Administrative Actions - 2019

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Order #

Date Issued Respondents Action Contact Case Number
CD-2019-0001
01/23/2019
Alluvial Investment Group LLC
Demetrius Antione Blankenship
Cease and Desist
Chuck James S18-0196
SC-2019-0002
02/08/2019
Joel McGriff
The McGriff Alliance
The McGriff Burrs Alliance
Show Cause Order
Elizabeth Planner S18-0138
CD-2019-0003
02/25/2019

05/14/2019
Gossamer

All Respondents
Cease and Desist

Final Order - No Response
Leighton Greenlee S19-0043
CD-2019-0004
02/25/2019


05/14/2019
YSIGN
Ivan Vujic

All Respondents
Cease and Desist


Final Order - No Response
Leighton Greenlee S19-0038
CD-2019-0005
02/25/2019


05/14/2019
POTPONS LLC
David Reeves

All Respondents
Cease and Desist


Final Order - No Response
Leighton Greenlee S19-0019
CD-2019-0006
02/25/2019



08/27/2019
Awax, Ltd
Andrej Peciorin
Magnus Larsson

All Respondents
Cease and Desist



Final Order - No Response
Mike Gantt S19-0021
CD-2019-0007
02/25/2019
Fundsoptions Investments
Cease and Desist
Randy Jones S18-0184
CD-2019-0008
02/27/2019


05/03/2019
Fritts Financial, LLC
Richard Fritts

All Respondents
Cease and Desist


Final Order - No Response
Elizabeth Planner S18-0139
CD-2019-0011
03/20/2019
My Convenant Love
Mark Anthony Fuller
Harold Wayne Higgins
Kenneth Renard Smith
Donald Wilson
Cease & Desist
Mike Wilkerson S18-0216
CD-2019-0013
03/28/2019
Negus Capital Incorporated
Aaron Brooks Butler
Cease & Desist
Chuck James S19-0029
SC-2019-0015


OV-2019-0015
04/02/2019


08/20/2019
Jon Lindberg
First Advisors Capital, Inc.

Jon Lindberg
First Advisors Capital, Inc.
Show Cause


Order To Vacate
Spencer Lee S18-0155
CD-2019-0016
04/26/2019
Black Tie Investments
Bruce McMilton Rowland
Cease & Desist
Chuck James S19-0062
CD-2019-0017
05/01/2019
Wieniewitz Financial, LLC
Wieniewitz Wealth Management, LLC
Henry John Wieniewitz III
AKA: Trae Wieniewitz
Cease & Desist
Elizabeth Planer S18-0139
CD-2019-0018
05/15/2019
Gorsline Financial Services, LLC
Robert Alexander Gorsline
AKA: Alex Gorsline
Cease & Desist
Elizabeth Planer S18-0139
CD-2019-0023
06/24/2019
FargoTrades LTD
Cease & Desist
Michael Gantt S19-0135
CD-2019-0024
07/09/2019




10/04/2019
Discovery Fund, LLC
Gen Tech Energy, LLC
James Mobley
Robert Duenckel

All Respondents
Cease & Desist




Final Order - No Response
Mark Mitchell S19-0031
CD-2019-0025
08/08/2019
TMTE, Inc. D/B/A Metals.com
Chase Metals, Inc.
Michael Kendall
Timothy Porritt
Randall Kohl
Alexander Giaime
Cease & Desist
Elizabeth Planer S19-0101
CD-2019-0028
09/17/2019
FXCRYPTOFAIR
Barbara Lawson
Cease & Desist
Michael Gantt S19-0223
CD-2019-0030
10/01/2019
Weygo Holdings, Inc.
Timothy Michael Cautney
Cease & Desist
Ricky Locklar S19-0096