Enforcement Actions Administrative

In the Matter of Old Security Financial Group Inc.; Donald Anthony MacKenzie; and Robert S. Davis Jr.: Agreed Order

In the Matter of the Dealer Registration of Charles Schwab & Co. Inc: Reprimand, Fine

In the Matter of the Investment Adviser Representative Registration and the Agent Registration of Stephen M. Scheurer: Reprimand, Fine, Registrations Granted

In the Matter of the Investment Adviser Registration of Rubicon Investment Management & Analytics LLC: Reprimand, Fine

In the Matter of Strata Medical Innovations Inc. and Mark Aldana: Agreed Cease and Desist Order

In the Matter of the Application for Dealer Registration of Richards, Merrill & Peterson Inc. and Applications for the Agent Registrations of Steven Richard Larson and John Scott Larson: Reprimands, Fine

In the Matter of Texas First Financial LLC; Bobby Eugene Guess; and Mechanical Motion Solutions LLC: Notice of Hearing

In the Matter of Texas First Financial LLC; Bobby Eugene Guess: and Mechanical Motion Solutions LLC: Emergency Cease and Desist Order

In the Matter of the Investment Adviser Registration of Lawrence Allen Deshetler DBA Partners Investment Advisors: Notice of Hearing to Revoke Registration

In the Matter of the Investment Adviser Registration of Valor Capital Asset Management LLC: Reprimand, Fine