Enforcement Orders & Actions

Case Number #: 103767 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Thomas Clyce Order Denying Reissuance After License Suspension and Expiration

Case Number #: 125581 Non-compliance Case: No Entity: Investment Adviser & Broker-dealer Matter: In the Matter of Vanguard Marketing Corporation and The Vanguard Group Order and Consent to Order

Case Number #: 122579 Non-compliance Case: N/A Entity: Unlicensed Matter: In the Matter of Dynasty Restoration Inc. and Joseph R. Rocha Order and Consent to Order

Case Number #: 124700 Non-compliance Case: No Entity: Producer Matter: In the Matter of Gregory D. Stucky Order and Consent to Order

Case Number #: 120696 Non-compliance Case: No Entity: Producer Matter: In the Matter of Will D.M. Major Order and Consent to Order

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