Nevada Secretary of State
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Administrative Orders
|
NAME |
BUSINESS NAME |
DESCRIPTION |
CASE NUMBER |
VIEW DOCUMENT |
| Donlad Edmund Cody | Global Macro Asset Management, LLC | Administrative Consent Order | CIC24-229 |
06/30/2025 |
| Ching Yit Lim & Susan Su | B9 Crypto a/k/a Coin 9 Technology CO. LTD. | Final Order to Cease and Desist | INV23-172 |
06/05/2025 |
| Randy C. Norton | Multigreen Properties, LLC | Final Order to Cease and Desist |
INV23-178 |
06/08/2025 |
| Nusheen Rena Javadizadeh | RJJ Pasadena Securities, Inc. | Administrative Consent Order | CIC23-111 |
04/18/2025 |
| Vanguard Marketing, Corp & The Vanguard Group, Inc. | Administrative Consent Order | INV25-005 |
04/10/2025 |
|
| Anthony Allen Anderson | True Bullion, LLC | Administrative Consent Order | INV24-263 |
04/08/2025 |
| Steven James Susoeff | Administrative Consent Order | INV24-102 |
03/25/2025 |
|
| Gregory Gianakis | Infinity Wealth Coaching | Administrative Consent Order | CIC24-227 |
01/23/2025 |
| Edward D. Jones & CO., L.P. | Administrative Consent Order | INV23-171 |
12/20/2024 |
|
| Harold Aldonzo Green | Brightree Wealth Management, LLC | Administrative Consent Order |
CIC24-120 |
12/20/2024 |
| Tradestation Crypto, Inc. | Administrative Consent Order | INV24-236 |
10/09/2024 |
|
| Jayson Robert Pocius | Final Order | INV24-037 |
09/17/2024 |
|
| David Patrick Bray | Bray Capital Group, LLC | Administrative Consent Order |
CIC23-168 |
05/17/2024 |
|
Bankers Life & Casuality Co. BLC Financial Services, Inc. |
Administrative Consent Order |
INV23-067 |
04/09/2024 |
|
| Robinhood Financial, LLC | Administrative Consent Order |
INV23-136 |
02/20/2024 |
|
| Raymond James & Associates, Inc. & Raymond James Financial Services, Inc. | Administrative Consent Order | INV23-174 |
02/28/2024 |
|
|
Benjamin Cawley & Kris Holm |
Holm & Cawley Financial Group, LLC | Administrative Consent Order | CIC23-155 |
01/29/2024 |
| Melissa Hope Matson | Melissa Matson, LLC | Administrative Consent Order | CIC23-151 |
01/25/204 |
| Christopher Joseph Delellis & Roger Alan Wittenberg | Bodhi Tree Capital Management, LLC | Administrative Consent Order |
CIC23-146 |
02/05/2024 |
| De Gao | Goa Management, LLC | Administrative Consent Order | CIC23-143 |
02/05/2024 |
| Daurene Lee | DLLH, LLC dba GSP Financial Strategies | Administrative Consent Order | CIC23-016 |
02/20/2024 |
| Alexander Leonhard Kasper | Kasper, Alexander L | Administrative Consent Order | CIC22-035 | Kasper, Alexander L 07/17/2023 |
| Russell Lewis Brown | RNA Financial, dba RNA Retirement, Inc. | Administrative Consent Order | INV23-020 | RNA Financial 07/05/2023 |
| Mark Laurence Donald Emerson |
Educator of Truth, & His or Her Successors, A Corporate Sole | Order Disallowing Exemption | E23-00474 | Educator of Truth 02/16/2023 |
| Thomas Becker |
Wellington Sports Club, LLC Einstein Sports Advisory, LTD Welscorp, Inc. |
Nunc Pro Tunc & Order to Withdraw Complaint |
INV19-121 | Thomas Becker 01/11/2023 |
| Ryan Alejandro Burneo | Final Order | INV21-206 | Burneo 08/12/2022 | |
| Thomas James Wise | Wise Wealth Solutions, LLC | Administrative Consent Order | CIC21-151 | Wise 07/15/2022 |
| Christopher Dino Paganelli |
Paganelli Enterprises, LLC AP Hedge a/k/a APHEDGE, a/k/a Advantage Player Hedge |
Final Order | INV21-191 |
Paganelli 05/13/2022 |
| Anthony (Tony) DePasquale | Elysien Private Wealth | Administrative Consent Order |
CIC17-159 | Elysien 04/21/2022 |
| Telecentris, Inc. | Administrative Consent Order | INV19-093 | Telecentris 03/21/2022 | |
| Gregory Gianakis | Infinity Wealth Coaching, LLC | Administrative Consent Order | CIC21-148 | Infinity 03/21/2022 |
| Blockfi Lending, LLC | Administrative Consent Order | INV21-156 | Blockfi 03/15/2022 | |
| Christopher Dino Paganelli | Paganelli enterprises, LLC | Summary Order | INV21-191 | Paganelli 01/25/2022 |
| Ryan Alejandro Burneo | Summary Order | INV21-206 | Burneo 01/25/2022 | |
