Enforcement Actions Administrative

May 27
2020

Order No. ENF-20-CDO-1805

In the Matter of David Edward "Dave"Flake: Emergency Cease and Desist Order

May 27
2020

Order No. REG20-SUS-02

In the Matter of the Agent and the Investment Adviser Representative Registration of Michael C De Pippo: Reprimand, Registration Granted

May 15
2020

Order No. ENF-20-CDO-1804

In the Matter of Nickolas Steele AKA Nick Vop Steele AKA Nick Steele: Emergency Cease and Desist Order

May 14
2020

Order No. IC20-CAF-03

In the Matter of the Investment Adviser Registration of Lorintine Capital LP: Fine, Reprimand

Apr 17
2020

Order No. ENF-20-CDO-1803

In the Matter of Kenzley Ramos AKA Anthony David "Tony"Mckinney AKA Anthony Green: Emergency Cease and Desist Order

Apr 16
2020

Order No. ENF-CDO-1802

In the Matter of Texas Shallow Oil & Gas LLC and Kenneth Wayne Wooldridge: Emergency Cease and Desist Order

Apr 8
2020

Order No ENF-20-CDO-1801

In the Matter of UltraMining.IO AKA Ultra BTC Mining LLC AKA Ultra Mining and Laura Branch: Emergency Cease and Desist Order

Apr 3
2020

Order No. ENF-20-CDO-1800

In the Matter of James Frederick Walsh AKA Jim Walsh AKA "Stormy"Walsh: Emergency Cease and Desist Order

Apr 1
2020

Order No. REG20-CAF-01

In the Matter of LendingClub Corp.: Reprimand, Fine, Registration Granted

Feb 25
2020

Order No. ENF-CDO-20-1798

In the Matter of Senior Asset Protection Inc. DBA Encore Financial Solutions, Merchant Growth & Income Funding LLC, ABetterFinancialPlan.com LLC AKA A Better Financial Plan, Complete Business Solutions Group Inc. DBA Par Funding, Gary Neal Beasley and Perry Abbonizio: Emergency Cease and Desist Order