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Administrative Actions

Date Description Docket Number
11/24/2021
2C Family Brewing Company 2C Family Brewing Company
2021-7-05
09/09/2021
AB Allen Financial LLC.; Allen, Linda AB Allen Financial LLC.; Allen, Linda
2021-7-03
05/24/2021
Allan Hillman Densmore, and Retirement Services, LLC Allan Hillman Densmore, and Retirement Services, LLC
2017-7-15-A
05/22/2017
Allegis Investment Advisors, LLC Allegis Investment Advisors, LLC
2016-7-01
09/08/2020
American Alternative Investments, LLC American Alternative Investments, LLC
2019-7-05-A
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
01/05/2022
Anthony Pellegrino, and Goldstone Financial Group, LLC. Anthony Pellegrino, and Goldstone Financial Group, LLC.
2019-7-05-C
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
03/18/2019
Avalon Equity Group, Inc. Avalon Equity Group, Inc.
2017-7-15-R
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
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
11/28/2000
Bennett (Bradlee L.); Bennett Enterprises Bennett (Bradlee L.); Bennett Enterprises
2000-7-58
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
01/13/1999
Bishop (Wendy Lee) Bishop (Wendy Lee)
1998-7-60
09/17/1999
Blackpool Investments, Inc.; Kotalwi (Parkash) Blackpool Investments, Inc.; Kotalwi (Parkash)
1999-7-65
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
02/26/2013
Brainard (James); Coventry LLC; Copper Creek LLC Brainard (James); Coventry LLC; Copper Creek LLC
2010-7-17
08/14/2014
Bright Flash Development Inc. Bright Flash Development Inc.
2014-7-04
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
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
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
11/24/2021
Capital Eleven Advisors, LLC

Order Waiving Broker Registration for M&A Broker Activities

 2021-7-05
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
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
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
02/15/1996
Cohig & Associates, Inc. Cohig & Associates, Inc.
1996-7-32
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
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
01/28/2014
Covino (Peter Carmine, III) Covino (Peter Carmine, III)
2013-7-15
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
10/22/2018
Crook (Douglas William) Crook (Douglas William)
2017-7-15-K
04/20/1999
D.H. Blair & Co., Inc. D.H. Blair & Co., Inc.
1999-7-35
08/24/2005
Deaton (Mark) Deaton (Mark)
2005-7-14
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
07/15/2005
Deutsche Bank Securities, Inc. Deutsche Bank Securities, Inc.
2005-7-11
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
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
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
12/20/2024
Edward D. Jones & Co., L.P.

Administrative Consent Order

 2023-7-06
11/14/2025
Edward D. Jones & Co., L.P.

Consent Order

 SB-2025-105
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
02/12/2004
Ellis (Stephen T.) Ellis (Stephen T.)
2003-7-43
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
04/21/2020
Escrow Licensee Renewal Filing Disruptions Resulting From Coronavirus Escrow Licensee Renewal Filing Disruptions Resulting From Coronavirus
2020-07-07
10/28/2014
Exercise Institute Inc. Exercise Institute Inc.
2014-7-05
06/27/2007
Fairchild (David A.) Fairchild (David A.)
2007-7-08
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
04/12/2012
Fintegra, LLC Fintegra, LLC
2011-7-08
03/12/2001
First Dallas Securities Incorporated First Dallas Securities Incorporated
2000-7-75
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
01/02/2001
Foster (William Owen) Foster (William Owen)
2000-7-77
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
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
11/12/2014
GDE Corp. d/b/a Uniburr GDE Corp. d/b/a Uniburr
2014-7-06
06/03/2010
GdF Suez SA GdF Suez SA
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
10/16/2003
Gidley (David A.) Gidley (David A.)
2003-7-29
11/27/2019
Girard (Ray Leo); MLC Enterprises Unlimited LLC Girard (Ray Leo); MLC Enterprises Unlimited LLC
2019-7-03
12/20/2024
Gold Corporation DBA The Perth Mint