| John Dillon | Kalos Capital, Inc. | Administrative Consent Order | CIC17-027 | Kalos 01/06/2022 |
| Ameritas Investment Company, LLC | Administrative Consent Order | CIC20-140 | Ameritas 01/06/2022 | |
| Lawrence Burton Goldstein | McNally Financial Services | Administrative Consent Order | INV21-090 | McNally 12/30/2021 |
| James Patrick Moultrup |
Moultrup Wealth Management, LLC | Administrative Consent Order | CIC21-131 | Moultrup 12/30/2021 |
| Vicki Lynn Willie |
Randolph & Associates, LLC | Administrative Consent Order | CIC21-087 | Randolph 11/12/2021 |
| John Moir |
Wavetech Enterprises, LLC Del Mar Investments, Inc |
Administrative Consent Order | INV17-018 | Wavetech11/05/2021 |
|
Apache Mill Tailings 777 International Holdings, Inc. |
Administrative Consent Order | INV18-062 | Apache 10/26/2021 | |
| Robert Patrick Baffa | Cubed Systems | Administrative Consent Order | CIC21-001 | Cubed 10/11/2021 |
| Javelin San Nicolas | Final Order to Revoke License | INV20-096 |
Javelin 09/07/2021 | |
| Stephen Fred Conte | Conte Asset Management, LLC |
Administrative Consent Order | CIC21-094 | Conte 08/27/2021 |
| Brian Wittman | Brian A Wittman Investment Counsel, LLC dba Wittman Capital Management Investment & Estate Counsel, LLC | Administrative Consent Order | INV16-157 | Wittman 08/09/2021 |
| Edward Jones & Co. L.P. | Administrative Consent Order | INV20-096 | Edward 08/06/2021 | |
|
Michael B. Eckerman Robert Payne Dustin Klein |
Novus Dia, LLC dba Novus Dia Financial NV Property 1 & NDF Capital Holdings |
Cease and Desist Order | INV13-196 |
Novus Dia 04/26/2021 |
| Todd Charles Bauman | Bauman Advisory Group, LLC | Administrative Consent Order | CIC20-116 |
Bauman 04/05/2021 |
| Erik Allison | EA Wealth Management | Administrative Consent Order | CIC20-066 | EA Wealth 03/29/2021 |
| Michael Charles McDermott |
Conestoga Settlement Services, LLC Conestoga International, LLC Conestoga Trust Services, LLC Conestoga Trust |
Administrative Consent Order | INV19-061 | Conestoga 03/15/2021 |
|
Alexis Grace Snyder Stanton Charles Snyder |
Wes State Lands | Administrative Consent Order | INV 17-138 | Wes State 01/22/2021 |
| Richard Hanseen | Strategic Wealth Advisors, LLC | Administrative Consent Order |
CIC16-061 CIC20-081 |
Hanseen 01/11/2021 |
| Brent W. Barnes | Administrative Consent Order | INV20-054 | Barnes 12/28/2020 | |
| Silverbrook Capital, LLC | Administrative Consent Order | CIC20-108 | Silverbrook 12/20/2020 | |
| Jonathan Mark January |
Global Macro Asset Management, LLC | Administrative Consent Order | CIC20-058 | Global 10/26/2020 |
| Cobb Hoskins Sadler | Catamount Strategic Advisors, LLC | Administrative Consent Order | CIC19-081 | Catamount 09/03/2020 |
| Mahlon Ray Edwards, Jr. |
NTACT Retirement Solutions Mahlon R. Edwards Financial Planning & Investment Strategies, Inc. |
Administrative Consent Order |
CiC20-030 | Mahlon 09/03/2020 |
| James Petrizzo | Cuna Brokerage Services, Inc. | Administrative Consent Order | INV20-022 | Cuna 08/06/2020 |
| Sung Hoon aka Thomas O | Ration Financial Holdings, dba Ration Capital | Administrative Consent Order | CIC18-174 | Ratio 07/28/2020 |
| Zhong Lin |
Investpro Investments I, LLC Symphony City Centre, LLC |
Administrative Consent Order | INV18-154 | Zhong Lin 07/20/2020 |
| Scott Duane Gardner | Sterling Wealth Management, LLC | Administrative Consent Order | CIC19-127 | Sterling 07/20/2020 |
| William Paul Stern | Stern Brothers Asset | Administrative Consent Order | CIC19-009 | Stern 07/13/2020 |
| Michael Clough |
Sports Bet Brokers Sport Brokers Sportivo Circles Network, LLC |
Final order to Cease and Desist & Revocation of Statutory Registration Exemptions |
INV20-039 | Sports Brokers 06/19/2020 |
| David Patrick Bray | Bray Capital Group, LLC | Administrative Consent Order | CIC19-139 | Bray 06/12/2020 |
| Melissa Gruber Attanasio | Abundant Wealth Strategies | Administrative Consent Order | CIC19-135 | Abundant 06/11/2020 |
