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 CD-2019-0011 Final |
03/19/2019 10/04/2022 |
My Covenant Love, LLC Mark Anthony Fuller Harold Wayne Higgins Kenneth Renard Smith Donald Wilson All Respondents |
Cease and Desist Final Order - No Response |
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 CO-2019-0016 |
04/26/2019 06/30/2020 |
Black Tie Investments Bruce McMilton Rowland Black Tie Investments Bruce McMilton Rowland |
Cease & Desist Consent Order |
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 07/01/2020 |
FargoTrades LTD All Respondents |
Cease & Desist Final Order - No Response |
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 |
| SC-2019-0027 |
09/12/2019 |
Avalon Investment and Securities Group, Inc. Das Arnold Borden |
Show Cause Order |
Spencer Lee | S19-0222 |
| CD-2019-0028 |
09/17/2019 08/10/2020 |
FXCRYPTOFAIR Barbara Lawson All Respondents |
Cease & Desist Final Order - No Response |
Michael Gantt | S19-0223 |
| CD-2019-0030 |
10/01/2019 12/19/2019 |
Weygo Holdings, Inc. Timothy Michael Cautney All Respondents |
Cease & Desist Final Order - No Response |
Ricky Locklar | S19-0096 |
| CD-2019-0031 |
10-09-2019 07/01/2020 |
24 TradeCharts All Respondents |
Cease & Desist Final Order - No Response |
Michael Gantt | S19-0193 |
| CD-2019-0034 |
10/18/2019 01/06/2020 |
Robert Joseph Ritch All Respondents |
Cease & Desist Final Order - Request for Informal Hearing Withdrawn |
Charles Traywick | S19-0241 |
| CO-2019-0035 CO-2019-0035 |
10/18/2019 03/09/2022 |
Prominence Homes, LLC |
Consent Order Joint Consent Order |
Chip Harrison | S18-0174 |
| CD-2019-0037 |
11/20/2019 |
Paschel Productions, LLC Demetrius Paschel |
Cease & Desist | Elizabeth Planer | S19-0094 |
