Enforcement Orders & Actions

Case Number #: 117422 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Gregory M. Stoll Default Order, Findings of Fact, Conclusions of Law and Order

Case Number #: 117420 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Timothy D. Seils and Scott R. Kundel Order and Consent to Order

Case Number #: 119132 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Joseph M. Drahozal Order and Consent to Order

Case Number #: 117203 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Alvin Joseph Brideau Default Order, Findings of Fact, Conclusions of Law and Order

Case Number #: 117419 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Mallorie Sanchez Default Order, Findings of Fact, Conclusions of Law and Order

Case Number #: 118915 Matter: In the Matter of True Bullion, LLC d/b/a Gold Silver International Exchange d/b/a GSI Exchange, and Anthony Allen Anderson Order and Consent to Order

Case Number #: 117415 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Hermalinda Gomez Order and Consent to Order

Case Number #: 117258 Non-compliance Case: N/A Entity: Broker Dealer, Investment Advisor Matter: In the Matter of Spartan Capital Securities, LLC Order and Consent to Order

Case Number #: 115703 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Blaine J. Hamlett Default Order, Findings of Fact, Conclusions of Law and Order

Case Number #: 112141 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Ashley A. Butler Default Order, Findings of Fact, Conclusions of Law and Order

Case Number #: 113573 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Christopher C. Riley Default Order, Findings of Fact, Conclusions of Law and Order

Case Number #: 115706 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Anna Kline a/k/a Jordana Rae Weber Default Order, Findings of Fact, Conclusions of Law and Order

Case Number #: 117252 Non-compliance Case: N/A Entity: Unlicensed Matter: In the Matter of Charles Winn, LLC, Charlie Jake Smith, Helen Stanley, and Gary Goodman Summary Cease and Desist Order

Case Number #: 117427 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Doreen R. Townsend Order and Consent to Order & Order to Correct July 5, 2023 Order

Case Number #: 117355 Non-compliance Case: N/A Entity: Broker Dealer Matter: In the Matter of Robinhood Financial LLC Consent Order