Enforcement Actions Administrative

In the Matter of Dealer Registration of Edward D. Jones & Co, L.P.: Agreed Order

In the Matter of the Investment Adviser Registration of The Pilot's Advisor, LLC: Reprimanded and Fined

In the Matter of Anthony Martinez: Agreed Order

In the Matter of the Investment Adviser Representative Registration of David Gunderson: Reprimanded and Fined

In the Matter of Jose Eluid Cavazos: Agreed Order

In the Matter of the Investment Adviser Representative Registration of Shaun Hayes: Reprimanded and Undertaking 

In the Matter of the Investment Adviser and Dealer Registration of McNally Financial Services Corporation and the Investment Adviser Representative and Agent Registration of Mark Alan Kemp: Suspended, Reprimanded, and Undertaking

In the Matter of Trage Technologies Limited, Graeme Gary Hearn, Michael “Mike” Holloway, Kingdom Wealth Group LLC aka Kingdom Wealth Creators LLC, Darrell Porter, and Eric Ture Muhammad aka Brother Eric Muhammad: Emergency Cease and Desist 

In the Matter of the Investment Adviser Registration of FQI Capital Management, LLC: Undertaking and Fined

In the Matter of the Investment Adviser Registration of Panoramic Financial Advice Inc.: Reprimanded and Fined