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Regulatory Orders

Order 22004, Investment Adviser Representative Continuing Education Requirement

Order 22005, Designating Nationally Recognized Securities Manuals to Include OTCQX and OTCQB Markets

Enforcement Orders

In the matter of Michael Hanrahan (CRD No. 1951824) – Consent Order (1/27/2022)

In the matter of Timothy L. McCarty, and Palmetto Financial Associates of South Carolina, LLC, a/k/a Palmetto Financial Associates, LLC – Consent Order (1/27/2022)

In the matter of BlockFi Lending LLC – Consent Order (3/4/2022)

In the matter of Voyager Digital, Ltd., Voyager Digital Holdings, Inc., and Voyager Digital, LLC – Order to Cease and Desist (4/6/2022)

In the matter of EIX Acquisition Company Corp., EIX Capital Management Corp., and Elijah' Isaiah X – Order to Cease and Desist (4/20/2022)

In the matter of Jessica Walsh; GSE Properties, LLC; and 544 South Joint Venture – Consent Order (4/25/2022)

In the matter of Retire Happy, LLC, Julie A. Minuskin, Joshua P. Stoll, and Terry F. McDonald – Order to Cease and Desist (5/25/2022)

In the matter of James Travis Flynn, CRD No. 3082615 – Administrative Order: Revocation of Broker-Dealer Agent/Investment Adviser Representative Registration (7/12/2022)

In the matter of Dublin Finance Associates, LLC et al – Order to Cease and Desist (7/22/2022)

In the matter of EIX Acquisition Company Corp., EIX Capital Management Corp., and Elijah' Isaiah X – Consent Order (7/28/2022)

In the matter of Robert Leroy Gardner (CRD No. 2131726), and WSG Advisors, LLC (CRD No. 148319) – Consent Order (9/1/2022)

In the matter of Nexo, Inc., and Nexo Capital, Inc. – Order to Cease and Desist (9/26/2022)

In the matter of Raymond James & Associates, Inc. (CRD No. 705) – Consent Order (9/28/2022)

In the matter of Thomas J. Cornine – Consent Order (9/28/2022)

In the matter of Adam Matthew Ehrlich, CRD #2254767 – Order to Vacate the July 30, 1998 Order of Denial (11/28/2022)

In the matter of Retire Happy, LLC, Julie A. Minuskin, Joshua P. Stoll, and Terry F. McDonald – Consent Order as to Respondent Terry F. McDonald (11/28/2022)

In the matter of Elements of Genius, Inc. d/b/a Wellnest; and Jonathan E. Ramaci – Order to Cease and Desist (12/15/2022)