Enforcement Actions Administrative

Jul 9
2019

Order No. IC19-CAF-03

In the Matter of the Investment Adviser Registration of Grove Capital Management Inc.: Fine, Reprimand

Jul 1
2019

Order No. ENF-19-CDO-1782

In the Matter of TMTE Inc., AKA Chase Metals.com, Chase Metals LLC, and Chase Metals Inc.; Walter Vera; Michael Kendall and Athena Hunter: Rescission Offer

Jun 28
2019

Order No. ENF-19-CDO-1781

In the Matter of Tint X Mining Pool and Maxi Samantha Fortune: Emergency Cease and Desist Order

Jun 28
2019

Order No. ENF-19-CDO-1780

In the Matter of Madeline O'Farrell: Emergency Cease and Desist Order

Jun 28
2019

Order No. ENF-19-CDO-1779

In the Matter of Mikhail Rania Safiya: Emergency Cease and Desist Order

Jun 6
2019

Order No. ENF-19-CDO-1778

In the Matter of InnerGeo LLC, WaterReco LLC DBA OilReco: Emergency Cease and Desist Order

Jun 6
2019

Order No. IC19-CAF-02

In the Matter of the Investment Adviser Registration of LFS RIA LLC and the Investment Adviser Representative Registration of Clair Crossland: Reprimand, Repayment

Jun 6
2019

Order No. REG19-SUS-04

In the Matter of the Investment Adviser Representative Registration of Mark A. Trewitt: Suspension

May 9
2019

SOAH Docket No. 312-19-4598: Notice of Hearing In the Matter of TMTE Inc., AKA Chase Metals.com, et al.

In the Matter of TMTE Inc., AKA Chase Metals.com, Chase Metals LLC, and Chase Metals Inc.; Walter Vera; Michael Kendall and Athena Hunter: Notice of Hearing

Apr 30
2019

Order No. ENF-19-CDO-1777

In the Matter of TMTE Inc., AKA Metals.com, Chase Metals LLC, and Chase Metals Inc.; Walter Vera; Michael Kendall and Athena Hunter: Emergency Cease and Desist Order