Enforcement Actions Administrative

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

Dec 30
2019

Order No. ENF-CDO-20-1796

In the Matter of Inkprint Finance; Onoriode Ikimi AKA Steve Ikimi; and Kevin Flores AKA Kevin Ulises Flores Santos: Emergency Cease and Desist Order

Nov 22
2019

Order No. ENF-CDO-20-1792

In the Matter of U.S. Energy Assets LLC; Texas Victory Joint Venture; Timeless Protect LLC; Raymond Leslie Boykin; Mark Taylor; Duane Lee; Sunil Joseph AKA Joseph Sunil; and Paul James: Emergency Cease and Desist Order

Nov 22
2019

Order No. ENF-CDO-20-1795

In the Matter of Travco Oil and Gas LLC; Travis Jordan; Tom Darcy; Timeless Protect LLC; Duane Lee; Sunil Joseph AKA Joseph Sunil; and Paul James: Emergency Cease and Desist Order

Nov 22
2019

Order No. ENF-CDO-20-1794

In the Matter of Rare Earth Exploration LLC; Helium Hunters; Bradley Sherman Haycraft; Timothy P. Taylor; Bill Webber; Timeless Protect LLC; Duane Lee; Sunil Joseph AKA Joseph Sunil; and Paul James: Emergency Cease and Desist Order

Nov 20
2019

Order No. ENF-CDO-20-1793

In the Matter of Premier Resources LLC and Robert J. Mangiafico Jr. AKA Robert Mangiafico: Emergency Cease and Desist Order

Nov 5
2019

Order No. REG19-CAF-06

In the Matter of the Investment Adviser Registration of Frugal Financial Retirement Plan Services LLC: Fine, Reprimand

Oct 31
2019

Order No. IC19-SUS-06

In the Matter of the Investment Adviser Registration of Jason Hyson LeBlanc: Probation, Repayment