Orders
• 2026
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| April 14, 2026 (pdf) | United Advisor Group, L.L.C. (CRD #324205) | 81691 |
| March 10, 2026 (pdf) | Ryan Morgan; All Done Consulting, L.L.C. | 81659 |
| March 10, 2026 (pdf) | Dean Douglas Odle; MCM AF Assets L.L.C. | 81658 |
| March 10, 2026 (pdf) | Empower Advisory Group, L.L.C. (CRD #112058) | 81657 |
| March 10, 2026 (pdf) | Aligned Capital Partners Inc. | 81656 |
| February 12, 2026 (pdf) | Kevin Ray Goodwin (CRD #4887361) Overwatch Management Group L.L.C. (CRD #323450) | 81631 |
| February 12, 2026 (pdf) | Lisa Anne Boisselle (CRD #5726589) a.k.a. Lisa Homer a.k.a. Lisa Jager; Labi Investments L.L.C. d.b.a. Wealthwise (CRD #321274) | 81629 |
| January 20, 2026 (pdf) | Fiduciary Solutions, L.L.C. (CRD #332247) | 81598 |
• 2025
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 15, 2025 (pdf) | AE Wealth Management, L.L.C. (CRD #282580); David James Callanan (CRD #4237166) | 81578 |
| November 21, 2025 (pdf) | Ronald Eugene Krause; Nancy Darlene Krause; Senior Forethought, L.L.C. | 81555 |
| November 21, 2025 (pdf) | Robert Steven Swagger (CRD #3123602); TRS Pureflix, L.L.C. TRS Companies, L.L.C. | 81554 |
| November 21, 2025 (pdf) | Terri Lynne Swagger | 81553 |
| November 21, 2025 (pdf) | John A. Perez | 81552 |
| November 10, 2025 (pdf) | Albert Leroy Brown a.k.a. Roy Brown; UL Assets, L.L.C. | n/a |
| November 4, 2025 (pdf) | Dean Douglas Odle; MCM AF Assets, L.L.C. | n/a |
| October 23, 2025 (pdf) | Don K. Shiroishi | 81514 |
| October 23, 2025 (pdf) | Vanguard Marketing Corporation (CRD #7452); The Vanguard Group, Inc. (CRD #105958) | 81513 |
| August 19, 2025 (pdf) | Darien Euclid Bonney (CRD #4899007) | 81447 |
| August 19, 2025 (pdf) | MaryAnne Chisholm (d.b.a. Lighthouse Crypto & Asset Recovery); Mark F. Chisholm | 81429 |
| August 5, 2025 (pdf) | Lisa Anne Boisselle (CRD #5726589) a.k.a. Lisa Homer a.k.a. Lisa Jager; Labi Investments L.L.C. d.b.a. Wealthwise (CRD #321274) | n/a |
| June 18, 2025 (pdf) | William Andrew Smith (CRD #5638821); Kimberly Ann Smith; Smith & Cox, L.L.C. (CRD #149088) | 81352 |
| May 12, 2025 (pdf) | Sagetrader, L.L.C. (CRD #137862) | 80880 |
| May 12, 2025 (pdf) | Ronald Eugene Krause; Nancy Darlene Krause; Senior Forethought, L.L.C. | n/a |
| May 12, 2025 (pdf) | Michael Alexander Candelario; REI Management L.L.C.( f.k.a. WLA Labs L.L.C.); and REI House Buyers, L.L.C. | 80879 |
| May 6, 2025 (pdf) | Climate Care Innovations, Inc. (a.k.a. Prolific Fund); FOD Enterprises, L.L.C.; Kompo Green, Inc.; John D. Jensen (a.k.a. Jack Jensen); Tina M. Jensen | n/a |
| April 29, 2025 (pdf) | Stuart Simonsen; Saddlebrook Investments, L.L.C. | 80685 |
| April 29, 2025 (pdf) | Reliant Income Properties; Gary Martin | 80684 |
| March 20, 2025 (pdf) | David J Volpe (CRD #2543478); Amanda Volpe | 80120 |
| March 20, 2025 (pdf) | Todd R Anderson (CRD #1896352) | 80108 |
| March 20, 2025 (pdf) | Gregory Patrick Talbot (CRD #1802420) a.k.a. Greg Talbot; Caetrina Saymone Talbot | 80107 |
| February 19, 2025 (pdf) | Edward D. Jones& Co., L.P. | 79719 |
| February 13, 2025 (pdf) | Sterling Investment Advisor, L.L.C. (d.b.a. Sterling Advisor Group CRD #147357); Sterling Equity Alternative Fund, L.L.C.; Sterling Growth Equity Capital, L.L.C.; Emily Millanes (CRD #4354459); Anthony Millanes; Luke Vennard (CRD #5071956); Cassondra Vennard; Matthew Vennard (CRD #4198830); Robert Lee Kelley (CRD #6030517); Michelle Kelley | n/a |
| January 22, 2025 (pdf) | Dan E. Droeg; Evelyn Droeg | 79669 |
| January 22, 2025 (pdf) | RMR Wealth Builders, Inc. (CRD #169005) | 79668 |
• 2024
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 17, 2024 (pdf) | Timothy L. Wolf (CRD #1261588); Sharlene D. Wolf; Financial Concepts, Inc. (CRD #122342) | 79627 |
| December 17, 2024 (pdf) | Steven L. DeWitt (a.k.a. Trevor Bloom); Christina DeWitt | 79626 |
| December 17, 2024 (pdf) | Raymond James & Associates, Inc.; Raymond James Financial Services, Inc. | 79625 |
| December 17, 2024 (pdf) | Phillip Anthony Riposo | 79624 |
| December 5, 2024 (pdf) | Anthony Frank Sandi; Sandi Ecom, Inc. | n/a |
| November 15, 2024 (pdf) | Michael Saquella; Best Image 1, L.L.C.; Cactus Blue Entertainment, L.L.C. | 79612 |
| November 15, 2024 (pdf) | Ravsten Wealth Management, L.L.C. (CRD #284268) d.b.a. Foxstone Financial | 79611 |
| October 21, 2024 (pdf) | Luke M. Johnson (CRD #3257008); Alicia Johnson; Legend Capital Group, Inc. | 79572 |
| October 18, 2024 (pdf) | MaryAnne Chisholm (d.b.a. Lighthouse Crypto & Asset Recovery); Mark F. Chisholm (a.k.a. Mark D. Mackenzie) | n/a |
| September 13, 2024 (pdf) | Voya Financial Advisors, Inc. (CRD #002882) | 79543 |
| September 13, 2024 (pdf) | CIBC World Markets, Inc. | 79542 |
| September 13, 2024 (pdf) | Christopher J. Lopez (CRD #4314767); Holly Lopez | 79541 |
| August 15, 2024 (pdf) | Christopher Spence Cox; Beth Cox | 79487 |
| July 18, 2024 (pdf) | United Planners Financial Services of America | 79413 |
| June 20, 2024 (pdf) | Platinum Universal Trades | 79370 |
| June 20, 2024 (pdf) | David Todd Phillips (CRD #3094195); Camille Phillips; David Thomas Phillips (CRD #362511); Jane Taylor Phillips; Phillips Financial Services, L.L.C., Estate Planning Specialists, L.L.C. | 79369 |
| June 20, 2024 (pdf) | Kingdom Financial Group, L.L.C. (CRD #155676) | 79368 |
| June 20, 2024 (pdf) | ISA Industries, Inc.; Hunter Bjork; Grace Bjork | 79367 |
| June 20, 2024 (pdf) | IG US L.L.C. | 79366 |
| June 13, 2024 (pdf) | Arizona Golden Assets IV, L.L.C.; Donald William Jones (CRD #724793); Sheryl Elaine Jones | n/a |
| May 13, 2024 (pdf) | Anthony Rohlik; RRE Investments, L.L.C.; ECB Real Estate L.L.C. | 79349 |
| May 13, 2024 (pdf) | Hilary Shaw Riposo | 79348 |
| May 13, 2024 (pdf) | Theodore Francis Dinges; Gary Lee Dinges; Amazon Gold, L.L.C. | 79347 |
| April 18, 2024 (pdf) | TradeStation Crypto, Inc. | 79323 |
| April 18, 2024 (pdf) | Warren C. Nagler (CRD #3233469); Sunnyslope Capital Advisers, L.L.C. | 79322 |
| April 18, 2024 (pdf) | David Russel Dales (CRD #1493498) | 79321 |
| April 8, 2024 (pdf) | Cellebration Life Sciences, Inc.; Timothy Kopatich; Jane Doe Kopatich; William M. Deegan (CRD #2098524); Anand Srivastava; Deven Patel | n/a |
| March 15, 2024 (pdf) | David L. Shorey; Mary Jane Shorey; ABCO Energy, Inc. (f.k.a Energy Conservation Technologies, Inc.); ABCO Solar, Inc. (f.k.a. Westcap Energy, Inc.) | 79315 |
| March 15, 2024 (pdf) | Integrated Advisors Network L.L.C. (CRD #171991) | 79314 |
| January 24, 2024 (pdf) | Elevated Automations L.L.C.; Ecomelevation L.L.C.; Antonio Romero; Brandon Wasoski | 79247 |
| January 23, 2024 (pdf) | Platinum Universal Trades | n/a |
• 2023
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 12, 2023 (pdf) | Family Tree Estate Planning, L.L.C.; Sean N. Cagle; Brad Gerald Mason; Jason Wootten | 79184 |
| December 12, 2023 (pdf) | Bridge Advisory L.L.C. (CRD #148282) | 79183 |
| December 12, 2023 (pdf) | Blue Owl Technology Income Corp. (f.k.a. Owl Rock Technology Income Corp.) | 79182 |
| November 21, 2023 (pdf) | Lucio George Martinez; Lisa K. Martinez | n/a |
| November 17, 2023 (pdf) | Swiss Valorem Bank Ltd.; GSB Gold Standard Corporation AG; GSB Gold Standard Pay Ltd. (acting under the brand GSDEFI); Josip Heit; Tannisha Glaspie | n/a |
| November 3, 2023 (pdf) | PIPS TRAILEXCH | 79170 |
| November 3, 2023 (pdf) | Susan M. Koe (CRD #4819343) | 79169 |
| October 27, 2023 (pdf) | Operation Influence L.L.C. (d.b.a. WIFI Wealth); Jerrika Cox (a.k.a. Jerrika Wilkstrom); Bryce Cox (a.k.a. Brycen Cox) | n/a |
| October 4, 2023 (pdf) | RRIM Asset Strategies, L.L.C. (CRD #117297); Robert A. Ritter (CRD #1985776); Tamara Ritter (a.k.a. Tamara Swinton) | 79112 |
| October 4, 2023 (pdf) | Q Financial Design, L.L.C. (CRD #152066); David F. Evans (CRD #2056137) | 79111 |
| October 4, 2023 (pdf) | Kelly Marie Ryan (a.k.a. Kelly Black Ryan, Kelly Black-White, and Kelly Black); Premier Media Services, Inc. (d.b.a. Premier Distributing Service and Lenis USA) | 79110 |
| October 4, 2023 (pdf) | William M. Deegan (CRD #2098524); Heartland Capital Partners, L.L.C.; Heartland Income Properties L.L.C. | 79109 |
| October 2, 2023 (pdf) | Michael Alexander Candelario; REI Management L.L.C. (f.k.a. WLA Labs L.L.C.); REI House Buyers, L.L.C. | n/a |
| September 11, 2023 (pdf) | Patrick D. Nilles (CRD #4435443) | 79088 |
| August 25, 2023 (pdf) | Robinhood Financial L.L.C. | 79068 |
| August 25, 2023 (pdf) | Meta 1 Coin Trust; Robert Paul Dunlap | 79067 |
| August 15, 2023 (pdf) | Ryan Morgan; Stuart Simonsen; All Done Consulting, L.L.C.; Saddlebrook Investments, L.L.C. | n/a |
| July 14, 2023 (pdf) | Christine Lewis | 79039 |
| July 14, 2023 (pdf) | Marcus Lewis | 79022 |
| June 28, 2023 (pdf) | Antwon B. Day; FXPIPSESSION, L.L.C. | 78982 |
| June 28, 2023 (pdf) | Jad Morris; Financial Leverage L.L.C.; IQBiz Financial L.L.C.; IQBiz Funding, L.L.C.; Svitlana Kwee | 78981 |
| June 28, 2023 (pdf) | Bryan L. Little (CRD #6670927); Melisa Little | 78980 |
| May 9, 2023 (pdf) | PIPS TRAILEXCH | n/a |
| April 18, 2023 (pdf) | Agridime L.L.C.; Joshua Link; Tia Link | n/a |
| April 17, 2023 (pdf) | Robert Brent Beane (CRD #5183037) | 78910 |
| April 17, 2023 (pdf) | Nexo Capital, Inc. | 78909 |
| April 17, 2023 (pdf) | Bear Fruit Films, L.L.C.; James Simmons; Mark Smith | 78908 |
| March 23, 2023 (pdf) | Robert Halverson | 78887 |
| March 16, 2023 (pdf) | Automata FX Ltd.; Joseph T. Nemeth | 78864 |
| February 27, 2023 (pdf) | Theodore Francis Dinges; Gary Lee Dinges; Amazon Gold, L.L.C. | n/a |
| January 23, 2023 (pdf) | Wilson Sonsini Goodrich & Rosati, P.C. | 78826 |
| January 23, 2023 (pdf) | James David Gray; Stephanie Gray; Seek Insurance Services, L.L.C.; Elite Benefits Group, L.L.C. | 78825 |
| January 23, 2023 (pdf) | Pamela Hopman (CRD #3023382); Paul Hopman; PGH Advisors L.L.C. (CRD #156415) | 78824 |
• 2022
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 15, 2022 (pdf) | Richard J. Daratony (d.b.a. High Desert Naturals, High Desert Natural, and Dr. Rlchard’s High Desert Naturals) | 78798 |
| November 21, 2022 (pdf) | MaRico Tippett (CRD #4821428); Callie Tippett | 78753 |
| October 24, 2022 (pdf) | Wealthcorp L.L.C.; Christopher Walkup | 78732 |
| October 22, 2022 (pdf) | Jad Morris; Svitlana Kwee; Financial Leverage L.L.C.; IQBiz Financial L.L.C.; IQBiz Funding, L.L.C. | n/a |
| September 20, 2022 (pdf) | Wenima Development. L.L.C.; I Am America; Lenard Toye; Lori A. Toye | 78705 |
| September 20, 2022 (pdf) | Jonathon Sifuentes Saucedo | 78704 |
| September 20, 2022 (pdf) | James S. Miller (CRD #4875515); Biltmore Wealth Advisors, L.L.C. (CRD #165557) | 78703 |
| September 1, 2022 (pdf) | ISA Industries, Inc.; Hunter Bjork; Grace Bjork | n/a |
| August 22, 2022 (pdf) | Patrick Jon Runninger (CRD #5223934); The Financial Group, L.L.C. | 78651 |
| August 22, 2022 (pdf) | Jennifer Skidmore | 78650 |
| August 22, 2022 (pdf) | Jeffrey Allen Skidmore; Money Never Sleeps, L.L.C. | 78649 |
| July 27, 2022 (pdf) | Sync Title Agency, L.L.C.; Rosicella Joplin; Sean Joplin; Christopher Olson | 78642 |
| July 27, 2022 (pdf) | Premier Asset Management Group L.L.C.; Michael Barry Eckerman; Tonya Eckerman; Bernardine Ann Michalik; Sean P. Shields; Venessa Sandoval; Ashley Abbema | 78641 |
| July 27, 2022 (pdf) | Moises Herrera, Sr.; Yolanda Herrera | 78632 |
