2017 Notices and Orders

In the matter of Bruce Michael Weinstein – Administrative Order (1/20/17)

In the matter of ACAP Financial, Inc. – Administrative Order (1/20/17)

In the matter of Lawson Financial Corporation – Administrative Order (2/6/17)

In the matter of John Sherman Jumper – Administrative Order (2/17/17)

In the matter of Drummond & Associates Financial Services, LLC and Calvert Drummond – Order to Cease and Desist (2/23/17)

In the matter of M&T Capital Group, Inc. and Marquis Rashawn Jones – Order to Cease and Desist (2/23/17)

In the matter of John Terrance Dast – Order to Cease and Desist (3/17/17)

In the matter of Elisa Brown and Mary’s Lighthouse – Order to Cease and Desist (3/17/17)

In the matter of Joseph Pickney Davis, III and DWM Advisers, LLC (d/b/a Davis Wealth Management) – Consent Order (3/17/17)

In the matter of Paul E. Walker, Jr. – Consent Order (3/20/17)

In the matter of Conestoga Trust – Consent Order (3/23/17)

In the matter of WealthBuilders.Name, LLC and John Lee Huffman – Order to Cease and Desist (4/12/17)

In the matter of Wealthbuilders.Name, LLC, John Lee Huffman – Consent Order (6/6/17)

In the matter of Dunes Securities Corporation – Consent Order (6/29/17)

In the matter of SagePoint Financial, Inc. – Consent Order (8/4/17)

In the matter of Redworc Technologies, LLC and Robert L. Crowder Jr. – Order to Cease and Desist (8/9/17)

In the matter of Binary Book – Order to Cease and Desist (8/9/17)

In the matter of Kim Dee Isaacson – Administrative Order (8/9/17)

In the matter of Arthur Vann – Consent Order (9/19/17)

In the matter of KPM Financial, LLC – Order and Rule to Show Cause (10/11/17)

In the matter of KPM Financial, LLC – Summary Suspension (10/11/17)

In the matter of John N. Cucinella and Mackrow Asset Management Group, Respondents -Consent Order (10/19/17)

In the matter of Wilbanks Securities, Inc. – Administrative Order (12/11/17)

In the matter of KPM Financial, LLC – Administrative Order (12/13/17)

In the matter of Henry Al Dean Watson – Administrative Order (12/14/17)

In the matter of Laurence C. Pettit, III – Administrative Order (12/15/17)

 

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Columbia, SC

Rembert Dennis Building | 1000 Assembly Street,

Room 519 | Columbia, S.C. 29201

Phone: 1-803-734-3970 | Fax: (803) 253-6283

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