Marcia Hultman

Cabinet Secretary

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Division of Insurance - Securities Regulation


Administrative Actions for Securities Regulation

Access Insurance Administrative Actions here.

Name CRD Number Order Type
(in Adobe PDF format)
Effective Date

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