2025 Notices and Orders

Regulatory Orders

Order 25002, Investment Adviser Representative Continuing Education Requirement - (11/4/2025)

Enforcement Orders

In the matter of Coinbase Global, Inc.; and Coinbase, Inc. – Joint Stipulation to Dismiss and Vacate Order - (3/27/2025)

In the matter of Raymond Restrepo a/k/a Raymond Restrepo Correa a/k/a Raymond Correa a/k/a Raymond Joseph Restrepo a/k/a Raymond Parsons a/k/a Raymond Joseph Parsons a/k/a Joseph Parsons a/k/a Davis Parsons a/k/a Raymond David Parsons; and Fargo Renewables Inc. a/k/a Fargo Renewables Engineering Group Inc. – Order to Cease and Desist - (4/15/2025)

In the matter of Charles "Chuck" D. Oliver; and American Equity Advisory Group, LLC d/b/a The Hidden Wealth Solution f/k/a The Hidden Wealth System – Consent Order - (4/22/2025)

In the matter of: Educator of Truth, and His or Her Successors, a Corporation Sole, d/b/a Educational Empowerment Corp; and Mark Laurence Donald Emerson,  Respondents. Order to Cease and Desist - (5/13/2025)

In the matter of: Nova Tech, Ltd. a/k/a NovaTech, Ltd,; Cynthia Petion; and Eddy Petion, Respondents. Order to Cease and Desist - (5/22/2025)

In the matter of: Lawrence S, Cowan a/k/a Lawrence S. Cowan, Jr. a/k/a Larry Cowan; and Imeritus SPX, LLC, f/k/a Imeritus XPS, LLC, f/k/a Imeritus Brokerage and Financial Advisory, LLC, Respondents. Order to Cease and Desist - (5/22/2025)

In the matter of: Michael J. French; MJF Holdings, LLC; and MJF Capital, LLC, Respondents. Order to Cease and Desist - (6/18/2025)

In the matter of: EIX Acquisition Company, Corp., EIX Capital Management Corp., and Elijah' Isaiah X, Respondents. Order to Vacate the July 28, 2022 Consent Order - (6/19/2025)

In the matter of: James E. Montgomery; and the Alice and Marie Investment Club, LLC; Respondents. Order to Cease and Desist - (6/25/2025)

In the matter of: Dublin Finance Associates, LLC; Thomas W. Janes; Commonwealth Botanicals, LLC; and Dean Douglas Porter, Respondents. Consent Order as to Respondents Commonwealth Botanicals, LLC and Dean Douglas Porter -  (7/22/2025)

In the matter of: Vanguard Marketing Corporation (CRD No. 7452); and The Vanguard Group, Inc. (CRD No. 105958), Respondents. Consent Order - (8/4/2025)

In the matter of: Educator of Truth, and His or Her Successors, a Corporation Sole, d/b/a Educational Empowerment Corp; and Mark Laurence Donald Emerson, Respondents.  Consent Order (8/4/2025)

Commodity Futures Trading Commission et al., Plaintiffs, v. Safeguard Metals LLC and Jeffrey Ikahn (a/k/a Jeffrey S. Santulan and Jeff Hill), Defendants. Final Judgment Ordering Restitution and A Civil Monetary Penalty Against Defendants (9/30/2025)