Mark Allan Plummer, Emilio Barrera, Jr. (a/k/a Mike Barrera), PRT Consulting, LLC d/b/a Petroleum Resources of Texas, Richmond Engineering, Inc., Todd J. Prince, George Rauch (f/k/a George B. Fasciano), and Todd Stuart Breitling
SEC Charges Recidivist and Others with Oil and Gas Offering Fraud
Punch TV Studios. Inc., et al.
SEC Charges Recidivist TV Production Company and Its Founder and CEO with Offering and Selling Securities in Unregistered Offerings
Chad Thomas Mackland
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Naseem Mohammed Salamah
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Richard Vu Nguyen
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Adam Heimann, et al.
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
LPL Financial LLC
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
Spar Street
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Victoria Chan, Esq.
Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Redwood Wealth Management, LLC and Benjamin Lincoln
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order