Consent Order

 SB-2024-056
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
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
10/19/2020
Gregory Leo Kesten Gregory Leo Kesten
2017-7-15-N
04/26/2018
Grigorieff (Bill John) Grigorieff (Bill John)
2017-7-17-A
05/04/2017
Hallmark Investments Inc. Hallmark Investments Inc.
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
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
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
01/13/2026
Hemming Morse, LLC

Order Waiving Broker Registration for M&A Broker Activities

 SB-2026-016
08/16/1999
Henderson (David B.); Independent Funding Inc. Henderson (David B.); Independent Funding Inc.
1999-7-49
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
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.

Agreement and Order
2009-7-03
07/31/2017
Hughes (Gorden); Hughes Investment Group, Inc. Hughes (Gorden); Hughes Investment Group, Inc.
2017-7-11
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
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
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
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
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
09/02/2003
J.P. Morgan Securities, Inc. J.P. Morgan Securities, Inc.
2003-7-25
04/15/2021
JD Cowan & Company, LLC JD Cowan & Company, LLC
2021-7-01
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
07/30/2009
JPMorgan Chase & Co. JPMorgan Chase & Co.
2009-7-20
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
09/06/2012
Kern (Robert E.) Kern (Robert E.)
2012-7-09
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
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
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
03/02/2000
LinkNet, Inc. f/k/a INFOLINK, Inc. LinkNet, Inc. f/k/a INFOLINK, Inc.
2000-7-09
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
04/28/1998
Loeschner (Ted) Loeschner (Ted)
1998-7-67
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
04/21/2026
LPL Financial LLC.

Administrative Consent Order

 SB-2025-106
12/10/2018
Matheson (Daniel J.) Matheson (Daniel J.)
2017-7-15-M
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
10/20/2010
McIntosh (W.M. “Bill”) McIntosh (W.M. "Bill")
2010-7-01
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
06/05/2024
Milford James Faylor

ORDER TO CEASE AND DESIST AND NOTICE OF OPPORTUNITY FOR A HEARING (06/05/2024)

 2022-7-12
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
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
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
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
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
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
Nightingale (Jason) Nightingale (Jason)
2019-7-05-G
06/30/1997
Ohio Company (The) Ohio Company (The)
1997-7-43
08/18/1997
ORB Industries, Inc; Hight (Charles C.) ORB Industries, Inc; Hight (Charles C.)
1996-7-142
11/08/2016
OTCQX Best Market OTCQX Best Market
2016-7-03
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
10/29/2020
Paul Fredrick Johnson Paul Fredrick Johnson
2017-7-15-B
11/17/1999
PC-Hut Enterprises; Russell (Rodney A.) PC-Hut Enterprises; Russell (Rodney A.)
1999-7-30
04/01/2013
Pennaluna and Company Pennaluna and Company
2013-7-01
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
10/07/2024
Plutus Financial Holdings, Inc.

Administrative Consent Order

 2024-7-04
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
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
09/24/2012
ProEquities, Inc. ProEquities, Inc.
2012-7-13
01/18/2013
Profits Plus Capital Management, LLC Profits Plus Capital Management, LLC
2010-7-20
10/13/2023
Quilici Asset Management, LLC

Suspension of Investment Advisor Registration

 2023-7-11
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
04/20/2026
RBC Capital Markets, LLC

Administrative Consent Order

 SB-2025-107
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

Amended Order

 2020-7-16
12/08/2023
Registration Exemption for Investment Advisers whose only Clients are Insurance Companies

General Order

 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
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
06/23/2023
Robinhood Financial, LLC