| Ian Tomlinson | First Choice Financial Planning, LLC | Administrative Consent Order | CIC15-063 | First Choice 06/08/2020 |
| Ronak V. Patel | Solium Financial Services, LLC | Administrative Consent Order | INV19-088 | Solium 05/04/2020 |
| Robert Bixby Green | Cojo Bay Advisors, LLC | Administrative Consent Order | CIC19-082 | Cojo 04/21/2020 |
| John Uranga |
NVSG702, LLC NVSG, LLC Silverstate702, LLC Silverstate Consultant |
Final Order to Cease and Desist | INV18-146 | Uranga 03/30/2020 |
| Cory Alexnader Semel | Nunc Pro Tunc | INV18-164 | Semel 03/25/2020 | |
| Gregory Thomas Dean | Final Order | INV19-090 | Dean 03/17/2020 | |
| Danielle Husser Berhane |
Zillionaire Empress Berhane Management Firm, dba Eureka Corporation Administration |
Final Order to Cease and Desist | INV18-185 | Zillionaire 02/18/2020 |
| Marcos Tamayo-Martinez Lisanna Corto | Bored at Work | Final Order to Cease and Desist | INV17-052 | Bored 10/22/2019 |
| Peter H. Kingman |
Fraser Landmark, LLC Fraser Advisors |
Administrative Consent Order | INV16-219 | Kingman 10/10/2019 |
| Norman R. Flemens | Capital Strategies International, LLC | Administrative Consent Order | INV15-125 | Flemens 07/31/2019 |
| Annie C. Evans | Summerlin Family Wealth, LLC | Administrative Consent Order | CIC17-024 | Evans 06/29/2019 |
| Peak Brokerage Services, LLC | Administrative Consent Order | CIC17-076 | Peak 06/21/2019 | |
| Perry C. Santillo Jr. |
High Point Insurance Solution, Advice, and Life Group, LLC High Point Insurance Solutions, First Nationale Solution, LLC |
Final Order to Cease and Desist | INV18-022 | Santillo 04/26/2019 |
| Griffin Michael Kirsch | GK Wealth Management, LLC | Administrative Consent Order | IA-2421 | Kirsch 04/26/2019 |
| Rebecca Buckley | Strategic Portfolio Advisors | Administrative Consent Order | CIC17-038 | Buckley 04/09/2019 |
| Chelsa Tomaquin | Chels Wellness International Corporation | Final Order to Cease and Desist | INV18-101 | Chels 02/08/2019 |
| Oppenheimer and Co, Inc. | Administrative Consent Order | I16-116 |
Oppenheimer 11/20/218 |
|
| LPL Financial, LLC | Administrative Consent Order | INV18-104 | LPL 11/13/2018 | |
| G.F. Investment Services, LLC |
Administrative Consent Order |
I14-275 |
G.F. 09/04/2018 |
|
| Christopher Bennett | MWF Consulting Solutions, LLC | Administrative Consent Order | CI16-132 | MWF 08/27/2018 |
| NY Life Distributors, LLC | Administrative Consent Order | I15-038 | NY Life 08/27/2018 | |
| Brandon Carl Rudolph | Final Order Barring License From Securities Industry | INV18-089 | Rudolph 08/06/2018 | |
| Glen Thomas Klupsak | Beacon Bay Asset Management, LLC | Administrative Consent Orde | I16-218 | Beacon 07/31/2018 |
| Scott Gardner | Sterling Wealth Management, LLC | Administrative Consent Order | IA-2345 | Sterling 07/30/2018 |
| Morgan Stanley Smith Barney |
Administrative Consent Order | CI15-024 | Morgan 07/26/2018 | |
| Raleigh E. Kraft | H. Beck, Inc. | Administrative Consent Order | S18-16 | Kraft 06/04/2018 |
| Doyle Brown |
Windrose Retirement Income Planners, INC. |
Administrative Consent Order | CI17-065 | Windrose 05/09/2018 |
| Wells Fargo Clearing Services, LLC | Administrative Consent Order | CI15-011 &CI15-013 | Wells 04/13/2018 | |
| Robert Giel |
Robert Giel d/b/a American Investment Fund | Administrative Consent Order | I15-028 |
Giel 04/13/2018 |
| ICMA- RC Services, LLC | Administrative Consent Order | I15-052 | ICMA 03/29/2018 | |
| Robert Patrick Baffa, Jr. | Cubed Sytems | Administrative Consent Order | Ci16-216 | Cubed 03/14/2018 |
| Julia Sohn | Administrative Consent Order | CI16-210 | Sohn 03/14/2018 | |
| Securities America | Administrative Consent Order | INV17-161 | Securities 03/05/2018 | |
| Steve Susoeff | Steve Susoeff, LLC d/b/a Meritage Fianancial Group | Administrative Consent Order | CI16-013 | Susoeff 03/05/2018 |
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