| July 11, 2022 (pdf) | John V. Feneck (CRD #2418741); Feneck Consulting Group, L.L.C. (a.k.a. Feneck Consulting) | 78607 |
| July 11, 2022 (pdf) | Arthur Hoffman (CRD #3193754); ICA Financial Services, L.L.C. (d.b.a. Integrity Capital Advisors) | 78606 |
| July 11, 2022 (pdf) | BlockFi Lending L.L.C. | 78605 |
| July 11, 2022 (pdf) | Todd Regan Elliott (CRD #5563784); Elliott Financial Group, Inc.; Carla M. Elliott | 78604 |
| May 27, 2022 (pdf) | Nathaniel S. Barnhart (CRD #1898299); Lisa Renee Wilson Barnhart; Cornerstone Wealth Management , L.L.C. | 78562 |
| May 18, 2022 (pdf) | Timothy L. Wolf (CRD #1261588); Sharlene D. Wolf; Financial Concepts, Inc. | n/a |
| April 28, 2022 (pdf) | Ronald F. Stevenson (CRD #6716692 and Successor in Interest of Barbara Clark Stevenson); American Financial Security, L.L.C.; American Financial Investments, L.L.C. | 78528 |
| April 28, 2022 (pdf) | TreyTrades L.L.C. (Arizona L.L.C.); TreyTrades L.L.C. (Florida L.L.C.); Richard K. Hainsworth III | 78527 |
| April 28, 2022 | Carlos Parra, Noahmi Parra | 78526 |
| April 28, 2022 (pdf) | My Trader Coin (a.k.a. MTCoin and mytradercoin.com) | 78525 |
| April 25, 2022 (pdf) | William M. Deegan (CRD #2098524); Heartland Capital Partners, L.L.C.; Heartland Income Properties, L.L.C. | n/a |
| March 24, 2022 (pdf) | Marketing Dynamics, Inc.; Timothy La Duca (CRD #5223921); Sharon La Duca | 78514 |
| March 24, 2022 (pdf) | D2D Financial, L.L.C.; Rone Milton Dolph (CRD #3186460); Susan Dolph; Susan Jean Arcadia; Chad Arcadia; Super Commercial Loans, L.L.C.; Anthony Bellassai (a.k.a Tony Bellassai) | 78502 |
| March 24, 2022 (pdf) | Scott Wayne Reed (CRD #3007033); Sarah Reed | 78501 |
| March 2, 2022 (pdf) | AZ REl School, L.L.C.; SFG Real Estate Holdings, L.L.C.; Jeffrey Robert Simbric | 78480 |
| March 2, 2022 (pdf) | Archimedes Foundation Trust (a.k.a. Archimedes Foundation Trust Group); David Hart; Dwayne Louise Hart; Kirk Koskella (a.k.a. Kirk James); Christine Tucker; Harry Tucker; Conrad Defriese; Wolfgang Kovacek | 78479 |
| March 2, 2022 (pdf) | Global Capital and Equity L.L.C.; Brett Butler Reiss | 78478 |
| January 31, 2022 (pdf) | Luxury Management Group, L.L.C.; MTE 2013 Trust, Michael Barry Eckerman, and Tonya Eckerman, trustees; Michael Barry Eckerman; Tonya Eckerman | 78419 |
| January 31, 2022 (pdf) | Voice of Guo Media, Inc.; Lihong Wei Lafrenz a.k.a. Sara Wei | 78418 |
| January 31, 2022 (pdf) | Tony Roland Spooner a.k.a. Anthony R. Spooner (CRD #2187069); Wendy Spooner; First Federal Security, Inc.; Rokay Unlimited, L.L.C. | 78417 |
| January 31, 2022 (pdf) | MSM Financial L.L.C. (CRD #284781); Michael Sean Murphy (CRD #1315103) | 78416 |
• 2021
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 28, 2021 (pdf) | Now Mining, L.L.C. | 78355 |
| December 28, 2021 (pdf) | Sean Zarinegar (a.k.a. Sean Zar and Bejahn Zarrinegar); Kori Zarinegar; Performance Realty Management, L.L.C. | 78354 |
| December 20, 2021 (pdf) | D2D Financial, L.L.C.; Rone Milton Dolph (CRD #3186460); Susan Dolph; and Susan Jean Arcadia; Chad Arcadia; Super Commercial Loans L.L.C.; Anthony Bellassai a.k.a. Tony Bellassai | n/a |
| November 19, 2021 (pdf) | Meta 1 Coin Trust; Robert Paul Dunlap | n/a |
| November 5, 2021 (pdf) | Mario E. Magana Sosa; Alejandra Sosa | 78294 |
| November 5, 2021 (pdf) | Edward Eugene Engel (a.k.a. Eddy Engel a.k.a. Ed Engel); Shara Engel; Rose Member Capital Group, L.L.C.; Biomed iNet, L.L.C. | 78293 |
| November 5, 2021 (pdf) | William Melvin Hawkins a.k.a. Mel Hawkins (CRD #831356); Biomed Pharma Group, Inc. | 78292 |
| September 29, 2021 (pdf) | Don Harris; Donna Harris; Don’s Painter Stuff, L.L.C. | 78242 |
| September 29, 2021 (pdf) | NVSG702, L.L.C.; NVSG702 L.L.C.; Silverstate702, L.L.C.; John R. Uranga | 78241 |
| September 1, 2021 (pdf) | Migranade, Inc.; Charles Hensley | 78220 |
| September 1, 2021 (pdf) | AE Wealth Management, L.L.C. (CRD #282580); David James Callanan (CRD #4237166) | 78219 |
| July 28, 2021 (pdf) | Grand Oak Enterprises, L.L.C.; Tarleton J. Karry (CRD #2862611) | 78139 |
| June 24, 2021 (pdf) | OWNZONES Media Network, Inc.; Daniel Goman; Alina Goman | 78049 |
| June 24, 2021 (pdf) | Charles O’Dowd; Paula M. O’Dowd | 78048 |
| May 28, 2021 (pdf) | Automata FX Ltd.; Joseph T. Nemeth | n/a |
| May 18, 2021 (pdf) | Meroe Capital Group Ldt.; Castle International, Inc.; Castle International, L.L.C.; Castle Air Holdings, L.L.C.; David Miller; Jayson R. Papa | 78001 |
| May 18, 2021 (pdf) | Resa Wearables, Inc.; Glen D. Hinshaw | 78000 |
| May 5, 2021 (pdf) | Jerry L. Guttman (CRD #1078383), Jerry L. Guttman as Trustee of the Guttman Family Trust DTD 12/4/2000; Serenity Cemeteries II, L.L.C.; Serenity Cemeteries IV, L.L.C.; Serenity Cemeteries VI, L.L.C.; Serenity Cemeteries VII, L.L.C.; Champion Entertainment Group, L.L.C. | 77980 |
| May 5, 2021 (pdf) | Abuchi Okoye; Coininvest | 77979 |
| May 5, 2021 (pdf) | Frederick Arias; The Joseph Project | 77978 |
| May 5, 2021 (pdf) | Troy Michael Bohlke; Arizona Acquisitions Group, L.L.C. | 77977 |
| April 1, 2021 (pdf) | Guilford Nergard | 77919 |
| April 1, 2021 (pdf) | Seth Jardine; EcoVista Development, L.L.C.; EcoVista Avondale, L.L.C.; Caroline Jardine | 77910 |
| February 12, 2021 (pdf) | Wattenberg 1, L.L.C. | 77908 |
| February 12, 2021 (pdf) | Robert Francis Alexander | 77907 |
| February 12, 2021 (pdf) | Verdugo Enterprise L.L.C. (d.b.a. Verdugo Gift Company); Isaias M. Verdugo; Maria G. Verdugo; Mario C. Verdugo, Jr.; Filemon G. Caballero | 77902 |
| January 22, 2021 (pdf) | David Paul French; Sun State Property Preservation, L.L.C.; Wattenberg, L.L.C. | 77880 |
| January 22, 2021 (pdf) | Alfred Baca; Chrysology Capital Group, L.L.C. | 77879 |
| January 22, 2021 (pdf) | Bradley J. Tennison; Deborah Tennison | 77878 |
• 2020
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 31, 2020 (pdf) | Richard J. Daratony (d.b.a. High Desert Naturals, High Desert Natural, and Dr. Richard’s High Desert Naturals) | n/a |
| December 17, 2020 (pdf) | Roman Alejando Corona (CRD #6347429) | 77832 |
| December 17, 2020 (pdf) | Jeffrey Francis Thompson (CRD # 2732245); Leyenda Capital Partners, L.L.C. (d.b.a. JFThompson Wealth Management (IARD #282751) | 77831 |
| November 12, 2020 (pdf) | Performance Arbitrage Company, Inc.; Michelle Plant; Financial Product Distributors, L.L.C.; Michael David Woodard (CRD #3270674); Deborah G. Woodard; Mark Corbett; Upstate Law Group, L.L.C.; Candy Kern-Fuller | 77806 |
| November 12, 2020 (pdf) | Justin C. Billinglsey | 77805 |
| November 12, 2020 (pdf) | Richard D. Saba Jr.; Saba Tooth Tiger, L.L.C. (d.b.a. Saba Investments) | 77800 |
| November 4, 2020 (pdf) | Robert Francis Alexander | n/a |
| October 23, 2020 (pdf) | Abuchi Okoye; Coininvest | n/a |
| October 22, 2020 (pdf) | Richard A. Smart; Smart Acquisitions, L.L.C.; Smart Enterprises, L.L.C.; Simply Smart Homes, L.L.C. | 77765 |
| October 22, 2020 (pdf) | Adrian Ortega (CRD #5591481) | 77764 |
| October 20, 2020 (pdf) | Donald Harris; Don’s Pinter Stuff, L.L.C. | n/a |
| October 2, 2020 (pdf) | Mark Corbett; Smith & Cox, L.L.C. (CRD #149088); William Andrew Smith (CRD #5638821); Kimberly Ann Smith; Christopher Spence Cox (CRD #5639015); Beth Cox | 77747 |
| October 2, 2020 (pdf) | Conrad Coggeshall (CRD #4383687); Business Owners Tax Relief L.L.C. | 77726 |
| October 2, 2020 (pdf) | AuroraTek Incorporated; William Alek; Aurora Ellegion (a.k.a. Aurora Light) | 77725 |
| October 1, 2020 (pdf) | Abuchi Okoye; Coininvest | n/a |
| September 24, 2020 (pdf) | Seth Jardine; Caroline Jardine; EcoVista Development, L.L.C.; EcoVista Avondale, L.L.C. | n/a |
| June 30, 2020 (pdf) | Maximo Natural Products, Inc.; Ismael Villalobos (a.k.a. Ismael Villalobos Garcia); Blanca Villalobos | 77643 |
| May 14, 2020 (pdf) | Anthony Eladio Ramos; Western Gateway Region Rural Broadband Company, Inc. | 77619 |
| April 29, 2020 (pdf) | Cornerstone Wealth Management, L.L.C.; Nathaniel S. Barnhart (CRD #1898299); Lisa Renee Wilson Barnhart; AE Wealth Management, L.L.C. (CRD #282580); Christopher Spence Cox (CRD #5639015); Beth Cox; William Andrew Smith (CRD #5638821); Kimberly Ann Smith; Smith & Cox, L.L.C. (CRD #149088) | n/a |
| April 22, 2020 (pdf) | Marvin Robby Richards | 77595 |
| March 31, 2020 (pdf) | LendingClub Corporation | 77576 |
| March 31, 2020 (pdf) | Forex & Bitcoin Trader | 77575 |
| February 10, 2020 (pdf) | Robert J. Moss; Jennifer L. Moss; The Fortitude Foundation; Ventures 7000, L.L.C.; Jeffrey D. McHatton; Starla T. McHatton; Robert B. Sproat; Kevin Krause; Vernon R. Twyman, Jr. | 77547 |
| February 10, 2020 (pdf) | Priority Wealth Advisors, Inc.; Joseph Donti | 77545 |
| February 6, 2020 (pdf) | William Austin Bailey (CRD #1085215); Associated Professional Investments, L.L.C. (CRD #148986) | 77542 |
| January 15, 2020 (pdf) | Kerease Gillman (a.k.a. Kerease Margita) d.b.a. Southwest Bookkeeping Service; Timothy Gillman | 77533 |
• 2019
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 17, 2019 (pdf) | Venessa R. Sandoval; Ashley Abbema | 77502 |
| December 17, 2019 (pdf) | Wagner Capital Management, L.L.C.; Zachary S. Wagner (CRD #6694074) | 77497 |
| December 17, 2019 (pdf) | Robert Charles High II (CRD #4568165) | 77496 |
| December 17, 2019 (pdf) | American Realty Partners, L.L.C.; Corix Bioscience, Inc. (f.k.a. American Housing Income Trust, Inc.) | 77495 |
| December 17, 2019 (pdf) | Jack Combs; Nancy Combs | 77494 |
| November 6, 2019 (pdf) | Teodoro M. Medellin; Silvia Medellin | 77446 |
| November 1, 2019 (pdf) | Forex & Bitcoin Trader | n/a |
| October 24, 2019 (pdf) | Theodore W. Fowler; Shana C. Fowler; Whispering Creek Investments, L.L.C. | 77427 |
| October 24, 2019 (pdf) | The Credit Engineers, Inc.; David R. Kosack; Bryn Kosack; Ernie Barrueta (a.k.a. Ernest A. Barrueta and Ernesto Barrueta); David J. Varrone | 77426 |
| October 21, 2019 (pdf) | Marvin Robby Richards | n/a |
| September 13, 2019 (pdf) | Robert S. Smith (CRD #1145094); Janice Smith | 77411 |
| September 11, 2019 (pdf) | Trager L.L.C. | 77400 |
| September 11, 2019 (pdf) | John Walter; Janis Walter | 77399 |
| September 11, 2019 (pdf) | Jason Walter; Samantha Walter | 77398 |
| September 11, 2019 (pdf) | Randy Rondberg; Katherine Rondberg | 77397 |
| September 11, 2019 (pdf) | Daniel Rondberg; Jennifer Rondberg | 77396 |
| September 11, 2019 (pdf) | Ronald Horn | 77395 |
| August 19, 2019 (pdf) | Roland B. Woolsey | 77370 |
| August 19, 2019 (pdf) | Skytrace, Inc. | 77369 |
| July 19, 2019 (pdf) | AZ Investment Property Experts, L.L.C.; Sandy Beach Esmeralda Development, L.L.C.; Daniel C. Butterfield | 77293 |
| July 10, 2019 (pdf) | Jaime A. Verdugo | 77271 |
| June 13, 2019 (pdf) | Adam W. Child; Erin M. Child | 77256 |
| June 13, 2019 (pdf) | David Paul Smoot; Marie Kathleen Smoot (a.k.a. Kathy Smoot); Native American Water, L.L.C. d.b.a. Natawa; Natawa Corporation d.b.a. Natawa; American Indian Technologies International, L.L.C. (a.k.a. AITI) | 77255 |
| June 13, 2019 (pdf) | Fox First Services, L.L.C.; Carlton Lamont Fox; Soy Mora (a.k.a. Soy Fox) | 77254 |
| May 29, 2019 (pdf) | Kyusun Kim (CRD #2864085) | 77197 |
| May 29, 2019 (pdf) | AZ Investment Property Experts, L.L.C.; Sandy Beach Esmeralda Development, L.L.C.; Daniel C. Butterfield | 77196 |
| May 15, 2019 (pdf) | Jeremy Vincent Diaz (CRD #4735164); IDIAZ, L.L.C.; Wealth Creator Private Equity, L.L.C. | 77172 |
| April 26, 2019 (pdf) | Roderick R. Rickert | 77160 |
