Enforcement Actions Administrative

Jul 8
2020

Order No. ENF-20-CDO-1813

In the Matter of Swiftminex and Elizabeth Rossiello: Emergency Cease and Desist Order

Jul 8
2020

Order No. ENF-20-CDO-1812

In the Matter of LoudMines and Rose Davis: Emergency Cease and Desist Order

Jul 7
2020

Order No. ENF-20-CDO-1811

In the Matter of Mirror Trading International PTY LTD; Cornelius Johannes "Johann"Steynberg; ForexandBitcoin.com; Michael Aaron Cullison; Steve Herceg and Brian D. Knott: Emergency Cease and Desist Order

Jun 17
2020

Order No. ENF-20-CDO-1810

In the Matter of PRT Consulting, LLC DBA Petroleum Resources of Texas; Emilio Barrera, Jr. AKA Mike Barrera; Beeler 2H Joint Venture; Todd Prince; Richmond Engineering, Inc; SmartOilAndGas.org D/B/A Smart Oil and Gas; and Mark Allan Plummer AKA M.A. Plummer: Emergency Cease and Desist Order

Jun 15
2020

Order No. IC20-CAF-04

In the Matter of the Investment Adviser Registration of Jim Poe & Associates, Inc.: Reprimand, Undertaking

Jun 12
2020

Order No. ENF-20-CDO-1809

In the Matter of Travco Oil and Gas, LLC, Travis Jordan and Tom Darcy: Agreed Order, Fine

Jun 5
2020

Order No. ENF-20-CDO-1808

In the Matter of CoinVaultPro: Emergency Cease and Desist Order

Jun 3
2020

Order No. ENF-20-CDO-1807

In the Matter of Paul Leslie Depew aka Leslie Paul and How Bazzar, LLC: Emergency Cease and Desist Order

May 29
2020

Order No. REG20-CAF-03

In the Matter of the Investment Adviser Registration of Challenger Wealth Management: Reprimand, Fine, Registration Granted

May 27
2020

Order No. ENF-20-CDO-1806

In the Matter of Winchester Financial Group; PCI Group Companies, Inc; PCI Group Companies, LTD; and Stephen Charles Peterson: Emergency Cease and Desist Order