2019 Notices and Orders

In the matter of LPL Financial, LLC – Consent Order (2/14/19)

In the matter of LPL Financial, LLC – Consent Order (3/21/19)

In the matter of Future Income Payments, LLC; FIP, LLC and Scott A. Kohn – Order to Cease and Desist (4/4/19)

In the matter of Intertech Solutions, Inc. (f/k/a Amwest Imaging, Inc.) Dback Capital Inc., Sddmf, Inc., Cielo, LLC, 12 Pence Consulting, LLC, Robert McIntosh, David M. Naylor, Kenneth Edward Shelton, Joel C. Duncan, Daniel Thomas Broyles, Sr., William Roth (a/k/a Bill Roth, a/k/a Billy Roth, a/k/a Al Green), and Craig Wiita – Order to Cease and Desist (4/22/19)

In the matter of James Adams Paquette – Administrative Order (5/1/19)

In the matter of Mark Steven Rogers – Administrative Order (5/1/19)

In the matter of Go Forex Group, Mary A. Scott, and Sharon Henderson – Order to Cease and Desist (6/5/19)

In the matter of John M. McIntyre and Silver Oak Land Management, LLC – Notice

In the matter of Woodbridge Group of Companies, LLC – Consent Order (8/5/19)