, LLC; Wachovia Capital Markets, LLC Wachovia Securities, LLC; Wachovia Capital Markets, LLC
2009-7-22
06/16/2006
Wade (Randall Martin); First Wall Street Corporation Wade (Randall Martin); First Wall Street Corporation
2006-7-22
10/15/2018
Walker (Timothy Ray) Walker (Timothy Ray)
2017-7-15-Q
05/13/2020
Walker, Matthew and Pinnacle Plus Capital LLC Walker, Matthew and Pinnacle Plus Capital LLC
2019-7-05-F
10/24/2023 2019-9-10
06/22/2009
Ward (Jerry), individually and Jerry Ward d/b/a Med-Life Ward (Jerry), individually and Jerry Ward d/b/a Med-Life
2009-7-11
12/08/2009
Washington Collectors Tri-Cities, Inc., dba SpotCheck, and dba SpotCheck, a Division of Washington Collectors Tri-Cities, Inc. Consent Order (2009-9-21)
2009-9-21
03/17/2010
Watts (Walter Wesley) Watts (Walter Wesley)
2009-7-25
07/27/2021 2021-12-01
10/26/2010 2010-16-60
05/22/2023
01/23/2023
West Realm Shires Service Inc. d/b/a FTX US Consent Agreement And Order - 2023/01/23 (2023-12-01)
2023-12-01
02/06/2001
Western Capital Corporation; Goldstein (Nicholas); Cunningham (Kent) Western Capital Corporation; Goldstein (Nicholas); Cunningham (Kent)
2001-7-01
05/07/2015 2015-9-04
01/14/2013
Westwood Asset Management LLC., Joelle J. Leclair a/k/a Joelle J. Brace Order to Cease and Desist (2012-9-23)
2012-9-23
03/20/2019 2019-16-12
08/03/1999
White (Craig); Fee Only Financial Planning White (Craig); Fee Only Financial Planning
1999-7-55
01/29/2004
Whiting (Kim) Whiting (Kim)
2003-7-39
01/09/2012 2011-9-20
10/26/2010 2010-16-65
06/08/2004
Williams (Kelvin Barth); Assurance Financial, Inc. Williams (Kelvin Barth); Assurance Financial, Inc.
2003-7-10
02/18/2020
Williams, Schiller & Styer Wealth Management LLC Williams, Schiller & Styer Wealth Management LLC
2020-7-01
05/27/2019 2019-16-18
05/02/2018
Woodbridge Mortgage Investment Woodbridge Mortgage Investment
2017-7-15
01/29/2004
World Group Securities, Inc.; Schiess (Gary); Whiting (Kim) World Group Securities, Inc.; Schiess (Gary); Whiting (Kim)
2003-7-31
03/03/2022 2022-16-07
12/13/2005
www.5yearbond.com; Revell (Benjamin) www.5yearbond.com; Revell (Benjamin)
2005-7-32
01/30/2023 2023-16-04
05/03/2019
Xact Law Firm, LLC and Bryson Hunter Order to Cease and Desist (2018-9-04)
2018-9-04
12/14/2023
xCraft; Claridge, JD

Agreement and Order

2023-7-13
09/28/2010 2010-16-48
03/17/2022 2022-16-14
04/07/2009
Your Credit Angel LLC, a division of Coronwa Investments, LLC, a Nevada limited liability company, Order To Cease And Desist (2009-9-09)
2009-9-09
01/26/2023 2023-16-03
08/30/2021 2021-16-51
03/17/2022 202-16-10
07/30/2020
Zenpayroll, Inc., d/b/a Gusto Agreement and Order - 07/30/2020 (2020-12-05)
2020-12-05
01/30/2024 2024-09-01
12/26/2019 2019-16-56
ver: 3.5.2a | last updated: