2021 Notices and Orders

In the matter of Fx Trader Stock, Richard Greg, and Patricia Patrick – Order to Cease and Desist (1/8/2021)

In the matter of Daniel R. Holtzman, Kadee, LLC, and Crossroads Investments, LLC – Consent Order (1/14/2021)

In the matter of Daniel L. Glazier – Consent Order (1/15/2021)

In the matter of GPB Capital Holdings, LLC, David Gentile, Ascendant Capital, LLC, Ascendant Alternative Strategies, LLC, Jeffry Schneider – Order to Cease and Desist (2/4/2021)

In the matter of Reggie L. Storey, Jr., Wilma D. Storey, Storey Family Farms, LLC, and Elite Board Sports a/k/a Elite Sport Boards – Consent Order (2/11/2021)

In the matter of Cunningham Energy LLC, James Lockhart, Kevin Thibeau, Jan Peter Bolton, Scott Johnson, and Douglas Hardwick – Consent Order (2/17/2021)

In the matter of Jessica Walsh; GSE Properties, LLC; and 544 South Joint Venture – Order to Cease and Desist (2/18/2021)

In the matter of James Hal Heafner, CRD No. 4837072 Administrative Order: Revocation of Broker-Dealer Agent/Investment Adviser Representative Registration (3/4/2021)

In the Matter of Cunningham Energy LLC, James Lockhart, Kevin Thibeau, Jan Peter Bolton, Scott Johnson, and Douglas Hardwick – Consent Order as to Respondent Douglas Harwick (3/18/2021)

In the matter of Cunningham Energy LLC, James Lockhart, Kevin Thibeau, Jan Peter Bolton, Scott Johnson, and Douglas Hardwick – Consent Order as to Respondent Cunningham Energy, LLC (4/14/2021)

In the matter of Javier Restrepo – Consent Order (4/16/2021)

In the matter of Avalon Investment & Securities Group Inc., CRD No. 6281 – Administrative Order: Revocation of Broker-Dealer Registration (5/13/2021)

In the matter of Titus Rockefeller LLC (CRD 43608) – Administrative Order: Revocation of Broker-Dealer Registration (5/13/2021)

In the matter of Trinity Asset Partners, LLC (IARD No. 166360) and Vincent Edward Gahren, (CRD No. 4076025) – Order to Cease and Desist (5/25/2021)

In the matter of Robert J. Edwards, CRD No. 7222825 and E & H Investment Services, LLC IARD No. 307414 – Consent Order (6/29/2021)

In the matter of Stephen P. Wilbourne – Consent Order (7/13/2021)

In the matter of Blue Granite Capital, LLC (CRD No. 125607) – Consent Order (7/28/2021)

In the matter of Ronald Larson, jfaadvisorsllc.com, Julieta Palacios, and longterminvestorsllc.com – Order to Cease and Desist (8/23/2021)

In the matter of J. Christopher Dixon, and Black Harbor Wealth Management, LLC, – Consent Order (8/27/2021)

In the matter of Central Trade & Financial Authority – Order to Cease and Desist (9/17/2021)

In the matter of Lane Elliot Ginsberg (CRD No. 1359972) and Freedom Capital Advisors, LLC (CRD No. 168451) – Consent Order (9/21/2021)

In the matter of Frederick "Fred" Clark Johnson (CRD No. 1220814), Basic Wealth Advisors, Inc. (CRD No. 163998), and Basic Financial Services, Inc – Order to Cease and Desist (10/25/2021)

In the matter of Frederick “Fred” Clark Johnson (CRD No. 1220814), and Basic Wealth Advisors, Inc. (CRD No. 163998) – Administrative Order (10/25/2021)

In the matter of Richard Gary Abend (CRD No. 4689658) – Consent Order (11/12/2021)