| April 26, 2019 (pdf) | Titan Capital Real Estate Fund I, L.L.C. | 77159 |
| April 26, 2019 (pdf) | Partisan Alliance Corporation; Joseph J. Carillo; Azucena Carrillo | 77158 |
| April 26, 2019 (pdf) | JG Enterprise, L.L.C.; Jennifer Jean Gutschke | 77157 |
| April 26, 2019 (pdf) | BAIC, Inc.; SoBell Corp.; Andrew Gamber | 77156 |
| March 13, 2019 (pdf) | Pacific Capital Enterprises L.L.C.; Superior Diamond Management L.L.C.; Michael Barry Eckerman; Tonya Eckerman | 77117 |
| March 13, 2019 (pdf) | Thomas P. Madden; Leslie Madden | 77116 |
| February 20, 2019 (pdf) | Concordia Financing Company, Ltd. (a.k.a. Concordia Finance); ER Financial & Advisory Services, L.L.C.; Lance Michael Bersch; David John Wanzek; Linda Wanzek | 77088 |
| February 7, 2019 (pdf) | Real Estate Finance Corporation; WIN Opportunity, L.L.C.; Adam W. Child; Erin M. Child; WIN Management, L.L.C. | 77069 |
| February 7, 2019 (pdf) | Titan Funding Group I, L.L.C.; Titan Capital Holdings L.L.C. | 77068 |
| February 7, 2019 (pdf) | Coverlugg L.L.C.; Birdie Media L.L.C.; Gregory J. Sanchez; Jill K. Sanchez | 77067 |
| January 16, 2019 (pdf) | Darrell G. Knoch; Imagine Enterprises, L.L.C. | 77046 |
| January 11, 2019 (pdf) | LPL Financial L.L.C. (CRD #6413) | 77024 |
• 2018
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 31, 2018 (pdf) | The Credit Engineers, Inc.; David R. Kosack; Bryn Kosack; Ernie Barrueta (a.k.a. Ernest A. Barrueta and Ernesto A. Barrueta); David J. Varrone | n/a |
| December 14, 2018 (pdf) | Anthony Eladio Ramos; Western Gateway Region Rural Broadband Company, Inc. | n/a |
| November 27, 2018 (pdf) | Robert H. Shapiro | 76962 |
| November 27, 2018 (pdf) | WMF Management, L.L.C.; Woodbridge Group of Companies, L.L.C.; Woodbridge Mortgage Investment Fund 1, L.L.C.; Woodbridge Mortgage Investment Fund 2, L.L.C.; Woodbridge Mortgage Investment Fund 3, L.L.C., and Woodbridge Mortgage Investment Fund 3A, L.L.C. | 76961 |
| November 2, 2018 (pdf) | JG Enterprise, L.L.C.; Fox First Services, L.L.C.; Jennifer Jean Gutschke; Carlton Lamont Fox | n/a |
| September 17, 2018 (pdf) | Wesleyan Investment Foundation, Inc. | 76875 |
| September 17, 2018 (pdf) | Stephen M. Thompson; Leland Energy, Inc.; Leland Kentucky Holdings, Inc.; Leland Colorado Holdings, Inc.; The Appalachian Drilling Fund II, L.L.P.; Knox Drilling Fund II, L.L.P.; Green County Energy Fund, L.L.P.; Joseph E. Finateri; Leland Tennessee Holdings, Inc.; Rodgers Production Revenue Fund, L.L.P.; Energy Production Revenue Fund, L.L.P.; Block City Drilling Fund, L.L.P.; Weld County Drilling Fund, L.L.P.; Wattenberg Drilling Fund, L.L.P.; Wattenberg Drilling Fund II, L.L.P.; Greeley Wattenberg Drilling Fund, L.L.P.; Opportunity Drilling & Acquisition Fund, L.L.P.; Presidents Fund, L.L.P.; Leland Energy Fund, L.L.P.; Leland Energy Fund II, L.L.P.; Extension Drilling & Revenue Fund, L.L.P. | 76874 |
| September 17, 2018 (pdf) | Advanced Planning Concepts, L.L.C. (CRD #164725); Thomas J. Crisman (CRD #851859) | 76873 |
| August 22, 2018 (pdf) | Cory R. Williams (CRD #4797256); Williams Advisory Group, L.L.C. (CRD #175402) | 76821 |
| August 8, 2018 (pdf) | Walter Jerome Clarke (CRD #2579982); Wealth Index Advisors, L.L.C. (CRD #281750) | 76789 |
| June 25, 2018 (pdf) | Michael Smoot d.b.a. GSI Global TV, Inc.; Black Platinum Holdings, L.L.C.; GSI Global, Inc. | 76752 |
| June 25, 2018 (pdf) | Kirtan S. Khalsa | 76751 |
| May 22, 2018 (pdf) | Bruce Guercio | 76686 |
| May 22, 2018 (pdf) | DrHorsepower, Inc.; Steven Scholl; Sandra Jones | 76685 |
| May 22, 2018 (pdf) | Timothy John Wales; Stacey Wales | 76683 |
| May 22, 2018 (pdf) | Lawson Financial Corporation (CRD #15261); Robert Warren Lawson (CD # 501167) | 76677 |
| March 29, 2018 (pdf) | Howard Price Wealth Management L.L.C.; Howard M. Price III (CRD #4650960) | 76621 |
| March 29, 2018 (pdf) | Eugene D. Anderson (CRD #1127707); Jeannie S. Anderson | 76620 |
| March 27, 2018 (pdf) | AZ Investment Property Experts, L.L.C.; Daniel C. Butterfield | n/a |
| January 19, 2018 (pdf) | Robert Nico Martinelli (f.k.a. Robert Apgar Zakian, CRD #2387821); Guardian Wealth Management, L.L.C. (f.k.a. AIM Investment Group, L.L.C., CRD #148536) | 76544 |
| January 19, 2018 (pdf) | GenTecnics, L.L.C.; iCorp L.L.C.; James E. Stroup | 76543 |
| January 19, 2018 (pdf) | Delta FX Trade | 76542 |
| January 3, 2018 (pdf) | Bart J. Ellis; Colleen Ellis; Oak Capital Partners, L.L.C. | 76541 |
| January 3, 2018 (pdf) | Kent Maerki; Norma Jean Coffin (a.k.a. Norma Jean Maerki and Norma Jean Maule); Dental Support Plus Franchise, L.L.C. | 76530 |
| January 3, 2018 (pdf) | USA Barcelona Realty Advisors, L.L.C.; USA Barcelona Hotel Land Company I, L.L.C.; Richard C. Harkins; Robert J. Kerrigan (CRD #268516); George T. Simmons; Janet B. Simmons; Bruce Orr; Susan S. Orr | 76529 |
| January 3, 2018 (pdf) | Clear Energy Group, L.L.C.; Paul W. Ramirez | 76517 |
| January 3, 2018 (pdf) | Jacob Wohl; Matthew Johnson; Wohl Capital Investment Group, L.L.C.; NeX Capital Management, L.L.C.; Montgomery Assets, Inc. | 76516 |
• 2017
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 29, 2017 (pdf) | Pacific Capital Enterprises L.L.C.; Superior Diamond Management L.L.C.; Michael Barry Eckerman; Tonya Eckerman; Vanessa R. Sandoval | n/a |
| November 22, 2017 (pdf) | Howard Price Wealth Management, L.L.C.; Howard M. Price III (CRD #4650960) | n/a |
| November 7, 2017 (pdf) | Jason Todd Mogler; Tri-Core Companies, L.L.C.; Tri-Core Business Development, L.L.C.; ERC Compactors, L.L.C.; ERC Investments, L.L.C.; C&D Construction Services, Inc. | 76452 |
| November 7, 2017 (pdf) | Jacob Wohl; Matthew Johnson; Wohl Capital Investment Group, L.L.C.; NeX Capital Management, L.L.C.; Montgomery Assets, Inc. | 76451 |
| November 7, 2017 (pdf) | LoanGo Corporation; Justin C. Billingsley; Heather Billingsley; Jeffrey Peterson; John Keith Ayers; Jennifer Ann Brinkman Ayers | 76450 |
| November 7, 2017 (pdf) | Sharon Elizabeth Govan (a.k.a Sharon E. Govan-Smith, Sharon Smith, Ms. Sharon and Charron Govan) | 76449 |
| November 7, 2017 (pdf) | Believing in Jesus Investments, L.L.C.; Phoebus Vincent Smith (a.k.a. Vince Smith and Mr. Vince) | 76447 |
| November 7, 2017 (pdf) | Anthony Waszolek (CRD #800403); Kathleen Waszolek | 76442 |
| November 7, 2017 (pdf) | Donna Kay Beers (CRD #1172038); James Beers; Caesar Investments, L.L.C. | 76441 |
| August 23, 2017 (pdf) | Michael A. Crowe (CRD #1057029); Lequita Crowe | 76321 |
| July 13, 2017 (pdf) | AIO Financial, L.L.C.; William M. Holliday (CRD #4930333); Guadalupe A. Holliday | 76198 |
| July 13, 2017 (pdf) | Lawrence M. Labine (CRD #1279935) | 76197 |
| July 13, 2017 (pdf) | Sam Ahdoot; Jane Doe Adhoot | 76196 |
| July 11, 2017 (pdf) | Real Estate Finance Corporation; WIN Opportunity Fund, L.L.C.; WIN Management, L.L.C.; Adam W. Child; Erin M. Chi | n/a |
| June 22, 2017 (pdf) | Shadow Beverages and Snacks, L.L.C.; Lucio George Martinez; Lisa K. Martinez | 76155 |
| May 22, 2017 (pdf) | Hawkins Wealth Advisory L.L.C.; Robert Eric Hawkins | 76080 |
| May 22, 2017 (pdf) | Robert Eric Hawkins; Infinity Fuels, Inc. | 76079 |
| May 22, 2017 (pdf) | Visionary Business Works, Inc. | 76078 |
| May 22, 2017 (pdf) | Robert Brian Brauer; Melissa Brauer | 76077 |
| April 11, 2017 (pdf) | Tracy N. Wengert (CRD #3182678); Jeanette Wengert | 76074 |
| April 11, 2017 (pdf) | Ryan Miguel (CRD #4581157, a.k.a. Ryan Miguel Pina and Ryan Lee Oliver) | 76064 |
| April 11, 2017 (pdf) | Simply Smart Homes, L.L.C.; Smart Enterprises, L.L.C.; Richard A. Smart | 76063 |
| March 22, 2017 (pdf) | J. Randall Gladden (CRD #1789356) | 76031 |
• 2026
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| April 14, 2026 (pdf) | United Advisor Group, L.L.C. (CRD #324205) | 81691 |
| March 10, 2026 (pdf) | Ryan Morgan; All Done Consulting, L.L.C. | 81659 |
| March 10, 2026 (pdf) | Dean Douglas Odle; MCM AF Assets L.L.C. | 81658 |
| March 10, 2026 (pdf) | Empower Advisory Group, L.L.C. (CRD #112058) | 81657 |
| March 10, 2026 (pdf) | Aligned Capital Partners Inc. | 81656 |
| February 12, 2026 (pdf) | Kevin Ray Goodwin (CRD #4887361) Overwatch Management Group L.L.C. (CRD #323450) | 81631 |
| February 12, 2026 (pdf) | Lisa Anne Boisselle (CRD #5726589) a.k.a. Lisa Homer a.k.a. Lisa Jager; Labi Investments L.L.C. d.b.a. Wealthwise (CRD #321274) | 81629 |
| January 20, 2026 (pdf) | Fiduciary Solutions, L.L.C. (CRD #332247) | 81598 |
• 2025
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 15, 2025 (pdf) | AE Wealth Management, L.L.C. (CRD #282580); David James Callanan (CRD #4237166) | 81578 |
| November 21, 2025 (pdf) | Ronald Eugene Krause; Nancy Darlene Krause; Senior Forethought, L.L.C. | 81555 |
| November 21, 2025 (pdf) | Robert Steven Swagger (CRD #3123602); TRS Pureflix, L.L.C. TRS Companies, L.L.C. | 81554 |
| November 21, 2025 (pdf) | Terri Lynne Swagger | 81553 |
| November 21, 2025 (pdf) | John A. Perez | 81552 |
| November 10, 2025 (pdf) | Albert Leroy Brown a.k.a. Roy Brown; UL Assets, L.L.C. | n/a |
| November 4, 2025 (pdf) | Dean Douglas Odle; MCM AF Assets, L.L.C. | n/a |
| October 23, 2025 (pdf) | Don K. Shiroishi | 81514 |
| October 23, 2025 (pdf) | Vanguard Marketing Corporation (CRD #7452); The Vanguard Group, Inc. (CRD #105958) | 81513 |
| August 19, 2025 (pdf) | Darien Euclid Bonney (CRD #4899007) | 81447 |
| August 19, 2025 (pdf) | MaryAnne Chisholm (d.b.a. Lighthouse Crypto & Asset Recovery); Mark F. Chisholm | 81429 |
| August 5, 2025 (pdf) | Lisa Anne Boisselle (CRD #5726589) a.k.a. Lisa Homer a.k.a. Lisa Jager; Labi Investments L.L.C. d.b.a. Wealthwise (CRD #321274) | n/a |
| June 18, 2025 (pdf) | William Andrew Smith (CRD #5638821); Kimberly Ann Smith; Smith & Cox, L.L.C. (CRD #149088) | 81352 |
| May 12, 2025 (pdf) | Sagetrader, L.L.C. (CRD #137862) | 80880 |
| May 12, 2025 (pdf) | Ronald Eugene Krause; Nancy Darlene Krause; Senior Forethought, L.L.C. | n/a |
| May 12, 2025 (pdf) | Michael Alexander Candelario; REI Management L.L.C.( f.k.a. WLA Labs L.L.C.); and REI House Buyers, L.L.C. | 80879 |
| May 6, 2025 (pdf) | Climate Care Innovations, Inc. (a.k.a. Prolific Fund); FOD Enterprises, L.L.C.; Kompo Green, Inc.; John D. Jensen (a.k.a. Jack Jensen); Tina M. Jensen | n/a |
| April 29, 2025 (pdf) | Stuart Simonsen; Saddlebrook Investments, L.L.C. | 80685 |
| April 29, 2025 (pdf) | Reliant Income Properties; Gary Martin | 80684 |
| March 20, 2025 (pdf) | David J Volpe (CRD #2543478); Amanda Volpe | 80120 |
| March 20, 2025 (pdf) | Todd R Anderson (CRD #1896352) | 80108 |
| March 20, 2025 (pdf) | Gregory Patrick Talbot (CRD #1802420) a.k.a. Greg Talbot; Caetrina Saymone Talbot | 80107 |
| February 19, 2025 (pdf) | Edward D. Jones& Co., L.P. | 79719 |
| February 13, 2025 (pdf) | Sterling Investment Advisor, L.L.C. (d.b.a. Sterling Advisor Group CRD #147357); Sterling Equity Alternative Fund, L.L.C.; Sterling Growth Equity Capital, L.L.C.; Emily Millanes (CRD #4354459); Anthony Millanes; Luke Vennard (CRD #5071956); Cassondra Vennard; Matthew Vennard (CRD #4198830); Robert Lee Kelley (CRD #6030517); Michelle Kelley | n/a |
| January 22, 2025 (pdf) | Dan E. Droeg; Evelyn Droeg | 79669 |
| January 22, 2025 (pdf) | RMR Wealth Builders, Inc. (CRD #169005) | 79668 |
• 2024
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 17, 2024 (pdf) | Timothy L. Wolf (CRD #1261588); Sharlene D. Wolf; Financial Concepts, Inc. (CRD #122342) | 79627 |
