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Regulatory Orders

Order 24002, Broker Dealer Agent Examination Requirements, Exam Validity Extension Program

Order 24004, Investment Advisor Representative Examination Validity Extension Program (IAR EVEP)

Enforcement Orders

In the matter of Dublin Finance Associates, LLC; Thomas W. Janes; Commonwealth Botanicals, LLC; and Dean D. Porter – Consent Order as to Respondents Dublin Finance Associates, LLC and Thomas W. Janes - (1/3/2024)

In the matter of Tradestation Crypto, Inc. – Consent Order (1/10/2024)

In the matter of Collins Advisors Fund Management, LLC (CRD No. 318753); and Brian Patrick Collins (CRD No. 2474032) – Consent Order (1/12/2024)

In the matter of James M. Rudnick; Rudnick Development, LLC; and Southeastern Lot Acquisitions, LLC – Consent Order (5/3/2024)

In the matter of Plutus Financial Holdings, Inc.; Plutus Financial, Inc.; Plutus Lending, LLC; Abra Boost, LLC; and William "Bill" Barhydt – Consent Order (6/6/2024)

In the matter of True Bullion, LLC d/b/a Gold Silver International Exchange d/b/a GSI Exchange; and Anthony Allen Anderson – Consent Order (6/6/2024)

In the matter of Voyager Digital, LLC; Voyager Digital, LTD.; and Voyager Digital Holdings, Inc. – Consent Order (6/6/2024)

Alan Wilson, In his official capacity as the Securities Commissioner for the State of South Carolina, Plaintiff, v. Jessica Lauren Walsh; Apogee & Company, LLC; and FifthUp, LLC, Defendants.Ìý Case No. 2023-CP-40-05309 – Order (8/22/2024)

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