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Division of Insurance - Securities Regulation
Administrative Actions for Securities Regulation
Access Insurance Administrative Actions here.
2022 | 2021 | 2020 | 2019 | 2018 | 2017
| Name | CRD Number | Order Type (in Adobe PDF format) |
Effective Date |
2024 |
|||
| Ratto, Chris | 10030815 | Cease & Desist/Monetary Penalty | 01/26/2024 |
| Tradestation Crypto, Inc. | 10031458 | Consent Order/Monetary Penalty | 01/26/2024 |
2023 |
|||
| Malcolm, Paul Malcolm Capital Management |
40685204 | Registration Denied | 12/22/2023 |
| Weber, Andrew Xenia Partners, LLC |
10030815 | Consent Order/Monetary Penalty/Cease & Desist | 12/20/2023 |
| Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | 10026200 | Consent Order/Monetary Penalty | 12/13/2023 |
| Robinhood Financial, LLC | 165998 | Consent Order/Monetary Penalty | 03/31/2023 |
| Quinn, William | 7583646 | Consent Order/Monetary Penalty/Cease & Desist | 03/09/2023 |
| Nexo Capital, Inc. | N/A | Consent Order/Monetary Penalty | 02/02/2023 |
2022 |
|||
| OCG Management Co. South Dakota, LLC dba Unity Rd | 10029450 | Consent Order/Monetary Penalty | 11/22/2022 |
| Wealth Protection Group, LLC | 283943 | Consent Order/Monetary Penalty | 04/11/2022 |
| Jason Seurer | 2541616 | Consent Order/Monetary Penalty | 04/11/2022 |
| BlockFi Lending LLC | N/A | Consent Order/Monetary Penalty | 03/21/2022 |
| Wealth Plus of the Dakota's Inc. | 287536 | Consent Order/Monetary Penalty | 03/09/2022 |
| Wynston Hill Capital, LLC | 103811 | Order to Revoke Registration | 03/07/2022 |
| Riordan, Dennis | 2412563 | Order to Revoke Registration | 03/07/2022 |
2021 |
|||
| Liberty Partners Financial Services, LLC | 130390 | Consent Order/Monetary Penalty | 07/07/2021 |
| Bankers Life and Casualty Company and BLC Financial Services, Inc. | N/A | Consent Order | 05/05/2021 |
| Ameritas Investment Corp. | 14869 | Consent Order/Monetary Penalty | 04/09/2021 |
| Fiduciary Investment Funds, LLC Wagner, Mark |
N/A | Consent Order/Monetary Penalty | 02/17/2021 |
| PRG Multifamily Value Added Fund III, L.P. | 10026956 | Consent Order/Monetary Penalty | 01/07/2021 |
2020 |
|||
| Johnson, Gregory | 5389632 | Consent Order/Restitution | 12/30/2020 |
| Oliver, James | 2181675 | Consent Order/Monetary Penalty | 12/18/2020 |
| LPL Financial, LLC | N/A | Consent Order/Monetary Penalty | 11/23/2020 |
| Frost, Jeremey | N/A | Consent Order/Monetary Penalty | 10/07/2020 |
| Elsasser, Scott | 3083582 | Cease and Desist | 09/14/2020 |
| Independent Financial Group, LLC | 7717 | Consent Order | 07/22/2020 |
| Solium Financial Services, LLC | 147933 | Consent Order/Monetary Penalty | 02/19/2020 |
| Crowdstreet Blended Portfolio I, LLC | 10026960 | Consent Order/Monetary Penalty | 06/19/2020 |
| Anderson, James | 4911478 | Consent Order/Order to Cease and Desist/Monetary Penalty | 06/06/2020 |
| Infinity Q Volatility Alpha Fund, L.P. | N/A | Consent Order/Monetary Penalty | 03/24/2020 |
| ROM3 Rehab, LLC | N/A | Consent Order/Monetary Penalty | 03/23/2020 |
| Park, John John Park Agency, Inc. |
N/A | Consent Order/Order to Cease and Desist/License Revoked | 01/06/2020 |
2019 |
|||
| Edward D. Jones & Co, L.P. | N/A | Consent Order/Monetary Penalty/Restitution | 12/20/2019 |
