Enforcement Actions Administrative

In the Matter of Lasater Capital, LLC, Shiloh Boone Lasater aka Boone Lasater, and Tie Glenn Lasater: Agreed Order & Undertaking Setting Aside Emergency Order 

In the Matter of the Investment Adviser Representative Registration of Joseph Alotta: Reprimanded and Fined

In the Matter of Lasater Capital, LLC, Shiloh Boone Lasater aka Boone Lasater, and Tie Glenn Lasater: Emergency Cease and Desist Order

In the Mater of BG Wealth Sharing LTD, DSJ Exchange PTY Ltd, GB Wealth Sharing Group LLC, Thaddious Thomas, and Gagandeep Sarkaria: Emergency Cease and Desist Order

In the Matter of E-Estate Group, Inc., Brandon Stephenson, Mike Hamilton, Karoll Peterson, and Darrell Porter: Emergency Cease and Desist Order

In the Matter of JoAriam, LLC and KaRhonda Jewell Bray: Emergency Cease and Desist Order

In the Matter of the Investment Adviser Registration of P&P Wealth Management LLC and the Investment Adviser Representative Registration of Tyre Post: Reprimanded, Suspended, and Undertaking

In the Matter of the Investment Adviser Registration of Aquinas Advisors, LLC and the Investment Adviser Representative Registration of Laurie Ann Mcray: Reprimanded & Undertaking

In the Matter of the Agent Registration of Wang Chang Tsai: Reprimanded and Undertaking with Refund Ordered

In the Matter of the Agent Registration of Ting Chen: Reprimanded and Undertaking with Refund Ordered