Admin Consent Order

 2023/7/03
01/16/2008
Rodgers (Trecia D.) d/b/a Rodgers Financial Services Rodgers (Trecia D.) d/b/a Rodgers Financial Services
2007-7-38
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
05/19/2017
Russ Trading Inc.; Russo (Nicolas, Jr.); Cactus Partners LP. Russ Trading Inc.; Russo (Nicolas, Jr.); Cactus Partners LP.
2017-7-10
10/25/2023
Safeguard Metals LLC; Ikahn, Jeffrey Administrative Order
2022-07-01
01/26/1999
Schiess (Gary K.) Schiess (Gary K.)
1998-7-68
01/29/2004
Schiess (Gary) Schiess (Gary)
2003-7-38
03/17/2017
SeaQuest Holdings LLC; Covino (Vince) SeaQuest Holdings LLC; Covino (Vince)
2017-7-05
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
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
09/10/2020
Signalwise, LLC., and William Stern Signalwise, LLC., and William Stern
2020-7-08
01/04/2010
Simon (Peter A.) d/b/a Financial Planning Solutions Simon (Peter A.) d/b/a Financial Planning Solutions
2009-7-26
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
06/02/2005
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

Consent Order to Cease and Desist
2011-7-02
03/28/2002
Starcash, Inc.; Infinity Services, Inc.; Ackersly (John); LeClercq (Jeanne) Starcash, Inc.; Infinity Services, Inc.; Ackersly (John); LeClercq (Jeanne)
2002-7-07
11/23/2021
Stephen Paul May; Options & Solutions Inc. Stephen Paul May; Options & Solutions Inc.
2021-7-02
09/02/2025
Stifel, Niclaus & Company, Inc.

Administrative Consent Order

 SB-2025-108
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
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
11/29/2022
Swassing, Gleason Franklin “Frank”; Six Eight Properties Inc.
2021-7-04
01/26/2023
Tam, Marcus; MTRE VB2 LLC; Marcus Tam Real Estate Development & Investment Company LLC; MTRE Village Bungalows Investment LLC Tam, Marcus; MTRE VB2 LLC; Marcus Tam Real Estate Development & Investment Company LLC; MTRE Village Bungalows Investment LLC
2020-07-11
01/26/2023
Tam, Marcus; MTRE VB2 LLC; Marcus Tam Real Estate Development & Investment Company LLC; MTRE Village Bungalows Investment LLC
2020-07-11
10/13/2020
Taylor Dean Ogden, and American Prosperity LLC Taylor Dean Ogden, and American Prosperity LLC
2017-7-15-S
09/11/2025
TD Ameritrade, Inc.

Administrative Consent Order

 SB-2025-109
09/25/1998
Tew (Randy); J&T Enterprises Tew (Randy); J&T Enterprises
1998-7-90
11/24/2021
The 401K Source, Inc.

The 401K Source, Inc Order of Summary Suspension of IA Registration 1.2.2025

 2021-7-05
08/03/2023
Thomas Wayne Ives

Agreement and Order (8-3-2023)

 2020-7-13-A
05/24/2005
Thomas Weisel Partners, LLC Thomas Weisel Partners, LLC
2005-7-10
11/15/2022
Timothy McReynolds; and June Lee McReynolds Timothy McReynolds; and June Lee McReynolds
2020-7-17
03/22/2016
Tolman (Rulon Lee) Tolman (Rulon Lee)
2015-7-02-B
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
01/20/2012
Treasure Valley Angel Fund, LLC Treasure Valley Angel Fund, LLC
2012-7-02
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
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
02/05/2013
UVEST Financial Services Group, Inc. UVEST Financial Services Group, Inc.
2013-7-04
06/17/2025
Vanguard Marketing Corp.

Administrative Consent Order

 SB-2025-006
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
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
03/17/2010
Watts (Walter Wesley) Watts (Walter Wesley)
2009-7-25
02/06/2001
Western Capital Corporation; Goldstein (Nicholas); Cunningham (Kent) Western Capital Corporation; Goldstein (Nicholas); Cunningham (Kent)
2001-7-01
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
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
05/02/2018
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
12/13/2005
www.5yearbond.com; Revell (Benjamin) www.5yearbond.com; Revell (Benjamin)
2005-7-32
12/14/2023
xCraft; Claridge, JD

Agreement and Order

 2023-7-13
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