Marcia Hultman

Cabinet Secretary

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Division of Insurance - Securities Regulation


Administrative Actions for Securities Regulation

Access Insurance Administrative Actions here.

2024 |2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017

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

2024

Social Indoor Franchising, LLC dba Social Indoor N/A Consent Order/Monetary Penalty 10/21/2024
Vend Tech International, Inc. dba Naturals2Go N/A Consent Order/Monetary Penalty 05/02/2024
Agridime, LLC N/A Cease & Desist 04/12/2024
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