| December 17, 2024 (pdf) | Steven L. DeWitt (a.k.a. Trevor Bloom); Christina DeWitt | 79626 |
| December 17, 2024 (pdf) | Raymond James & Associates, Inc.; Raymond James Financial Services, Inc. | 79625 |
| December 17, 2024 (pdf) | Phillip Anthony Riposo | 79624 |
| December 5, 2024 (pdf) | Anthony Frank Sandi; Sandi Ecom, Inc. | n/a |
| November 15, 2024 (pdf) | Michael Saquella; Best Image 1, L.L.C.; Cactus Blue Entertainment, L.L.C. | 79612 |
| November 15, 2024 (pdf) | Ravsten Wealth Management, L.L.C. (CRD #284268) d.b.a. Foxstone Financial | 79611 |
| October 21, 2024 (pdf) | Luke M. Johnson (CRD #3257008); Alicia Johnson; Legend Capital Group, Inc. | 79572 |
| October 18, 2024 (pdf) | MaryAnne Chisholm (d.b.a. Lighthouse Crypto & Asset Recovery); Mark F. Chisholm (a.k.a. Mark D. Mackenzie) | n/a |
| September 13, 2024 (pdf) | Voya Financial Advisors, Inc. (CRD #002882) | 79543 |
| September 13, 2024 (pdf) | CIBC World Markets, Inc. | 79542 |
| September 13, 2024 (pdf) | Christopher J. Lopez (CRD #4314767); Holly Lopez | 79541 |
| August 15, 2024 (pdf) | Christopher Spence Cox; Beth Cox | 79487 |
| July 18, 2024 (pdf) | United Planners Financial Services of America | 79413 |
| June 20, 2024 (pdf) | Platinum Universal Trades | 79370 |
| June 20, 2024 (pdf) | David Todd Phillips (CRD #3094195); Camille Phillips; David Thomas Phillips (CRD #362511); Jane Taylor Phillips; Phillips Financial Services, L.L.C., Estate Planning Specialists, L.L.C. | 79369 |
| June 20, 2024 (pdf) | Kingdom Financial Group, L.L.C. (CRD #155676) | 79368 |
| June 20, 2024 (pdf) | ISA Industries, Inc.; Hunter Bjork; Grace Bjork | 79367 |
| June 20, 2024 (pdf) | IG US L.L.C. | 79366 |
| June 13, 2024 (pdf) | Arizona Golden Assets IV, L.L.C.; Donald William Jones (CRD #724793); Sheryl Elaine Jones | n/a |
| May 13, 2024 (pdf) | Anthony Rohlik; RRE Investments, L.L.C.; ECB Real Estate L.L.C. | 79349 |
| May 13, 2024 (pdf) | Hilary Shaw Riposo | 79348 |
| May 13, 2024 (pdf) | Theodore Francis Dinges; Gary Lee Dinges; Amazon Gold, L.L.C. | 79347 |
| April 18, 2024 (pdf) | TradeStation Crypto, Inc. | 79323 |
| April 18, 2024 (pdf) | Warren C. Nagler (CRD #3233469); Sunnyslope Capital Advisers, L.L.C. | 79322 |
| April 18, 2024 (pdf) | David Russel Dales (CRD #1493498) | 79321 |
| April 8, 2024 (pdf) | Cellebration Life Sciences, Inc.; Timothy Kopatich; Jane Doe Kopatich; William M. Deegan (CRD #2098524); Anand Srivastava; Deven Patel | n/a |
| March 15, 2024 (pdf) | David L. Shorey; Mary Jane Shorey; ABCO Energy, Inc. (f.k.a Energy Conservation Technologies, Inc.); ABCO Solar, Inc. (f.k.a. Westcap Energy, Inc.) | 79315 |
| March 15, 2024 (pdf) | Integrated Advisors Network L.L.C. (CRD #171991) | 79314 |
| January 24, 2024 (pdf) | Elevated Automations L.L.C.; Ecomelevation L.L.C.; Antonio Romero; Brandon Wasoski | 79247 |
| January 23, 2024 (pdf) | Platinum Universal Trades | n/a |
• 2023
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 12, 2023 (pdf) | Family Tree Estate Planning, L.L.C.; Sean N. Cagle; Brad Gerald Mason; Jason Wootten | 79184 |
| December 12, 2023 (pdf) | Bridge Advisory L.L.C. (CRD #148282) | 79183 |
| December 12, 2023 (pdf) | Blue Owl Technology Income Corp. (f.k.a. Owl Rock Technology Income Corp.) | 79182 |
| November 21, 2023 (pdf) | Lucio George Martinez; Lisa K. Martinez | n/a |
| November 17, 2023 (pdf) | Swiss Valorem Bank Ltd.; GSB Gold Standard Corporation AG; GSB Gold Standard Pay Ltd. (acting under the brand GSDEFI); Josip Heit; Tannisha Glaspie | n/a |
| November 3, 2023 (pdf) | PIPS TRAILEXCH | 79170 |
| November 3, 2023 (pdf) | Susan M. Koe (CRD #4819343) | 79169 |
| October 27, 2023 (pdf) | Operation Influence L.L.C. (d.b.a. WIFI Wealth); Jerrika Cox (a.k.a. Jerrika Wilkstrom); Bryce Cox (a.k.a. Brycen Cox) | n/a |
| October 4, 2023 (pdf) | RRIM Asset Strategies, L.L.C. (CRD #117297); Robert A. Ritter (CRD #1985776); Tamara Ritter (a.k.a. Tamara Swinton) | 79112 |
| October 4, 2023 (pdf) | Q Financial Design, L.L.C. (CRD #152066); David F. Evans (CRD #2056137) | 79111 |
| October 4, 2023 (pdf) | Kelly Marie Ryan (a.k.a. Kelly Black Ryan, Kelly Black-White, and Kelly Black); Premier Media Services, Inc. (d.b.a. Premier Distributing Service and Lenis USA) | 79110 |
| October 4, 2023 (pdf) | William M. Deegan (CRD #2098524); Heartland Capital Partners, L.L.C.; Heartland Income Properties L.L.C. | 79109 |
| October 2, 2023 (pdf) | Michael Alexander Candelario; REI Management L.L.C. (f.k.a. WLA Labs L.L.C.); REI House Buyers, L.L.C. | n/a |
| September 11, 2023 (pdf) | Patrick D. Nilles (CRD #4435443) | 79088 |
| August 25, 2023 (pdf) | Robinhood Financial L.L.C. | 79068 |
| August 25, 2023 (pdf) | Meta 1 Coin Trust; Robert Paul Dunlap | 79067 |
| August 15, 2023 (pdf) | Ryan Morgan; Stuart Simonsen; All Done Consulting, L.L.C.; Saddlebrook Investments, L.L.C. | n/a |
| July 14, 2023 (pdf) | Christine Lewis | 79039 |
| July 14, 2023 (pdf) | Marcus Lewis | 79022 |
| June 28, 2023 (pdf) | Antwon B. Day; FXPIPSESSION, L.L.C. | 78982 |
| June 28, 2023 (pdf) | Jad Morris; Financial Leverage L.L.C.; IQBiz Financial L.L.C.; IQBiz Funding, L.L.C.; Svitlana Kwee | 78981 |
| June 28, 2023 (pdf) | Bryan L. Little (CRD #6670927); Melisa Little | 78980 |
| May 9, 2023 (pdf) | PIPS TRAILEXCH | n/a |
| April 18, 2023 (pdf) | Agridime L.L.C.; Joshua Link; Tia Link | n/a |
| April 17, 2023 (pdf) | Robert Brent Beane (CRD #5183037) | 78910 |
| April 17, 2023 (pdf) | Nexo Capital, Inc. | 78909 |
| April 17, 2023 (pdf) | Bear Fruit Films, L.L.C.; James Simmons; Mark Smith | 78908 |
| March 23, 2023 (pdf) | Robert Halverson | 78887 |
| March 16, 2023 (pdf) | Automata FX Ltd.; Joseph T. Nemeth | 78864 |
| February 27, 2023 (pdf) | Theodore Francis Dinges; Gary Lee Dinges; Amazon Gold, L.L.C. | n/a |
| January 23, 2023 (pdf) | Wilson Sonsini Goodrich & Rosati, P.C. | 78826 |
| January 23, 2023 (pdf) | James David Gray; Stephanie Gray; Seek Insurance Services, L.L.C.; Elite Benefits Group, L.L.C. | 78825 |
| January 23, 2023 (pdf) | Pamela Hopman (CRD #3023382); Paul Hopman; PGH Advisors L.L.C. (CRD #156415) | 78824 |
• 2022
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 15, 2022 (pdf) | Richard J. Daratony (d.b.a. High Desert Naturals, High Desert Natural, and Dr. Rlchard’s High Desert Naturals) | 78798 |
| November 21, 2022 (pdf) | MaRico Tippett (CRD #4821428); Callie Tippett | 78753 |
| October 24, 2022 (pdf) | Wealthcorp L.L.C.; Christopher Walkup | 78732 |
| October 22, 2022 (pdf) | Jad Morris; Svitlana Kwee; Financial Leverage L.L.C.; IQBiz Financial L.L.C.; IQBiz Funding, L.L.C. | n/a |
| September 20, 2022 (pdf) | Wenima Development. L.L.C.; I Am America; Lenard Toye; Lori A. Toye | 78705 |
| September 20, 2022 (pdf) | Jonathon Sifuentes Saucedo | 78704 |
| September 20, 2022 (pdf) | James S. Miller (CRD #4875515); Biltmore Wealth Advisors, L.L.C. (CRD #165557) | 78703 |
| September 1, 2022 (pdf) | ISA Industries, Inc.; Hunter Bjork; Grace Bjork | n/a |
| August 22, 2022 (pdf) | Patrick Jon Runninger (CRD #5223934); The Financial Group, L.L.C. | 78651 |
| August 22, 2022 (pdf) | Jennifer Skidmore | 78650 |
| August 22, 2022 (pdf) | Jeffrey Allen Skidmore; Money Never Sleeps, L.L.C. | 78649 |
| July 27, 2022 (pdf) | Sync Title Agency, L.L.C.; Rosicella Joplin; Sean Joplin; Christopher Olson | 78642 |
| July 27, 2022 (pdf) | Premier Asset Management Group L.L.C.; Michael Barry Eckerman; Tonya Eckerman; Bernardine Ann Michalik; Sean P. Shields; Venessa Sandoval; Ashley Abbema | 78641 |
| July 27, 2022 (pdf) | Moises Herrera, Sr.; Yolanda Herrera | 78632 |
| July 11, 2022 (pdf) | John V. Feneck (CRD #2418741); Feneck Consulting Group, L.L.C. (a.k.a. Feneck Consulting) | 78607 |
| July 11, 2022 (pdf) | Arthur Hoffman (CRD #3193754); ICA Financial Services, L.L.C. (d.b.a. Integrity Capital Advisors) | 78606 |
| July 11, 2022 (pdf) | BlockFi Lending L.L.C. | 78605 |
| July 11, 2022 (pdf) | Todd Regan Elliott (CRD #5563784); Elliott Financial Group, Inc.; Carla M. Elliott | 78604 |
| May 27, 2022 (pdf) | Nathaniel S. Barnhart (CRD #1898299); Lisa Renee Wilson Barnhart; Cornerstone Wealth Management , L.L.C. | 78562 |
| May 18, 2022 (pdf) | Timothy L. Wolf (CRD #1261588); Sharlene D. Wolf; Financial Concepts, Inc. | n/a |
| April 28, 2022 (pdf) | Ronald F. Stevenson (CRD #6716692 and Successor in Interest of Barbara Clark Stevenson); American Financial Security, L.L.C.; American Financial Investments, L.L.C. | 78528 |
| April 28, 2022 (pdf) | TreyTrades L.L.C. (Arizona L.L.C.); TreyTrades L.L.C. (Florida L.L.C.); Richard K. Hainsworth III | 78527 |
| April 28, 2022 | Carlos Parra, Noahmi Parra | 78526 |
| April 28, 2022 (pdf) | My Trader Coin (a.k.a. MTCoin and mytradercoin.com) | 78525 |
| April 25, 2022 (pdf) | William M. Deegan (CRD #2098524); Heartland Capital Partners, L.L.C.; Heartland Income Properties, L.L.C. | n/a |
| March 24, 2022 (pdf) | Marketing Dynamics, Inc.; Timothy La Duca (CRD #5223921); Sharon La Duca | 78514 |
| March 24, 2022 (pdf) | D2D Financial, L.L.C.; Rone Milton Dolph (CRD #3186460); Susan Dolph; Susan Jean Arcadia; Chad Arcadia; Super Commercial Loans, L.L.C.; Anthony Bellassai (a.k.a Tony Bellassai) | 78502 |
| March 24, 2022 (pdf) | Scott Wayne Reed (CRD #3007033); Sarah Reed | 78501 |
| March 2, 2022 (pdf) | AZ REl School, L.L.C.; SFG Real Estate Holdings, L.L.C.; Jeffrey Robert Simbric | 78480 |
| March 2, 2022 (pdf) | Archimedes Foundation Trust (a.k.a. Archimedes Foundation Trust Group); David Hart; Dwayne Louise Hart; Kirk Koskella (a.k.a. Kirk James); Christine Tucker; Harry Tucker; Conrad Defriese; Wolfgang Kovacek | 78479 |
| March 2, 2022 (pdf) | Global Capital and Equity L.L.C.; Brett Butler Reiss | 78478 |
| January 31, 2022 (pdf) | Luxury Management Group, L.L.C.; MTE 2013 Trust, Michael Barry Eckerman, and Tonya Eckerman, trustees; Michael Barry Eckerman; Tonya Eckerman | 78419 |
| January 31, 2022 (pdf) | Voice of Guo Media, Inc.; Lihong Wei Lafrenz a.k.a. Sara Wei | 78418 |
| January 31, 2022 (pdf) | Tony Roland Spooner a.k.a. Anthony R. Spooner (CRD #2187069); Wendy Spooner; First Federal Security, Inc.; Rokay Unlimited, L.L.C. | 78417 |
| January 31, 2022 (pdf) | MSM Financial L.L.C. (CRD #284781); Michael Sean Murphy (CRD #1315103) | 78416 |
• 2021
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 28, 2021 (pdf) | Now Mining, L.L.C. | 78355 |
| December 28, 2021 (pdf) | Sean Zarinegar (a.k.a. Sean Zar and Bejahn Zarrinegar); Kori Zarinegar; Performance Realty Management, L.L.C. | 78354 |
| December 20, 2021 (pdf) | D2D Financial, L.L.C.; Rone Milton Dolph (CRD #3186460); Susan Dolph; and Susan Jean Arcadia; Chad Arcadia; Super Commercial Loans L.L.C.; Anthony Bellassai a.k.a. Tony Bellassai | n/a |
| November 19, 2021 (pdf) | Meta 1 Coin Trust; Robert Paul Dunlap | n/a |
| November 5, 2021 (pdf) | Mario E. Magana Sosa; Alejandra Sosa | 78294 |
| November 5, 2021 (pdf) | Edward Eugene Engel (a.k.a. Eddy Engel a.k.a. Ed Engel); Shara Engel; Rose Member Capital Group, L.L.C.; Biomed iNet, L.L.C. | 78293 |
| November 5, 2021 (pdf) | William Melvin Hawkins a.k.a. Mel Hawkins (CRD #831356); Biomed Pharma Group, Inc. | 78292 |
| September 29, 2021 (pdf) | Don Harris; Donna Harris; Don’s Painter Stuff, L.L.C. | 78242 |
| September 29, 2021 (pdf) | NVSG702, L.L.C.; NVSG702 L.L.C.; Silverstate702, L.L.C.; John R. Uranga | 78241 |
| September 1, 2021 (pdf) | Migranade, Inc.; Charles Hensley | 78220 |
