Enforcement Actions Administrative

In the Matter of the Investment Adviser Registration of Smith Wealth Advisors, LLC and the Investment Adviser Representative Registration of Ronald Dewayne Smith, Jr.

In the Matter of Alan Shield, Jr.: Agreed Cease and Desist Order

In The Matter of the Dealer Registration of Vanguard Marketing Corporation and the Investment Adviser Registration of The Vanguard Group, Inc.: Cease & Desist and Undertaking
 

In the Matter of Apertum Foundation, Josip Heit, Dirc Zahlmann, Bruce Innes Wylde Hughes, and Dennis Christopher Loos: Agreed Order Setting Aside Emergency Order 

In the Matter of Ofir Bunker dba Prestige Equity aka Prestige Equity LLC: Agreed Order

In the Matter of the Investment Adviser Registration of Advue Capital, LLC and the Investment Adviser Representative Registration of Sebastian Agudeloisaza: Suspended, Undertaking, and Cease and Desist Order

In the Matter of the Agent and Investment Adviser Representative Registrations of William Lovelady: Reprimanded & Fined

In the Matter of the Investment Adviser Registration of Waits Investments, LLC: Reprimanded & Fined

In the Matter of the Investment Adviser Registration of San Antonio Wealth, LLC: Reprimanded, Fined, & Undertaking