Enforcement Actions Administrative

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

Feb 20
2020

Order No. ENF-CDO-20-1797

In the Matter of Woodland Resources LLC and Woodland Operating LLC AKA WY Woodland Operating LLC: Fine, Offer of Refund to Investors

Feb 19
2020

Order No. IC20-CAF-02

In the Matter of Bankers Life and Casualty Company and BLC Financial Services Inc.: Amended Consent Order

Feb 13
2020

Order No. IC20-CAF-01

In the Matter of the Dealer Registration of Next Financial Group Inc.: Fine; Repayment to Customers; Reprimand