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Main Street Hospitality, LLC, and Robert Pagan - Consent to Entry of Order, Consent Order

Monday, May 14, 2018

Categories: Enforcement Actions

Main Street Hospitality, LLC, and Robert Pagan - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty

Thursday, March 8, 2018

Categories: Enforcement Actions

H. Michael Hardy, RSE, Inc., and Hardy Management Group, LLC - Consent Order

Monday, February 26, 2018

Categories: Enforcement Actions

Rash Enterprises, LLC, Taylor Rash, and Tom Doll - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty

Friday, December 15, 2017

Categories: Enforcement Actions

Elements Franchising, LLC and Christopher J. Palumbo - Desist and Refrain Order, Notice of Right to Request Hearing, Order for Civil Penalty

Friday, December 15, 2017

Categories: Enforcement Actions

Questar Capital Corporation - Settlement Agreement

Monday, July 31, 2017

Categories: Enforcement Actions

Susan L. Welo, Welo Wealth Management - Cease and Desist Order, Notice of Right to Request Hearing

Friday, July 21, 2017

Categories: Enforcement Actions

SagePoint Financial, Inc. - Consent Agreement

Friday, July 15, 2016

Categories: Enforcement Actions

Douglas E. Arends - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing

Tuesday, July 12, 2016

Categories: Enforcement Actions

First Financial Equity Corporation - Agreement

Monday, June 13, 2016

Categories: Enforcement Actions
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