| September 1, 2021 (pdf) | AE Wealth Management, L.L.C. (CRD #282580); David James Callanan (CRD #4237166) | 78219 |
| July 28, 2021 (pdf) | Grand Oak Enterprises, L.L.C.; Tarleton J. Karry (CRD #2862611) | 78139 |
| June 24, 2021 (pdf) | OWNZONES Media Network, Inc.; Daniel Goman; Alina Goman | 78049 |
| June 24, 2021 (pdf) | Charles O’Dowd; Paula M. O’Dowd | 78048 |
| May 28, 2021 (pdf) | Automata FX Ltd.; Joseph T. Nemeth | n/a |
| May 18, 2021 (pdf) | Meroe Capital Group Ldt.; Castle International, Inc.; Castle International, L.L.C.; Castle Air Holdings, L.L.C.; David Miller; Jayson R. Papa | 78001 |
| May 18, 2021 (pdf) | Resa Wearables, Inc.; Glen D. Hinshaw | 78000 |
| May 5, 2021 (pdf) | Jerry L. Guttman (CRD #1078383), Jerry L. Guttman as Trustee of the Guttman Family Trust DTD 12/4/2000; Serenity Cemeteries II, L.L.C.; Serenity Cemeteries IV, L.L.C.; Serenity Cemeteries VI, L.L.C.; Serenity Cemeteries VII, L.L.C.; Champion Entertainment Group, L.L.C. | 77980 |
| May 5, 2021 (pdf) | Abuchi Okoye; Coininvest | 77979 |
| May 5, 2021 (pdf) | Frederick Arias; The Joseph Project | 77978 |
| May 5, 2021 (pdf) | Troy Michael Bohlke; Arizona Acquisitions Group, L.L.C. | 77977 |
| April 1, 2021 (pdf) | Guilford Nergard | 77919 |
| April 1, 2021 (pdf) | Seth Jardine; EcoVista Development, L.L.C.; EcoVista Avondale, L.L.C.; Caroline Jardine | 77910 |
| February 12, 2021 (pdf) | Wattenberg 1, L.L.C. | 77908 |
| February 12, 2021 (pdf) | Robert Francis Alexander | 77907 |
| February 12, 2021 (pdf) | Verdugo Enterprise L.L.C. (d.b.a. Verdugo Gift Company); Isaias M. Verdugo; Maria G. Verdugo; Mario C. Verdugo, Jr.; Filemon G. Caballero | 77902 |
| January 22, 2021 (pdf) | David Paul French; Sun State Property Preservation, L.L.C.; Wattenberg, L.L.C. | 77880 |
| January 22, 2021 (pdf) | Alfred Baca; Chrysology Capital Group, L.L.C. | 77879 |
| January 22, 2021 (pdf) | Bradley J. Tennison; Deborah Tennison | 77878 |
• 2020
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 31, 2020 (pdf) | Richard J. Daratony (d.b.a. High Desert Naturals, High Desert Natural, and Dr. Richard’s High Desert Naturals) | n/a |
| December 17, 2020 (pdf) | Roman Alejando Corona (CRD #6347429) | 77832 |
| December 17, 2020 (pdf) | Jeffrey Francis Thompson (CRD # 2732245); Leyenda Capital Partners, L.L.C. (d.b.a. JFThompson Wealth Management (IARD #282751) | 77831 |
| November 12, 2020 (pdf) | Performance Arbitrage Company, Inc.; Michelle Plant; Financial Product Distributors, L.L.C.; Michael David Woodard (CRD #3270674); Deborah G. Woodard; Mark Corbett; Upstate Law Group, L.L.C.; Candy Kern-Fuller | 77806 |
| November 12, 2020 (pdf) | Justin C. Billinglsey | 77805 |
| November 12, 2020 (pdf) | Richard D. Saba Jr.; Saba Tooth Tiger, L.L.C. (d.b.a. Saba Investments) | 77800 |
| November 4, 2020 (pdf) | Robert Francis Alexander | n/a |
| October 23, 2020 (pdf) | Abuchi Okoye; Coininvest | n/a |
| October 22, 2020 (pdf) | Richard A. Smart; Smart Acquisitions, L.L.C.; Smart Enterprises, L.L.C.; Simply Smart Homes, L.L.C. | 77765 |
| October 22, 2020 (pdf) | Adrian Ortega (CRD #5591481) | 77764 |
| October 20, 2020 (pdf) | Donald Harris; Don’s Pinter Stuff, L.L.C. | n/a |
| October 2, 2020 (pdf) | Mark Corbett; Smith & Cox, L.L.C. (CRD #149088); William Andrew Smith (CRD #5638821); Kimberly Ann Smith; Christopher Spence Cox (CRD #5639015); Beth Cox | 77747 |
| October 2, 2020 (pdf) | Conrad Coggeshall (CRD #4383687); Business Owners Tax Relief L.L.C. | 77726 |
| October 2, 2020 (pdf) | AuroraTek Incorporated; William Alek; Aurora Ellegion (a.k.a. Aurora Light) | 77725 |
| October 1, 2020 (pdf) | Abuchi Okoye; Coininvest | n/a |
| September 24, 2020 (pdf) | Seth Jardine; Caroline Jardine; EcoVista Development, L.L.C.; EcoVista Avondale, L.L.C. | n/a |
| June 30, 2020 (pdf) | Maximo Natural Products, Inc.; Ismael Villalobos (a.k.a. Ismael Villalobos Garcia); Blanca Villalobos | 77643 |
| May 14, 2020 (pdf) | Anthony Eladio Ramos; Western Gateway Region Rural Broadband Company, Inc. | 77619 |
| April 29, 2020 (pdf) | Cornerstone Wealth Management, L.L.C.; Nathaniel S. Barnhart (CRD #1898299); Lisa Renee Wilson Barnhart; AE Wealth Management, L.L.C. (CRD #282580); Christopher Spence Cox (CRD #5639015); Beth Cox; William Andrew Smith (CRD #5638821); Kimberly Ann Smith; Smith & Cox, L.L.C. (CRD #149088) | n/a |
| April 22, 2020 (pdf) | Marvin Robby Richards | 77595 |
| March 31, 2020 (pdf) | LendingClub Corporation | 77576 |
| March 31, 2020 (pdf) | Forex & Bitcoin Trader | 77575 |
| February 10, 2020 (pdf) | Robert J. Moss; Jennifer L. Moss; The Fortitude Foundation; Ventures 7000, L.L.C.; Jeffrey D. McHatton; Starla T. McHatton; Robert B. Sproat; Kevin Krause; Vernon R. Twyman, Jr. | 77547 |
| February 10, 2020 (pdf) | Priority Wealth Advisors, Inc.; Joseph Donti | 77545 |
| February 6, 2020 (pdf) | William Austin Bailey (CRD #1085215); Associated Professional Investments, L.L.C. (CRD #148986) | 77542 |
| January 15, 2020 (pdf) | Kerease Gillman (a.k.a. Kerease Margita) d.b.a. Southwest Bookkeeping Service; Timothy Gillman | 77533 |
• 2019
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 17, 2019 (pdf) | Venessa R. Sandoval; Ashley Abbema | 77502 |
| December 17, 2019 (pdf) | Wagner Capital Management, L.L.C.; Zachary S. Wagner (CRD #6694074) | 77497 |
| December 17, 2019 (pdf) | Robert Charles High II (CRD #4568165) | 77496 |
| December 17, 2019 (pdf) | American Realty Partners, L.L.C.; Corix Bioscience, Inc. (f.k.a. American Housing Income Trust, Inc.) | 77495 |
| December 17, 2019 (pdf) | Jack Combs; Nancy Combs | 77494 |
| November 6, 2019 (pdf) | Teodoro M. Medellin; Silvia Medellin | 77446 |
| November 1, 2019 (pdf) | Forex & Bitcoin Trader | n/a |
| October 24, 2019 (pdf) | Theodore W. Fowler; Shana C. Fowler; Whispering Creek Investments, L.L.C. | 77427 |
| October 24, 2019 (pdf) | The Credit Engineers, Inc.; David R. Kosack; Bryn Kosack; Ernie Barrueta (a.k.a. Ernest A. Barrueta and Ernesto Barrueta); David J. Varrone | 77426 |
| October 21, 2019 (pdf) | Marvin Robby Richards | n/a |
| September 13, 2019 (pdf) | Robert S. Smith (CRD #1145094); Janice Smith | 77411 |
| September 11, 2019 (pdf) | Trager L.L.C. | 77400 |
| September 11, 2019 (pdf) | John Walter; Janis Walter | 77399 |
| September 11, 2019 (pdf) | Jason Walter; Samantha Walter | 77398 |
| September 11, 2019 (pdf) | Randy Rondberg; Katherine Rondberg | 77397 |
| September 11, 2019 (pdf) | Daniel Rondberg; Jennifer Rondberg | 77396 |
| September 11, 2019 (pdf) | Ronald Horn | 77395 |
| August 19, 2019 (pdf) | Roland B. Woolsey | 77370 |
| August 19, 2019 (pdf) | Skytrace, Inc. | 77369 |
| July 19, 2019 (pdf) | AZ Investment Property Experts, L.L.C.; Sandy Beach Esmeralda Development, L.L.C.; Daniel C. Butterfield | 77293 |
| July 10, 2019 (pdf) | Jaime A. Verdugo | 77271 |
| June 13, 2019 (pdf) | Adam W. Child; Erin M. Child | 77256 |
| June 13, 2019 (pdf) | David Paul Smoot; Marie Kathleen Smoot (a.k.a. Kathy Smoot); Native American Water, L.L.C. d.b.a. Natawa; Natawa Corporation d.b.a. Natawa; American Indian Technologies International, L.L.C. (a.k.a. AITI) | 77255 |
| June 13, 2019 (pdf) | Fox First Services, L.L.C.; Carlton Lamont Fox; Soy Mora (a.k.a. Soy Fox) | 77254 |
| May 29, 2019 (pdf) | Kyusun Kim (CRD #2864085) | 77197 |
| May 29, 2019 (pdf) | AZ Investment Property Experts, L.L.C.; Sandy Beach Esmeralda Development, L.L.C.; Daniel C. Butterfield | 77196 |
| May 15, 2019 (pdf) | Jeremy Vincent Diaz (CRD #4735164); IDIAZ, L.L.C.; Wealth Creator Private Equity, L.L.C. | 77172 |
| April 26, 2019 (pdf) | Roderick R. Rickert | 77160 |
| April 26, 2019 (pdf) | Titan Capital Real Estate Fund I, L.L.C. | 77159 |
| April 26, 2019 (pdf) | Partisan Alliance Corporation; Joseph J. Carillo; Azucena Carrillo | 77158 |
| April 26, 2019 (pdf) | JG Enterprise, L.L.C.; Jennifer Jean Gutschke | 77157 |
| April 26, 2019 (pdf) | BAIC, Inc.; SoBell Corp.; Andrew Gamber | 77156 |
| March 13, 2019 (pdf) | Pacific Capital Enterprises L.L.C.; Superior Diamond Management L.L.C.; Michael Barry Eckerman; Tonya Eckerman | 77117 |
| March 13, 2019 (pdf) | Thomas P. Madden; Leslie Madden | 77116 |
| February 20, 2019 (pdf) | Concordia Financing Company, Ltd. (a.k.a. Concordia Finance); ER Financial & Advisory Services, L.L.C.; Lance Michael Bersch; David John Wanzek; Linda Wanzek | 77088 |
| February 7, 2019 (pdf) | Real Estate Finance Corporation; WIN Opportunity, L.L.C.; Adam W. Child; Erin M. Child; WIN Management, L.L.C. | 77069 |
| February 7, 2019 (pdf) | Titan Funding Group I, L.L.C.; Titan Capital Holdings L.L.C. | 77068 |
| February 7, 2019 (pdf) | Coverlugg L.L.C.; Birdie Media L.L.C.; Gregory J. Sanchez; Jill K. Sanchez | 77067 |
| January 16, 2019 (pdf) | Darrell G. Knoch; Imagine Enterprises, L.L.C. | 77046 |
| January 11, 2019 (pdf) | LPL Financial L.L.C. (CRD #6413) | 77024 |
• 2018
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 31, 2018 (pdf) | The Credit Engineers, Inc.; David R. Kosack; Bryn Kosack; Ernie Barrueta (a.k.a. Ernest A. Barrueta and Ernesto A. Barrueta); David J. Varrone | n/a |
| December 14, 2018 (pdf) | Anthony Eladio Ramos; Western Gateway Region Rural Broadband Company, Inc. | n/a |
| November 27, 2018 (pdf) | Robert H. Shapiro | 76962 |
| November 27, 2018 (pdf) | WMF Management, L.L.C.; Woodbridge Group of Companies, L.L.C.; Woodbridge Mortgage Investment Fund 1, L.L.C.; Woodbridge Mortgage Investment Fund 2, L.L.C.; Woodbridge Mortgage Investment Fund 3, L.L.C., and Woodbridge Mortgage Investment Fund 3A, L.L.C. | 76961 |
| November 2, 2018 (pdf) | JG Enterprise, L.L.C.; Fox First Services, L.L.C.; Jennifer Jean Gutschke; Carlton Lamont Fox | n/a |
| September 17, 2018 (pdf) | Wesleyan Investment Foundation, Inc. | 76875 |
| September 17, 2018 (pdf) | Stephen M. Thompson; Leland Energy, Inc.; Leland Kentucky Holdings, Inc.; Leland Colorado Holdings, Inc.; The Appalachian Drilling Fund II, L.L.P.; Knox Drilling Fund II, L.L.P.; Green County Energy Fund, L.L.P.; Joseph E. Finateri; Leland Tennessee Holdings, Inc.; Rodgers Production Revenue Fund, L.L.P.; Energy Production Revenue Fund, L.L.P.; Block City Drilling Fund, L.L.P.; Weld County Drilling Fund, L.L.P.; Wattenberg Drilling Fund, L.L.P.; Wattenberg Drilling Fund II, L.L.P.; Greeley Wattenberg Drilling Fund, L.L.P.; Opportunity Drilling & Acquisition Fund, L.L.P.; Presidents Fund, L.L.P.; Leland Energy Fund, L.L.P.; Leland Energy Fund II, L.L.P.; Extension Drilling & Revenue Fund, L.L.P. | 76874 |
| September 17, 2018 (pdf) | Advanced Planning Concepts, L.L.C. (CRD #164725); Thomas J. Crisman (CRD #851859) | 76873 |
| August 22, 2018 (pdf) | Cory R. Williams (CRD #4797256); Williams Advisory Group, L.L.C. (CRD #175402) | 76821 |
| August 8, 2018 (pdf) | Walter Jerome Clarke (CRD #2579982); Wealth Index Advisors, L.L.C. (CRD #281750) | 76789 |
| June 25, 2018 (pdf) | Michael Smoot d.b.a. GSI Global TV, Inc.; Black Platinum Holdings, L.L.C.; GSI Global, Inc. | 76752 |
| June 25, 2018 (pdf) | Kirtan S. Khalsa | 76751 |
| May 22, 2018 (pdf) | Bruce Guercio | 76686 |
| May 22, 2018 (pdf) | DrHorsepower, Inc.; Steven Scholl; Sandra Jones | 76685 |
| May 22, 2018 (pdf) | Timothy John Wales; Stacey Wales | 76683 |
| May 22, 2018 (pdf) | Lawson Financial Corporation (CRD #15261); Robert Warren Lawson (CD # 501167) | 76677 |
| March 29, 2018 (pdf) | Howard Price Wealth Management L.L.C.; Howard M. Price III (CRD #4650960) | 76621 |
