黑料社区

In the matter of Fx Trader Stock, Richard Greg, and Patricia Patrick 鈥� Order to Cease and Desist (1/8/2021)

In the matter of Daniel R. Holtzman, Kadee, LLC, and Crossroads Investments, LLC 鈥� Consent Order (1/14/2021)

In the matter of Daniel L. Glazier 鈥� Consent Order (1/15/2021)

In the matter of GPB Capital Holdings, LLC, David Gentile, Ascendant Capital, LLC, Ascendant Alternative Strategies, LLC, Jeffry Schneider 鈥� Order to Cease and Desist (2/4/2021)

In the matter of Reggie L. Storey, Jr., Wilma D. Storey, Storey Family Farms, LLC, and Elite Board Sports a/k/a Elite Sport Boards 鈥� Consent Order (2/11/2021)

In the matter of Cunningham Energy LLC, James Lockhart, Kevin Thibeau, Jan Peter Bolton, Scott Johnson, and Douglas Hardwick 鈥� Consent Order (2/17/2021)

In the matter of Jessica Walsh; GSE Properties, LLC; and 544 South Joint Venture 鈥� Order to Cease and Desist (2/18/2021)

In the matter of James Hal Heafner, CRD No. 4837072 Administrative Order: Revocation of Broker-Dealer Agent/Investment Adviser Representative Registration (3/4/2021)

In the Matter of Cunningham Energy LLC, James Lockhart, Kevin Thibeau, Jan Peter Bolton, Scott Johnson, and Douglas Hardwick 鈥� Consent Order as to Respondent Douglas Harwick (3/18/2021)

In the matter of Cunningham Energy LLC, James Lockhart, Kevin Thibeau, Jan Peter Bolton, Scott Johnson, and Douglas Hardwick 鈥� Consent Order as to Respondent Cunningham Energy, LLC (4/14/2021)

In the matter of Javier Restrepo 鈥� Consent Order (4/16/2021)

In the matter of Avalon Investment & Securities Group Inc., CRD No. 6281 鈥� Administrative Order: Revocation of Broker-Dealer Registration (5/13/2021)

In the matter of Titus Rockefeller LLC (CRD 43608) 鈥� Administrative Order: Revocation of Broker-Dealer Registration (5/13/2021)

In the matter of Trinity Asset Partners, LLC (IARD No. 166360) and Vincent Edward Gahren, (CRD No. 4076025) 鈥� Order to Cease and Desist (5/25/2021)

In the matter of Robert J. Edwards, CRD No. 7222825 and E & H Investment Services, LLC IARD No. 307414 鈥� Consent Order (6/29/2021)

In the matter of Stephen P. Wilbourne 鈥� Consent Order (7/13/2021)

In the matter of Blue Granite Capital, LLC (CRD No. 125607) 鈥� Consent Order (7/28/2021)

In the matter of Ronald Larson, jfaadvisorsllc.com, Julieta Palacios, and longterminvestorsllc.com 鈥� Order to Cease and Desist (8/23/2021)

In the matter of J. Christopher Dixon, and Black Harbor Wealth Management, LLC, 鈥� Consent Order (8/27/2021)

In the matter of Central Trade & Financial Authority 鈥� Order to Cease and Desist (9/17/2021)

In the matter of Lane Elliot Ginsberg (CRD No. 1359972) and Freedom Capital Advisors, LLC (CRD No. 168451) 鈥� Consent Order (9/21/2021)

In the matter of Frederick "Fred" Clark Johnson (CRD No. 1220814), Basic Wealth Advisors, Inc. (CRD No. 163998), and Basic Financial Services, Inc 鈥� Order to Cease and Desist (10/25/2021)

In the matter of Frederick 鈥淔red鈥� Clark Johnson (CRD No. 1220814), and Basic Wealth Advisors, Inc. (CRD No. 163998) 鈥� Administrative Order (10/25/2021)

In the matter of Richard Gary Abend (CRD No. 4689658) 鈥� Consent Order (11/12/2021)

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