Enforcement Actions Administrative

In the Matter of Petro-San Resources LLC and Sean Patrick Riley: Emergency Cease and Desist Order

In the Matter of the Application for Investment Adviser Representative Registration of Bruce William Schoendorf: Granted with Reprimand, Suspension

In the Matter of Lonestar Mineral Assets LLC AKA Lone Star Mineral Assets LLC and Kenneth Wayne McKay: Emergency Cease and Desist Order

In the Matter of Clifton Curtis Sneed Jr., DBA The Joint Venture Group, Top Money Earners Group, and Ivan Dickson: Emergency Cease and Desist Order

In the Matter of the Investment Adviser Registration of Mowery Capital Management LLC and the Investment Adviser Representative Registration of Frederick Eugene Mowery: Notice of Hearing

In the Matter of Versus Capital Multi-Manager Real Estate Income Fund LLC: Fine

In the Matter of Quixote Xploration LLC and James Patrick Bona: Emergency Cease and Desist Order

In the Matter of Lance A. Bell D/B/A JB and Company: Agreed Cease and Desist Order

In the Matter of Smart Trust, Tax Free Income Trust, Series 13: Order to Pay Fees for Sales of Unregistered Securities

In the Matter of the Investment Adviser Registration of Warren Financial Services LLC and the Investment Adviser Representative Registration of Kenneth Wayne Graves: Registrations Revoked