| March 29, 2018 (pdf) | Eugene D. Anderson (CRD #1127707); Jeannie S. Anderson | 76620 |
| March 27, 2018 (pdf) | AZ Investment Property Experts, L.L.C.; Daniel C. Butterfield | n/a |
| January 19, 2018 (pdf) | Robert Nico Martinelli (f.k.a. Robert Apgar Zakian, CRD #2387821); Guardian Wealth Management, L.L.C. (f.k.a. AIM Investment Group, L.L.C., CRD #148536) | 76544 |
| January 19, 2018 (pdf) | GenTecnics, L.L.C.; iCorp L.L.C.; James E. Stroup | 76543 |
| January 19, 2018 (pdf) | Delta FX Trade | 76542 |
| January 3, 2018 (pdf) | Bart J. Ellis; Colleen Ellis; Oak Capital Partners, L.L.C. | 76541 |
| January 3, 2018 (pdf) | Kent Maerki; Norma Jean Coffin (a.k.a. Norma Jean Maerki and Norma Jean Maule); Dental Support Plus Franchise, L.L.C. | 76530 |
| January 3, 2018 (pdf) | USA Barcelona Realty Advisors, L.L.C.; USA Barcelona Hotel Land Company I, L.L.C.; Richard C. Harkins; Robert J. Kerrigan (CRD #268516); George T. Simmons; Janet B. Simmons; Bruce Orr; Susan S. Orr | 76529 |
| January 3, 2018 (pdf) | Clear Energy Group, L.L.C.; Paul W. Ramirez | 76517 |
| January 3, 2018 (pdf) | Jacob Wohl; Matthew Johnson; Wohl Capital Investment Group, L.L.C.; NeX Capital Management, L.L.C.; Montgomery Assets, Inc. | 76516 |
• 2017
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 29, 2017 (pdf) | Pacific Capital Enterprises L.L.C.; Superior Diamond Management L.L.C.; Michael Barry Eckerman; Tonya Eckerman; Vanessa R. Sandoval | n/a |
| November 22, 2017 (pdf) | Howard Price Wealth Management, L.L.C.; Howard M. Price III (CRD #4650960) | n/a |
| November 7, 2017 (pdf) | Jason Todd Mogler; Tri-Core Companies, L.L.C.; Tri-Core Business Development, L.L.C.; ERC Compactors, L.L.C.; ERC Investments, L.L.C.; C&D Construction Services, Inc. | 76452 |
| November 7, 2017 (pdf) | Jacob Wohl; Matthew Johnson; Wohl Capital Investment Group, L.L.C.; NeX Capital Management, L.L.C.; Montgomery Assets, Inc. | 76451 |
| November 7, 2017 (pdf) | LoanGo Corporation; Justin C. Billingsley; Heather Billingsley; Jeffrey Peterson; John Keith Ayers; Jennifer Ann Brinkman Ayers | 76450 |
| November 7, 2017 (pdf) | Sharon Elizabeth Govan (a.k.a Sharon E. Govan-Smith, Sharon Smith, Ms. Sharon and Charron Govan) | 76449 |
| November 7, 2017 (pdf) | Believing in Jesus Investments, L.L.C.; Phoebus Vincent Smith (a.k.a. Vince Smith and Mr. Vince) | 76447 |
| November 7, 2017 (pdf) | Anthony Waszolek (CRD #800403); Kathleen Waszolek | 76442 |
| November 7, 2017 (pdf) | Donna Kay Beers (CRD #1172038); James Beers; Caesar Investments, L.L.C. | 76441 |
| August 23, 2017 (pdf) | Michael A. Crowe (CRD #1057029); Lequita Crowe | 76321 |
| July 13, 2017 (pdf) | AIO Financial, L.L.C.; William M. Holliday (CRD #4930333); Guadalupe A. Holliday | 76198 |
| July 13, 2017 (pdf) | Lawrence M. Labine (CRD #1279935) | 76197 |
| July 13, 2017 (pdf) | Sam Ahdoot; Jane Doe Adhoot | 76196 |
| July 11, 2017 (pdf) | Real Estate Finance Corporation; WIN Opportunity Fund, L.L.C.; WIN Management, L.L.C.; Adam W. Child; Erin M. Chi | n/a |
| June 22, 2017 (pdf) | Shadow Beverages and Snacks, L.L.C.; Lucio George Martinez; Lisa K. Martinez | 76155 |
| May 22, 2017 (pdf) | Hawkins Wealth Advisory L.L.C.; Robert Eric Hawkins | 76080 |
| May 22, 2017 (pdf) | Robert Eric Hawkins; Infinity Fuels, Inc. | 76079 |
| May 22, 2017 (pdf) | Visionary Business Works, Inc. | 76078 |
| May 22, 2017 (pdf) | Robert Brian Brauer; Melissa Brauer | 76077 |
| April 11, 2017 (pdf) | Tracy N. Wengert (CRD #3182678); Jeanette Wengert | 76074 |
| April 11, 2017 (pdf) | Ryan Miguel (CRD #4581157, a.k.a. Ryan Miguel Pina and Ryan Lee Oliver) | 76064 |
| April 11, 2017 (pdf) | Simply Smart Homes, L.L.C.; Smart Enterprises, L.L.C.; Richard A. Smart | 76063 |
| March 22, 2017 (pdf) | J. Randall Gladden (CRD #1789356) | 76031 |
• 2026
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| April 14, 2026 (pdf) | United Advisor Group, L.L.C. (CRD #324205) | 81691 |
| March 10, 2026 (pdf) | Ryan Morgan; All Done Consulting, L.L.C. | 81659 |
| March 10, 2026 (pdf) | Dean Douglas Odle; MCM AF Assets L.L.C. | 81658 |
| March 10, 2026 (pdf) | Empower Advisory Group, L.L.C. (CRD #112058) | 81657 |
| March 10, 2026 (pdf) | Aligned Capital Partners Inc. | 81656 |
| February 12, 2026 (pdf) | Kevin Ray Goodwin (CRD #4887361) Overwatch Management Group L.L.C. (CRD #323450) | 81631 |
| February 12, 2026 (pdf) | Lisa Anne Boisselle (CRD #5726589) a.k.a. Lisa Homer a.k.a. Lisa Jager; Labi Investments L.L.C. d.b.a. Wealthwise (CRD #321274) | 81629 |
| January 20, 2026 (pdf) | Fiduciary Solutions, L.L.C. (CRD #332247) | 81598 |
• 2025
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 15, 2025 (pdf) | AE Wealth Management, L.L.C. (CRD #282580); David James Callanan (CRD #4237166) | 81578 |
| November 21, 2025 (pdf) | Ronald Eugene Krause; Nancy Darlene Krause; Senior Forethought, L.L.C. | 81555 |
| November 21, 2025 (pdf) | Robert Steven Swagger (CRD #3123602); TRS Pureflix, L.L.C. TRS Companies, L.L.C. | 81554 |
| November 21, 2025 (pdf) | Terri Lynne Swagger | 81553 |
| November 21, 2025 (pdf) | John A. Perez | 81552 |
| November 10, 2025 (pdf) | Albert Leroy Brown a.k.a. Roy Brown; UL Assets, L.L.C. | n/a |
| November 4, 2025 (pdf) | Dean Douglas Odle; MCM AF Assets, L.L.C. | n/a |
| October 23, 2025 (pdf) | Don K. Shiroishi | 81514 |
| October 23, 2025 (pdf) | Vanguard Marketing Corporation (CRD #7452); The Vanguard Group, Inc. (CRD #105958) | 81513 |
| August 19, 2025 (pdf) | Darien Euclid Bonney (CRD #4899007) | 81447 |
| August 19, 2025 (pdf) | MaryAnne Chisholm (d.b.a. Lighthouse Crypto & Asset Recovery); Mark F. Chisholm | 81429 |
| August 5, 2025 (pdf) | Lisa Anne Boisselle (CRD #5726589) a.k.a. Lisa Homer a.k.a. Lisa Jager; Labi Investments L.L.C. d.b.a. Wealthwise (CRD #321274) | n/a |
| June 18, 2025 (pdf) | William Andrew Smith (CRD #5638821); Kimberly Ann Smith; Smith & Cox, L.L.C. (CRD #149088) | 81352 |
| May 12, 2025 (pdf) | Sagetrader, L.L.C. (CRD #137862) | 80880 |
| May 12, 2025 (pdf) | Ronald Eugene Krause; Nancy Darlene Krause; Senior Forethought, L.L.C. | n/a |
| May 12, 2025 (pdf) | Michael Alexander Candelario; REI Management L.L.C.( f.k.a. WLA Labs L.L.C.); and REI House Buyers, L.L.C. | 80879 |
| May 6, 2025 (pdf) | Climate Care Innovations, Inc. (a.k.a. Prolific Fund); FOD Enterprises, L.L.C.; Kompo Green, Inc.; John D. Jensen (a.k.a. Jack Jensen); Tina M. Jensen | n/a |
| April 29, 2025 (pdf) | Stuart Simonsen; Saddlebrook Investments, L.L.C. | 80685 |
| April 29, 2025 (pdf) | Reliant Income Properties; Gary Martin | 80684 |
| March 20, 2025 (pdf) | David J Volpe (CRD #2543478); Amanda Volpe | 80120 |
| March 20, 2025 (pdf) | Todd R Anderson (CRD #1896352) | 80108 |
| March 20, 2025 (pdf) | Gregory Patrick Talbot (CRD #1802420) a.k.a. Greg Talbot; Caetrina Saymone Talbot | 80107 |
| February 19, 2025 (pdf) | Edward D. Jones& Co., L.P. | 79719 |
| February 13, 2025 (pdf) | Sterling Investment Advisor, L.L.C. (d.b.a. Sterling Advisor Group CRD #147357); Sterling Equity Alternative Fund, L.L.C.; Sterling Growth Equity Capital, L.L.C.; Emily Millanes (CRD #4354459); Anthony Millanes; Luke Vennard (CRD #5071956); Cassondra Vennard; Matthew Vennard (CRD #4198830); Robert Lee Kelley (CRD #6030517); Michelle Kelley | n/a |
| January 22, 2025 (pdf) | Dan E. Droeg; Evelyn Droeg | 79669 |
| January 22, 2025 (pdf) | RMR Wealth Builders, Inc. (CRD #169005) | 79668 |
• 2024
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 17, 2024 (pdf) | Timothy L. Wolf (CRD #1261588); Sharlene D. Wolf; Financial Concepts, Inc. (CRD #122342) | 79627 |
| December 17, 2024 (pdf) | Steven L. DeWitt (a.k.a. Trevor Bloom); Christina DeWitt | 79626 |
| December 17, 2024 (pdf) | Raymond James & Associates, Inc.; Raymond James Financial Services, Inc. | 79625 |
| December 17, 2024 (pdf) | Phillip Anthony Riposo | 79624 |
| December 5, 2024 (pdf) | Anthony Frank Sandi; Sandi Ecom, Inc. | n/a |
| November 15, 2024 (pdf) | Michael Saquella; Best Image 1, L.L.C.; Cactus Blue Entertainment, L.L.C. | 79612 |
| November 15, 2024 (pdf) | Ravsten Wealth Management, L.L.C. (CRD #284268) d.b.a. Foxstone Financial | 79611 |
| October 21, 2024 (pdf) | Luke M. Johnson (CRD #3257008); Alicia Johnson; Legend Capital Group, Inc. | 79572 |
| October 18, 2024 (pdf) | MaryAnne Chisholm (d.b.a. Lighthouse Crypto & Asset Recovery); Mark F. Chisholm (a.k.a. Mark D. Mackenzie) | n/a |
| September 13, 2024 (pdf) | Voya Financial Advisors, Inc. (CRD #002882) | 79543 |
| September 13, 2024 (pdf) | CIBC World Markets, Inc. | 79542 |
| September 13, 2024 (pdf) | Christopher J. Lopez (CRD #4314767); Holly Lopez | 79541 |
| August 15, 2024 (pdf) | Christopher Spence Cox; Beth Cox | 79487 |
| July 18, 2024 (pdf) | United Planners Financial Services of America | 79413 |
| June 20, 2024 (pdf) | Platinum Universal Trades | 79370 |
| June 20, 2024 (pdf) | David Todd Phillips (CRD #3094195); Camille Phillips; David Thomas Phillips (CRD #362511); Jane Taylor Phillips; Phillips Financial Services, L.L.C., Estate Planning Specialists, L.L.C. | 79369 |
| June 20, 2024 (pdf) | Kingdom Financial Group, L.L.C. (CRD #155676) | 79368 |
| June 20, 2024 (pdf) | ISA Industries, Inc.; Hunter Bjork; Grace Bjork | 79367 |
| June 20, 2024 (pdf) | IG US L.L.C. | 79366 |
| June 13, 2024 (pdf) | Arizona Golden Assets IV, L.L.C.; Donald William Jones (CRD #724793); Sheryl Elaine Jones | n/a |
| May 13, 2024 (pdf) | Anthony Rohlik; RRE Investments, L.L.C.; ECB Real Estate L.L.C. | 79349 |
| May 13, 2024 (pdf) | Hilary Shaw Riposo | 79348 |
| May 13, 2024 (pdf) | Theodore Francis Dinges; Gary Lee Dinges; Amazon Gold, L.L.C. | 79347 |
| April 18, 2024 (pdf) | TradeStation Crypto, Inc. | 79323 |
| April 18, 2024 (pdf) | Warren C. Nagler (CRD #3233469); Sunnyslope Capital Advisers, L.L.C. | 79322 |
| April 18, 2024 (pdf) | David Russel Dales (CRD #1493498) | 79321 |
| April 8, 2024 (pdf) | Cellebration Life Sciences, Inc.; Timothy Kopatich; Jane Doe Kopatich; William M. Deegan (CRD #2098524); Anand Srivastava; Deven Patel | n/a |
| March 15, 2024 (pdf) | David L. Shorey; Mary Jane Shorey; ABCO Energy, Inc. (f.k.a Energy Conservation Technologies, Inc.); ABCO Solar, Inc. (f.k.a. Westcap Energy, Inc.) | 79315 |
| March 15, 2024 (pdf) | Integrated Advisors Network L.L.C. (CRD #171991) | 79314 |
| January 24, 2024 (pdf) | Elevated Automations L.L.C.; Ecomelevation L.L.C.; Antonio Romero; Brandon Wasoski | 79247 |
| January 23, 2024 (pdf) | Platinum Universal Trades | n/a |
• 2023
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 12, 2023 (pdf) | Family Tree Estate Planning, L.L.C.; Sean N. Cagle; Brad Gerald Mason; Jason Wootten | 79184 |
| December 12, 2023 (pdf) | Bridge Advisory L.L.C. (CRD #148282) | 79183 |
| December 12, 2023 (pdf) | Blue Owl Technology Income Corp. (f.k.a. Owl Rock Technology Income Corp.) | 79182 |
| November 21, 2023 (pdf) | Lucio George Martinez; Lisa K. Martinez | n/a |
| November 17, 2023 (pdf) | Swiss Valorem Bank Ltd.; GSB Gold Standard Corporation AG; GSB Gold Standard Pay Ltd. (acting under the brand GSDEFI); Josip Heit; Tannisha Glaspie | n/a |
| November 3, 2023 (pdf) | PIPS TRAILEXCH | 79170 |
| November 3, 2023 (pdf) | Susan M. Koe (CRD #4819343) | 79169 |
| October 27, 2023 (pdf) | Operation Influence L.L.C. (d.b.a. WIFI Wealth); Jerrika Cox (a.k.a. Jerrika Wilkstrom); Bryce Cox (a.k.a. Brycen Cox) | n/a |
