Administrative Actions - 2019

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Order #

Date Issued Respondents Action Contact Case Number
CD-2019-0001
01/23/2019
Alluvial Investment Group LLC
Demetrius Antione Blankenship
Cease and Desist
Chuck James S18-0196
SC-2019-0002
02/08/2019
Joel McGriff
The McGriff Alliance
The McGriff Burrs Alliance
Show Cause Order
Elizabeth Planner S18-0138
CD-2019-0003
02/25/2019
Gossamer
Cease and Desist
Leighton Greenlee S19-0043
CD-2019-0004
02/25/2019
YSIGN
Ivan Vujic
Cease and Desist
Leighton Greenlee S19-0038
CD-2019-0005
02/25/2019
POTPONS LLC
David Reeves
Cease and Desist
Leighton Greenlee S19-0019
CD-2019-0006
02/25/2019
Awax, Ltd
Andrej Peciorin
Magnus Larsson
Cease and Desist
Mike Gantt S19-0021
CD-2019-0007
02/25/2019
Fundsoptions Investments
Cease and Desist
Randy Jones S18-0184
CD-2019-0008
02/27/2019
Fritts Financial, LLC
Richard Fritts
Cease and Desist
Elizabeth Planner S18-0139