Enforcement Actions Administrative

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

Apr 10
2019

Order No. IC19-CAF-01

In the Matter of the Dealer Registration of LPL Financial LLC: Fine

Apr 9
2019

Order No. ENF-19-CDO-1776

In the Matter of FxBitGlobe AKA FX Bit Globe Limited AKA FxBitGlobe Trading Company FKA Fidelity Trading Company: Emergency Cease and Desist Order

Apr 1
2019

Order No. REG19-CAF-03

In the Matter of the Investment Adviser Registration of Integrity RIA LLC: Fine, Reprimand

Mar 7
2019

Order No. ENF-19-CDO-1775

In the Matter of Advanced Wellness Services LLC, DBA WellnessTech Health, Recovery Management International and Randall "Randy"Johnson: Emergency Cease and Desist Order

Feb 21
2019

Order No. ENF-19-CDO-1774

In the Matter of Mintage Mining LLC, BC Holdings and Investments LLC DBA Mintage Mining, Social Membership Network Holding LLC, NUI Social LLC, and Darren Olayan: Fine, Rescission Offer

Feb 19
2019

Order No. REG19-CAF-01

In the Matter of the Investment Adviser Registration of Global Asset Management Group Inc.: Fine, Reprimand

Feb 19
2019

Order No. REG19-CAF-02

In the Matter of the Agent Registration of Raymond Cui: Reprimand, Fine