Enforcement Orders & Actions

Case Number #: 122828 Non-compliance Case: No Entity: Producer Matter: In the Matter of Dallas L. Schwarz Order and Consent to Order

Case Number #: 111837 Entity: Investment Adviser Matter: Elite Wealth Partners, Cory Dawkins, & EWP Permian Basin Fund Findings of Fact, Conclusions of Law, and Final Order to Cease & Desist

Case Number #: 120520 Non-compliance Case: No Entity: Producer Matter: In the Matter of Laura Rodriguez Order and Consent to Order

Case Number #: 103647 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Nicholas Stewart Order for Reissuance After License Suspension and Expiration

Case Number #: 97583 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Antoine Parker Order for Reissuance After License Suspension and Expiration

Case Number #: 120517 Non-compliance Case: No Entity: Producer Matter: In the Matter of Amber Deno Final Order

Case Number #: 119239 Non-compliance Case: No Entity: Broker-Dealer, Investment Advisor Representative, Producer Matter: In the Matter of Justin M. Bjerke Order and Consent to Order

Case Number #: 117413 Non-compliance Case: No Entity: Producer Matter: In the Matter of Sarin Haag Final Order

Case Number #: 114006 Non-compliance Case: No Entity: Producer Matter: In the Matter of Matthew Trueg Order for Reissuance After License Suspension and Expiration

Case Number #: 120934 Non-compliance Case: N/A Entity: Unlicensed Matter: In the Matter of Alan S. Kessler and Ask The Coach Inc. d/b/a Optimal Health Technologies Summary Cease and Desist Order

Case Number #: 124534 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Thomas W. Bennett Order Approving Application for Resident Insurance Producer License with Conditions

Case Number #: 119133 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Edson N. Lidonde Final Order

Case Number #: 119135 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Steven V. Lisiewicz Order and Consent to Order

Case Number #: 119293 Non-compliance Case: N/A Entity: Broker Dealer Matter: In the Matter of Edward D. Jones & Co., L.P. Order and Consent to Order

Case Number #: 121701 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Pablo Ivan Castillo Decision