Case Number #: 68806
Non-compliance Case: No
Entity: Unlicensed
Matter: In the Matter of Prosapia Financial LLC; Prosapia Capital Management LLC; Alan Lucas; Robyn Renee Palmer
Cease and Desist Order; Proposed Decision
Case Number #: 66623
Non-compliance Case: Yes
Entity: Producer
Matter: In the Matter of Michael Blake
Order for Suspension; Order Reinstating License After Suspension
Case Number #: 66957
Non-compliance Case: No
Entity: Investment Adviser Representative, Producer
Matter: In the Matter of Covenant Benefits, Inc. a/k/a Covenant Advisors and Noah James Aulwes a/k/a Tom Lee Aulwes a/k/a Thomas Lee Aulwes
Order and Consent to Order and Agreement
Non-compliance Case: No
Entity: Unlicensed
Matter: Extraordinary Films aka Extraordinary Media Group Ltd; Perioxide Pictures LLC; Van Slee Andrew
San Diego CA Beverly Hills CA Chula Vista CA Allegation: Selling unregistered securities Resolution: Order: Cease and desist the offer or sale of unregistered securities Date of Order/Settlement: 2004-04-27