Enforcement Actions Administrative

In the Matter of Cliff Rock Capital Management LLC and Charles W. Gorman: Agreed Cease and Desist Order

In the Matter of Modern Oil Ventures, LLC and Marion Don Miller

In the Matter of A&I Lease Service, Inc., and Dora Ozuna

In the Matter of the Application for Agent Registration of Salvatore Clark

In the Matter of the Investment Adviser Registration of Wealth Solutions Inc. and the Investment Adviser Representative Registration of Richard Dwayne Blair: Notice of Hearing to Revoke Registrations

In The Matter of Profitable Sunrise and
Roman Novak: Emergency Cease and Desist Order

In the Matter of the Agent and Investment Adviser Representative Registrations of Katherine Cannon Zamora: Suspension

In the Matter of The Investment Adviser Registration of Warner Financial Group, Inc. and The Investment Adviser Representative Registration of Mark Taylor Warner: Reprimand, Fine

In the Matter of the Agent and Investment Adviser Representative Registrations of John Edward Sprague: Suspension

In the Matter of Caroline B. Berthelot