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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

Kevin D. Wanner, Precision Financial Services, Questar Capital Corporation - Order to Revoke the Agent Registration

Thursday, December 31, 2015

Categories: Enforcement Actions

Kevin D. Wanner, Precision Financial Services, Questar Capital Corporation - Proposed Order to Revoke Agent Registration, Cease and Desist Order, Order for Summary Suspension of the Agent Registration, Notice of Right to Request Hearing

Friday, December 4, 2015

Categories: Enforcement Actions

Halcyon Cabot Partners, Ltd. - Order to Revoke the Dealer Registration

Tuesday, November 24, 2015

Categories: Enforcement Actions

Halcyon Cabot Partners - Order to Revoke the Dealer Registration, Order for Summary Suspension of the Dealer Registration, Notice of Right to Request Hearing

Monday, October 12, 2015

Categories: Enforcement Actions

Paul De Bastos, North Dakota Bakken Connection, LLC - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing

Tuesday, June 16, 2015

Categories: Enforcement Actions

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