Enforcement Actions Administrative

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

Nov 27
2018

Order No. REG18-CAF-03

In the Matter of the Investment Adviser Representative Registration and the Agent Registration of Robin Curt Holcomb: Fine, Reprimand

Nov 27
2018

Order No. ENF-18-CDO-1773

In the Matter of My Crypto Mine and Mark Steven Royer: Emergency Cease and Desist Order

Nov 6
2018

Order No. ENF-18-CDO-1771

In the Matter of AWS Mining PTY Ltd, Automated Web Services Mining AKA AWS Mining, Daniel Beduschi, Alexandre Campos, Jessica Nunes Sivirino, MyCoinDeal, AWS Elite, Josiah Kostek, West Texas Oilfield Cloud Miners Club and Kenneth Luster: Emergency Cease and Desist Order