| Helgeson, James Daniel | 1016562 | Consent Order/Monetary Penalty/Cease & Desist | 10/17/2019 |
| Hawkeye Group, LLC | N/A | Consent Order/Monetary Penalty | 10/01/2019 |
| Get a Grip Franchising, LLC | N/A | Consent Order/Monetary Penalty | 09/16/2019 |
| Wallum, Matthew | N/A | Consent Order/Monetary Penalty/Cease & Desist | 09/12/2019 |
| Clem Investments | 118423 | Cease and Desist | 08/30/2019 |
| Clem, Charles | 1833209 | Cease and Desist | 08/30/2019 |
| Calsbeek, Rachel | 6590900 | Consent Order/Monetary Penalty | 07/22/2019 |
| Dakota Island Partners I, LLC | N/A | Consent Order/Monetary Penalty | 07/17/2019 |
| Tchida, Mervin Dale | 1028423 | Consent Order/Cease and Desist/Monetary Penalty | 06/18/2019 |
| Emerald Health Pharmaceuticals, Inc. | N/A | Consent Order/Monetary Penalty | 05/23/2019 |
| Zamora, Katherine | 1830369 | Registration Denied | 05/16/2019 |
| Schwebach, Jeff | 1606537 | Cease and Desist/Monetary Penalty | 04/16/2019 |
| Soaring Investment Management | 166086 | Consent Order | 03/25/2019 |
| Paquette, Denis | 6261771 | Consent Order | 03/25/2019 |
| DTC Private Equity VI-Q, L.P. | Consent Order/Monetary Penalty | 03/05/2019 | |
2018 |
|||
| Infinite IO, Inc. | N/A | Consent Order/Monetary Penalty | 12/10/2018 |
| Strongbox Advisors LLC | 283817 | Consent Order/Monetary Penalty | 12/05/2018 |
| Bryan Slama | 5272752 | Consent Order/Monetary Penalty | 12/05/2018 |
| Bloomin' Blinds Franchise | N/A | Consent Order/Monetary Penalty | 11/26/2018 |
| Bertsch, Kirk | 4132889 | Consent Order/Cease and Desist/Monetary Penalty | 11/21/2018 |
| Schwan, Sandra | 2800119 | Consent Order/Monetary Penalty | 10/26/2018 |
| LPL Financial, LLC | N/A | Consent Order/Monetary Penalty | 10/01/2018 |
| Woodbridge Group of Companies, LLC | N/A | Cease and Desist | 08/29/2018 |
| Hydrogreen, Inc. | N/A | Consent Order/Monetary Penalty | 08/17/2018 |
| Spar Wealth Management | 292723 | Consent Order/Monetary Penalty | 07/27/2018 |
| Nolan, William | 6920506 | Consent Order/Monetary Penalty | 07/27/2018 |
| Clem Investments | 118423 | Consent Order/Monetary Penalty | 04/03/2018 |
| Clem, Charles | 1833209 | Consent Order/Monetary Penalty | 04/03/2018 |
| Wesleyan Investment Foundation, Inc. | N/A | Consent Order/Monetary Penalty | 02/07/2018 |
2017 |
|||
| Rain Maker Equity Advisors, LLP | 161783 | Consent Order/Monetary Penalty | 12/27/2017 |
| Svartoien, Phillip | 2427260 | Consent Order/Monetary Penalty | 12/27/2017 |
| Charles Balcom and Consultants, LTD. | N/A | Cease and Desist/Monetary Penalty | 12/11/2017 |
| Niederbaumer, Matthew | 4553475 | Consent Order/ Monetary Penalty | 05/11/2017 |
Renford Group, LLC. |
N/A | Consent Order/Monetary Penalty | 04/25/2017 |
| Rensink, David | N/A | Consent Order/Monetary Penalty | 04/25/2017 |
| Stanford, Joseph | N/A | Consent Order/Monetary Penalty | 04/25/2017 |
| Siliato, Matthew | 5062153 | Consent Agreement | 04/12/2017 |
| Lundy, Mike aka Lundy, Barkley J.W. | 2260127 | Consent Order | 03/29/2017 |
| Wealth Protection Group, LLC. | 2541616 | Consent Agreement | 03/13/2017 |
| Hallmark Investments, Inc. | 135003 | Order to Show Cause | 03/13/2017 |
| Standard Life Investments Securities, LLC. | 157233 | Order to Vacate Order to Show Cause | 03/01/2017 |
| Sterling Grace Municipal Securities Corp. | 7155 | Order to Show Cause/Monetary Penalty | 02/06/2017 |