| October 4, 2023 (pdf) | RRIM Asset Strategies, L.L.C. (CRD #117297); Robert A. Ritter (CRD #1985776); Tamara Ritter (a.k.a. Tamara Swinton) | 79112 |
| October 4, 2023 (pdf) | Q Financial Design, L.L.C. (CRD #152066); David F. Evans (CRD #2056137) | 79111 |
| October 4, 2023 (pdf) | Kelly Marie Ryan (a.k.a. Kelly Black Ryan, Kelly Black-White, and Kelly Black); Premier Media Services, Inc. (d.b.a. Premier Distributing Service and Lenis USA) | 79110 |
| October 4, 2023 (pdf) | William M. Deegan (CRD #2098524); Heartland Capital Partners, L.L.C.; Heartland Income Properties L.L.C. | 79109 |
| October 2, 2023 (pdf) | Michael Alexander Candelario; REI Management L.L.C. (f.k.a. WLA Labs L.L.C.); REI House Buyers, L.L.C. | n/a |
| September 11, 2023 (pdf) | Patrick D. Nilles (CRD #4435443) | 79088 |
| August 25, 2023 (pdf) | Robinhood Financial L.L.C. | 79068 |
| August 25, 2023 (pdf) | Meta 1 Coin Trust; Robert Paul Dunlap | 79067 |
| August 15, 2023 (pdf) | Ryan Morgan; Stuart Simonsen; All Done Consulting, L.L.C.; Saddlebrook Investments, L.L.C. | n/a |
| July 14, 2023 (pdf) | Christine Lewis | 79039 |
| July 14, 2023 (pdf) | Marcus Lewis | 79022 |
| June 28, 2023 (pdf) | Antwon B. Day; FXPIPSESSION, L.L.C. | 78982 |
| June 28, 2023 (pdf) | Jad Morris; Financial Leverage L.L.C.; IQBiz Financial L.L.C.; IQBiz Funding, L.L.C.; Svitlana Kwee | 78981 |
| June 28, 2023 (pdf) | Bryan L. Little (CRD #6670927); Melisa Little | 78980 |
| May 9, 2023 (pdf) | PIPS TRAILEXCH | n/a |
| April 18, 2023 (pdf) | Agridime L.L.C.; Joshua Link; Tia Link | n/a |
| April 17, 2023 (pdf) | Robert Brent Beane (CRD #5183037) | 78910 |
| April 17, 2023 (pdf) | Nexo Capital, Inc. | 78909 |
| April 17, 2023 (pdf) | Bear Fruit Films, L.L.C.; James Simmons; Mark Smith | 78908 |
| March 23, 2023 (pdf) | Robert Halverson | 78887 |
| March 16, 2023 (pdf) | Automata FX Ltd.; Joseph T. Nemeth | 78864 |
| February 27, 2023 (pdf) | Theodore Francis Dinges; Gary Lee Dinges; Amazon Gold, L.L.C. | n/a |
| January 23, 2023 (pdf) | Wilson Sonsini Goodrich & Rosati, P.C. | 78826 |
| January 23, 2023 (pdf) | James David Gray; Stephanie Gray; Seek Insurance Services, L.L.C.; Elite Benefits Group, L.L.C. | 78825 |
| January 23, 2023 (pdf) | Pamela Hopman (CRD #3023382); Paul Hopman; PGH Advisors L.L.C. (CRD #156415) | 78824 |
• 2022
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 15, 2022 (pdf) | Richard J. Daratony (d.b.a. High Desert Naturals, High Desert Natural, and Dr. Rlchard’s High Desert Naturals) | 78798 |
| November 21, 2022 (pdf) | MaRico Tippett (CRD #4821428); Callie Tippett | 78753 |
| October 24, 2022 (pdf) | Wealthcorp L.L.C.; Christopher Walkup | 78732 |
| October 22, 2022 (pdf) | Jad Morris; Svitlana Kwee; Financial Leverage L.L.C.; IQBiz Financial L.L.C.; IQBiz Funding, L.L.C. | n/a |
| September 20, 2022 (pdf) | Wenima Development. L.L.C.; I Am America; Lenard Toye; Lori A. Toye | 78705 |
| September 20, 2022 (pdf) | Jonathon Sifuentes Saucedo | 78704 |
| September 20, 2022 (pdf) | James S. Miller (CRD #4875515); Biltmore Wealth Advisors, L.L.C. (CRD #165557) | 78703 |
| September 1, 2022 (pdf) | ISA Industries, Inc.; Hunter Bjork; Grace Bjork | n/a |
| August 22, 2022 (pdf) | Patrick Jon Runninger (CRD #5223934); The Financial Group, L.L.C. | 78651 |
| August 22, 2022 (pdf) | Jennifer Skidmore | 78650 |
| August 22, 2022 (pdf) | Jeffrey Allen Skidmore; Money Never Sleeps, L.L.C. | 78649 |
| July 27, 2022 (pdf) | Sync Title Agency, L.L.C.; Rosicella Joplin; Sean Joplin; Christopher Olson | 78642 |
| July 27, 2022 (pdf) | Premier Asset Management Group L.L.C.; Michael Barry Eckerman; Tonya Eckerman; Bernardine Ann Michalik; Sean P. Shields; Venessa Sandoval; Ashley Abbema | 78641 |
| July 27, 2022 (pdf) | Moises Herrera, Sr.; Yolanda Herrera | 78632 |
| July 11, 2022 (pdf) | John V. Feneck (CRD #2418741); Feneck Consulting Group, L.L.C. (a.k.a. Feneck Consulting) | 78607 |
| July 11, 2022 (pdf) | Arthur Hoffman (CRD #3193754); ICA Financial Services, L.L.C. (d.b.a. Integrity Capital Advisors) | 78606 |
| July 11, 2022 (pdf) | BlockFi Lending L.L.C. | 78605 |
| July 11, 2022 (pdf) | Todd Regan Elliott (CRD #5563784); Elliott Financial Group, Inc.; Carla M. Elliott | 78604 |
| May 27, 2022 (pdf) | Nathaniel S. Barnhart (CRD #1898299); Lisa Renee Wilson Barnhart; Cornerstone Wealth Management , L.L.C. | 78562 |
| May 18, 2022 (pdf) | Timothy L. Wolf (CRD #1261588); Sharlene D. Wolf; Financial Concepts, Inc. | n/a |
| April 28, 2022 (pdf) | Ronald F. Stevenson (CRD #6716692 and Successor in Interest of Barbara Clark Stevenson); American Financial Security, L.L.C.; American Financial Investments, L.L.C. | 78528 |
| April 28, 2022 (pdf) | TreyTrades L.L.C. (Arizona L.L.C.); TreyTrades L.L.C. (Florida L.L.C.); Richard K. Hainsworth III | 78527 |
| April 28, 2022 | Carlos Parra, Noahmi Parra | 78526 |
| April 28, 2022 (pdf) | My Trader Coin (a.k.a. MTCoin and mytradercoin.com) | 78525 |
| April 25, 2022 (pdf) | William M. Deegan (CRD #2098524); Heartland Capital Partners, L.L.C.; Heartland Income Properties, L.L.C. | n/a |
| March 24, 2022 (pdf) | Marketing Dynamics, Inc.; Timothy La Duca (CRD #5223921); Sharon La Duca | 78514 |
| March 24, 2022 (pdf) | D2D Financial, L.L.C.; Rone Milton Dolph (CRD #3186460); Susan Dolph; Susan Jean Arcadia; Chad Arcadia; Super Commercial Loans, L.L.C.; Anthony Bellassai (a.k.a Tony Bellassai) | 78502 |
| March 24, 2022 (pdf) | Scott Wayne Reed (CRD #3007033); Sarah Reed | 78501 |
| March 2, 2022 (pdf) | AZ REl School, L.L.C.; SFG Real Estate Holdings, L.L.C.; Jeffrey Robert Simbric | 78480 |
| March 2, 2022 (pdf) | Archimedes Foundation Trust (a.k.a. Archimedes Foundation Trust Group); David Hart; Dwayne Louise Hart; Kirk Koskella (a.k.a. Kirk James); Christine Tucker; Harry Tucker; Conrad Defriese; Wolfgang Kovacek | 78479 |
| March 2, 2022 (pdf) | Global Capital and Equity L.L.C.; Brett Butler Reiss | 78478 |
| January 31, 2022 (pdf) | Luxury Management Group, L.L.C.; MTE 2013 Trust, Michael Barry Eckerman, and Tonya Eckerman, trustees; Michael Barry Eckerman; Tonya Eckerman | 78419 |
| January 31, 2022 (pdf) | Voice of Guo Media, Inc.; Lihong Wei Lafrenz a.k.a. Sara Wei | 78418 |
| January 31, 2022 (pdf) | Tony Roland Spooner a.k.a. Anthony R. Spooner (CRD #2187069); Wendy Spooner; First Federal Security, Inc.; Rokay Unlimited, L.L.C. | 78417 |
| January 31, 2022 (pdf) | MSM Financial L.L.C. (CRD #284781); Michael Sean Murphy (CRD #1315103) | 78416 |
• 2021
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 28, 2021 (pdf) | Now Mining, L.L.C. | 78355 |
| December 28, 2021 (pdf) | Sean Zarinegar (a.k.a. Sean Zar and Bejahn Zarrinegar); Kori Zarinegar; Performance Realty Management, L.L.C. | 78354 |
| December 20, 2021 (pdf) | D2D Financial, L.L.C.; Rone Milton Dolph (CRD #3186460); Susan Dolph; and Susan Jean Arcadia; Chad Arcadia; Super Commercial Loans L.L.C.; Anthony Bellassai a.k.a. Tony Bellassai | n/a |
| November 19, 2021 (pdf) | Meta 1 Coin Trust; Robert Paul Dunlap | n/a |
| November 5, 2021 (pdf) | Mario E. Magana Sosa; Alejandra Sosa | 78294 |
| November 5, 2021 (pdf) | Edward Eugene Engel (a.k.a. Eddy Engel a.k.a. Ed Engel); Shara Engel; Rose Member Capital Group, L.L.C.; Biomed iNet, L.L.C. | 78293 |
| November 5, 2021 (pdf) | William Melvin Hawkins a.k.a. Mel Hawkins (CRD #831356); Biomed Pharma Group, Inc. | 78292 |
| September 29, 2021 (pdf) | Don Harris; Donna Harris; Don’s Painter Stuff, L.L.C. | 78242 |
| September 29, 2021 (pdf) | NVSG702, L.L.C.; NVSG702 L.L.C.; Silverstate702, L.L.C.; John R. Uranga | 78241 |
| September 1, 2021 (pdf) | Migranade, Inc.; Charles Hensley | 78220 |
| September 1, 2021 (pdf) | AE Wealth Management, L.L.C. (CRD #282580); David James Callanan (CRD #4237166) | 78219 |
| July 28, 2021 (pdf) | Grand Oak Enterprises, L.L.C.; Tarleton J. Karry (CRD #2862611) | 78139 |
| June 24, 2021 (pdf) | OWNZONES Media Network, Inc.; Daniel Goman; Alina Goman | 78049 |
| June 24, 2021 (pdf) | Charles O’Dowd; Paula M. O’Dowd | 78048 |
| May 28, 2021 (pdf) | Automata FX Ltd.; Joseph T. Nemeth | n/a |
| May 18, 2021 (pdf) | Meroe Capital Group Ldt.; Castle International, Inc.; Castle International, L.L.C.; Castle Air Holdings, L.L.C.; David Miller; Jayson R. Papa | 78001 |
| May 18, 2021 (pdf) | Resa Wearables, Inc.; Glen D. Hinshaw | 78000 |
| May 5, 2021 (pdf) | Jerry L. Guttman (CRD #1078383), Jerry L. Guttman as Trustee of the Guttman Family Trust DTD 12/4/2000; Serenity Cemeteries II, L.L.C.; Serenity Cemeteries IV, L.L.C.; Serenity Cemeteries VI, L.L.C.; Serenity Cemeteries VII, L.L.C.; Champion Entertainment Group, L.L.C. | 77980 |
| May 5, 2021 (pdf) | Abuchi Okoye; Coininvest | 77979 |
| May 5, 2021 (pdf) | Frederick Arias; The Joseph Project | 77978 |
| May 5, 2021 (pdf) | Troy Michael Bohlke; Arizona Acquisitions Group, L.L.C. | 77977 |
| April 1, 2021 (pdf) | Guilford Nergard | 77919 |
| April 1, 2021 (pdf) | Seth Jardine; EcoVista Development, L.L.C.; EcoVista Avondale, L.L.C.; Caroline Jardine | 77910 |
| February 12, 2021 (pdf) | Wattenberg 1, L.L.C. | 77908 |
| February 12, 2021 (pdf) | Robert Francis Alexander | 77907 |
| February 12, 2021 (pdf) | Verdugo Enterprise L.L.C. (d.b.a. Verdugo Gift Company); Isaias M. Verdugo; Maria G. Verdugo; Mario C. Verdugo, Jr.; Filemon G. Caballero | 77902 |
| January 22, 2021 (pdf) | David Paul French; Sun State Property Preservation, L.L.C.; Wattenberg, L.L.C. | 77880 |
| January 22, 2021 (pdf) | Alfred Baca; Chrysology Capital Group, L.L.C. | 77879 |
| January 22, 2021 (pdf) | Bradley J. Tennison; Deborah Tennison | 77878 |
• 2020
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 31, 2020 (pdf) | Richard J. Daratony (d.b.a. High Desert Naturals, High Desert Natural, and Dr. Richard’s High Desert Naturals) | n/a |
| December 17, 2020 (pdf) | Roman Alejando Corona (CRD #6347429) | 77832 |
| December 17, 2020 (pdf) | Jeffrey Francis Thompson (CRD # 2732245); Leyenda Capital Partners, L.L.C. (d.b.a. JFThompson Wealth Management (IARD #282751) | 77831 |
| November 12, 2020 (pdf) | Performance Arbitrage Company, Inc.; Michelle Plant; Financial Product Distributors, L.L.C.; Michael David Woodard (CRD #3270674); Deborah G. Woodard; Mark Corbett; Upstate Law Group, L.L.C.; Candy Kern-Fuller | 77806 |
| November 12, 2020 (pdf) | Justin C. Billinglsey | 77805 |
| November 12, 2020 (pdf) | Richard D. Saba Jr.; Saba Tooth Tiger, L.L.C. (d.b.a. Saba Investments) | 77800 |
| November 4, 2020 (pdf) | Robert Francis Alexander | n/a |
| October 23, 2020 (pdf) | Abuchi Okoye; Coininvest | n/a |
| October 22, 2020 (pdf) | Richard A. Smart; Smart Acquisitions, L.L.C.; Smart Enterprises, L.L.C.; Simply Smart Homes, L.L.C. | 77765 |
| October 22, 2020 (pdf) | Adrian Ortega (CRD #5591481) | 77764 |
| October 20, 2020 (pdf) | Donald Harris; Don’s Pinter Stuff, L.L.C. | n/a |
| October 2, 2020 (pdf) | Mark Corbett; Smith & Cox, L.L.C. (CRD #149088); William Andrew Smith (CRD #5638821); Kimberly Ann Smith; Christopher Spence Cox (CRD #5639015); Beth Cox | 77747 |
| October 2, 2020 (pdf) | Conrad Coggeshall (CRD #4383687); Business Owners Tax Relief L.L.C. | 77726 |
| October 2, 2020 (pdf) | AuroraTek Incorporated; William Alek; Aurora Ellegion (a.k.a. Aurora Light) | 77725 |
| October 1, 2020 (pdf) | Abuchi Okoye; Coininvest | n/a |
| September 24, 2020 (pdf) | Seth Jardine; Caroline Jardine; EcoVista Development, L.L.C.; EcoVista Avondale, L.L.C. | n/a |
