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

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