| June 30, 2020 (pdf) | Maximo Natural Products, Inc.; Ismael Villalobos (a.k.a. Ismael Villalobos Garcia); Blanca Villalobos | 77643 |
| May 14, 2020 (pdf) | Anthony Eladio Ramos; Western Gateway Region Rural Broadband Company, Inc. | 77619 |
| April 29, 2020 (pdf) | Cornerstone Wealth Management, L.L.C.; Nathaniel S. Barnhart (CRD #1898299); Lisa Renee Wilson Barnhart; AE Wealth Management, L.L.C. (CRD #282580); Christopher Spence Cox (CRD #5639015); Beth Cox; William Andrew Smith (CRD #5638821); Kimberly Ann Smith; Smith & Cox, L.L.C. (CRD #149088) | n/a |
| April 22, 2020 (pdf) | Marvin Robby Richards | 77595 |
| March 31, 2020 (pdf) | LendingClub Corporation | 77576 |
| March 31, 2020 (pdf) | Forex & Bitcoin Trader | 77575 |
| February 10, 2020 (pdf) | Robert J. Moss; Jennifer L. Moss; The Fortitude Foundation; Ventures 7000, L.L.C.; Jeffrey D. McHatton; Starla T. McHatton; Robert B. Sproat; Kevin Krause; Vernon R. Twyman, Jr. | 77547 |
| February 10, 2020 (pdf) | Priority Wealth Advisors, Inc.; Joseph Donti | 77545 |
| February 6, 2020 (pdf) | William Austin Bailey (CRD #1085215); Associated Professional Investments, L.L.C. (CRD #148986) | 77542 |
| January 15, 2020 (pdf) | Kerease Gillman (a.k.a. Kerease Margita) d.b.a. Southwest Bookkeeping Service; Timothy Gillman | 77533 |
• 2019
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 17, 2019 (pdf) | Venessa R. Sandoval; Ashley Abbema | 77502 |
| December 17, 2019 (pdf) | Wagner Capital Management, L.L.C.; Zachary S. Wagner (CRD #6694074) | 77497 |
| December 17, 2019 (pdf) | Robert Charles High II (CRD #4568165) | 77496 |
| December 17, 2019 (pdf) | American Realty Partners, L.L.C.; Corix Bioscience, Inc. (f.k.a. American Housing Income Trust, Inc.) | 77495 |
| December 17, 2019 (pdf) | Jack Combs; Nancy Combs | 77494 |
| November 6, 2019 (pdf) | Teodoro M. Medellin; Silvia Medellin | 77446 |
| November 1, 2019 (pdf) | Forex & Bitcoin Trader | n/a |
| October 24, 2019 (pdf) | Theodore W. Fowler; Shana C. Fowler; Whispering Creek Investments, L.L.C. | 77427 |
| October 24, 2019 (pdf) | The Credit Engineers, Inc.; David R. Kosack; Bryn Kosack; Ernie Barrueta (a.k.a. Ernest A. Barrueta and Ernesto Barrueta); David J. Varrone | 77426 |
| October 21, 2019 (pdf) | Marvin Robby Richards | n/a |
| September 13, 2019 (pdf) | Robert S. Smith (CRD #1145094); Janice Smith | 77411 |
| September 11, 2019 (pdf) | Trager L.L.C. | 77400 |
| September 11, 2019 (pdf) | John Walter; Janis Walter | 77399 |
| September 11, 2019 (pdf) | Jason Walter; Samantha Walter | 77398 |
| September 11, 2019 (pdf) | Randy Rondberg; Katherine Rondberg | 77397 |
| September 11, 2019 (pdf) | Daniel Rondberg; Jennifer Rondberg | 77396 |
| September 11, 2019 (pdf) | Ronald Horn | 77395 |
| August 19, 2019 (pdf) | Roland B. Woolsey | 77370 |
| August 19, 2019 (pdf) | Skytrace, Inc. | 77369 |
| July 19, 2019 (pdf) | AZ Investment Property Experts, L.L.C.; Sandy Beach Esmeralda Development, L.L.C.; Daniel C. Butterfield | 77293 |
| July 10, 2019 (pdf) | Jaime A. Verdugo | 77271 |
| June 13, 2019 (pdf) | Adam W. Child; Erin M. Child | 77256 |
| June 13, 2019 (pdf) | David Paul Smoot; Marie Kathleen Smoot (a.k.a. Kathy Smoot); Native American Water, L.L.C. d.b.a. Natawa; Natawa Corporation d.b.a. Natawa; American Indian Technologies International, L.L.C. (a.k.a. AITI) | 77255 |
| June 13, 2019 (pdf) | Fox First Services, L.L.C.; Carlton Lamont Fox; Soy Mora (a.k.a. Soy Fox) | 77254 |
| May 29, 2019 (pdf) | Kyusun Kim (CRD #2864085) | 77197 |
| May 29, 2019 (pdf) | AZ Investment Property Experts, L.L.C.; Sandy Beach Esmeralda Development, L.L.C.; Daniel C. Butterfield | 77196 |
| May 15, 2019 (pdf) | Jeremy Vincent Diaz (CRD #4735164); IDIAZ, L.L.C.; Wealth Creator Private Equity, L.L.C. | 77172 |
| April 26, 2019 (pdf) | Roderick R. Rickert | 77160 |
| April 26, 2019 (pdf) | Titan Capital Real Estate Fund I, L.L.C. | 77159 |
| April 26, 2019 (pdf) | Partisan Alliance Corporation; Joseph J. Carillo; Azucena Carrillo | 77158 |
| April 26, 2019 (pdf) | JG Enterprise, L.L.C.; Jennifer Jean Gutschke | 77157 |
| April 26, 2019 (pdf) | BAIC, Inc.; SoBell Corp.; Andrew Gamber | 77156 |
| March 13, 2019 (pdf) | Pacific Capital Enterprises L.L.C.; Superior Diamond Management L.L.C.; Michael Barry Eckerman; Tonya Eckerman | 77117 |
| March 13, 2019 (pdf) | Thomas P. Madden; Leslie Madden | 77116 |
| February 20, 2019 (pdf) | Concordia Financing Company, Ltd. (a.k.a. Concordia Finance); ER Financial & Advisory Services, L.L.C.; Lance Michael Bersch; David John Wanzek; Linda Wanzek | 77088 |
| February 7, 2019 (pdf) | Real Estate Finance Corporation; WIN Opportunity, L.L.C.; Adam W. Child; Erin M. Child; WIN Management, L.L.C. | 77069 |
| February 7, 2019 (pdf) | Titan Funding Group I, L.L.C.; Titan Capital Holdings L.L.C. | 77068 |
| February 7, 2019 (pdf) | Coverlugg L.L.C.; Birdie Media L.L.C.; Gregory J. Sanchez; Jill K. Sanchez | 77067 |
| January 16, 2019 (pdf) | Darrell G. Knoch; Imagine Enterprises, L.L.C. | 77046 |
| January 11, 2019 (pdf) | LPL Financial L.L.C. (CRD #6413) | 77024 |
• 2018
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 31, 2018 (pdf) | The Credit Engineers, Inc.; David R. Kosack; Bryn Kosack; Ernie Barrueta (a.k.a. Ernest A. Barrueta and Ernesto A. Barrueta); David J. Varrone | n/a |
| December 14, 2018 (pdf) | Anthony Eladio Ramos; Western Gateway Region Rural Broadband Company, Inc. | n/a |
| November 27, 2018 (pdf) | Robert H. Shapiro | 76962 |
| November 27, 2018 (pdf) | WMF Management, L.L.C.; Woodbridge Group of Companies, L.L.C.; Woodbridge Mortgage Investment Fund 1, L.L.C.; Woodbridge Mortgage Investment Fund 2, L.L.C.; Woodbridge Mortgage Investment Fund 3, L.L.C., and Woodbridge Mortgage Investment Fund 3A, L.L.C. | 76961 |
| November 2, 2018 (pdf) | JG Enterprise, L.L.C.; Fox First Services, L.L.C.; Jennifer Jean Gutschke; Carlton Lamont Fox | n/a |
| September 17, 2018 (pdf) | Wesleyan Investment Foundation, Inc. | 76875 |
| September 17, 2018 (pdf) | Stephen M. Thompson; Leland Energy, Inc.; Leland Kentucky Holdings, Inc.; Leland Colorado Holdings, Inc.; The Appalachian Drilling Fund II, L.L.P.; Knox Drilling Fund II, L.L.P.; Green County Energy Fund, L.L.P.; Joseph E. Finateri; Leland Tennessee Holdings, Inc.; Rodgers Production Revenue Fund, L.L.P.; Energy Production Revenue Fund, L.L.P.; Block City Drilling Fund, L.L.P.; Weld County Drilling Fund, L.L.P.; Wattenberg Drilling Fund, L.L.P.; Wattenberg Drilling Fund II, L.L.P.; Greeley Wattenberg Drilling Fund, L.L.P.; Opportunity Drilling & Acquisition Fund, L.L.P.; Presidents Fund, L.L.P.; Leland Energy Fund, L.L.P.; Leland Energy Fund II, L.L.P.; Extension Drilling & Revenue Fund, L.L.P. | 76874 |
| September 17, 2018 (pdf) | Advanced Planning Concepts, L.L.C. (CRD #164725); Thomas J. Crisman (CRD #851859) | 76873 |
| August 22, 2018 (pdf) | Cory R. Williams (CRD #4797256); Williams Advisory Group, L.L.C. (CRD #175402) | 76821 |
| August 8, 2018 (pdf) | Walter Jerome Clarke (CRD #2579982); Wealth Index Advisors, L.L.C. (CRD #281750) | 76789 |
| June 25, 2018 (pdf) | Michael Smoot d.b.a. GSI Global TV, Inc.; Black Platinum Holdings, L.L.C.; GSI Global, Inc. | 76752 |
| June 25, 2018 (pdf) | Kirtan S. Khalsa | 76751 |
| May 22, 2018 (pdf) | Bruce Guercio | 76686 |
| May 22, 2018 (pdf) | DrHorsepower, Inc.; Steven Scholl; Sandra Jones | 76685 |
| May 22, 2018 (pdf) | Timothy John Wales; Stacey Wales | 76683 |
| May 22, 2018 (pdf) | Lawson Financial Corporation (CRD #15261); Robert Warren Lawson (CD # 501167) | 76677 |
| March 29, 2018 (pdf) | Howard Price Wealth Management L.L.C.; Howard M. Price III (CRD #4650960) | 76621 |
| March 29, 2018 (pdf) | Eugene D. Anderson (CRD #1127707); Jeannie S. Anderson | 76620 |
| March 27, 2018 (pdf) | AZ Investment Property Experts, L.L.C.; Daniel C. Butterfield | n/a |
| January 19, 2018 (pdf) | Robert Nico Martinelli (f.k.a. Robert Apgar Zakian, CRD #2387821); Guardian Wealth Management, L.L.C. (f.k.a. AIM Investment Group, L.L.C., CRD #148536) | 76544 |
| January 19, 2018 (pdf) | GenTecnics, L.L.C.; iCorp L.L.C.; James E. Stroup | 76543 |
| January 19, 2018 (pdf) | Delta FX Trade | 76542 |
| January 3, 2018 (pdf) | Bart J. Ellis; Colleen Ellis; Oak Capital Partners, L.L.C. | 76541 |
| January 3, 2018 (pdf) | Kent Maerki; Norma Jean Coffin (a.k.a. Norma Jean Maerki and Norma Jean Maule); Dental Support Plus Franchise, L.L.C. | 76530 |
| January 3, 2018 (pdf) | USA Barcelona Realty Advisors, L.L.C.; USA Barcelona Hotel Land Company I, L.L.C.; Richard C. Harkins; Robert J. Kerrigan (CRD #268516); George T. Simmons; Janet B. Simmons; Bruce Orr; Susan S. Orr | 76529 |
| January 3, 2018 (pdf) | Clear Energy Group, L.L.C.; Paul W. Ramirez | 76517 |
| January 3, 2018 (pdf) | Jacob Wohl; Matthew Johnson; Wohl Capital Investment Group, L.L.C.; NeX Capital Management, L.L.C.; Montgomery Assets, Inc. | 76516 |
• 2017
| Date Filed | Company/Individual | Decision # |
|---|---|---|
| December 29, 2017 (pdf) | Pacific Capital Enterprises L.L.C.; Superior Diamond Management L.L.C.; Michael Barry Eckerman; Tonya Eckerman; Vanessa R. Sandoval | n/a |
| November 22, 2017 (pdf) | Howard Price Wealth Management, L.L.C.; Howard M. Price III (CRD #4650960) | n/a |
| November 7, 2017 (pdf) | Jason Todd Mogler; Tri-Core Companies, L.L.C.; Tri-Core Business Development, L.L.C.; ERC Compactors, L.L.C.; ERC Investments, L.L.C.; C&D Construction Services, Inc. | 76452 |
| November 7, 2017 (pdf) | Jacob Wohl; Matthew Johnson; Wohl Capital Investment Group, L.L.C.; NeX Capital Management, L.L.C.; Montgomery Assets, Inc. | 76451 |
| November 7, 2017 (pdf) | LoanGo Corporation; Justin C. Billingsley; Heather Billingsley; Jeffrey Peterson; John Keith Ayers; Jennifer Ann Brinkman Ayers | 76450 |
| November 7, 2017 (pdf) | Sharon Elizabeth Govan (a.k.a Sharon E. Govan-Smith, Sharon Smith, Ms. Sharon and Charron Govan) | 76449 |
| November 7, 2017 (pdf) | Believing in Jesus Investments, L.L.C.; Phoebus Vincent Smith (a.k.a. Vince Smith and Mr. Vince) | 76447 |
| November 7, 2017 (pdf) | Anthony Waszolek (CRD #800403); Kathleen Waszolek | 76442 |
| November 7, 2017 (pdf) | Donna Kay Beers (CRD #1172038); James Beers; Caesar Investments, L.L.C. | 76441 |
| August 23, 2017 (pdf) | Michael A. Crowe (CRD #1057029); Lequita Crowe | 76321 |
| July 13, 2017 (pdf) | AIO Financial, L.L.C.; William M. Holliday (CRD #4930333); Guadalupe A. Holliday | 76198 |
| July 13, 2017 (pdf) | Lawrence M. Labine (CRD #1279935) | 76197 |
| July 13, 2017 (pdf) | Sam Ahdoot; Jane Doe Adhoot | 76196 |
| July 11, 2017 (pdf) | Real Estate Finance Corporation; WIN Opportunity Fund, L.L.C.; WIN Management, L.L.C.; Adam W. Child; Erin M. Chi | n/a |
| June 22, 2017 (pdf) | Shadow Beverages and Snacks, L.L.C.; Lucio George Martinez; Lisa K. Martinez | 76155 |
| May 22, 2017 (pdf) | Hawkins Wealth Advisory L.L.C.; Robert Eric Hawkins | 76080 |
| May 22, 2017 (pdf) | Robert Eric Hawkins; Infinity Fuels, Inc. | 76079 |
| May 22, 2017 (pdf) | Visionary Business Works, Inc. | 76078 |
| May 22, 2017 (pdf) | Robert Brian Brauer; Melissa Brauer | 76077 |
| April 11, 2017 (pdf) | Tracy N. Wengert (CRD #3182678); Jeanette Wengert | 76074 |
| April 11, 2017 (pdf) | Ryan Miguel (CRD #4581157, a.k.a. Ryan Miguel Pina and Ryan Lee Oliver) | 76064 |
| April 11, 2017 (pdf) | Simply Smart Homes, L.L.C.; Smart Enterprises, L.L.C.; Richard A. Smart | 76063 |
| March 22, 2017 (pdf) | J. Randall Gladden (CRD #1789356) | 76031 |