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General Information

Government Type
State Agency
Entity
Department of Commerce
Public Body
Securities Commission

Notice Information

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Notice Title
Commission Meeting
Notice Subject(s)
Securities
Notice Type(s)
Notice, Meeting
Event Start Date & Time
May 26, 2016 09:00 AM
Event End Date & Time
May 26, 2016 11:00 AM
Description/Agenda
Utah Securities Commission May 26, 2016 Room 451-9:00 A.M. Agenda Welcome & Call to Order Approval of the March 24, 2016 Minutes Director's Report: Keith Woodwell Expungement Petition Process Update Division Personnel Update Section Reports: Enforcement: Dave Hermansen Compliance: Ken Barton Registration & Licensing: Benjamin Johnson Investor Education: Karen McMullin Education and Training Fund Report: Benjamin Johnson Consideration and Approval of Proposed Orders: Gregory Orville Hatcher: SD-16-0008: Recommended Order on Motion for Default and Order on Motion for Default. Jennifer Korb Gary Allen Lewis and Lewis Transportation Group, LLC: SD-16-0005, SD-16-0006: Recommended Order on Motion for Default and Order on Motion for Default. Jennifer Korb Bret Cartwright and Exceptional Realty: SD-15-0036, SD-15-0037: Recommended Order on Motion for Default and Order on Motion for Default. Jennifer Korb Jason Dwayne Watson and InREFCo, LLC: SD-15-0051, SD-15-0052: Stipulation and Consent Order. Dave Hermansen Legend Securities, Inc.: SD-16-0010: Stipulation and Consent Order. Ken Barton Kelly Thomas Scott: SD-07-0031: Stipulation to Vacate Addendum to Consent Order. Keith Woodwell
Notice of Special Accommodations (ADA)
Compliant.
Notice of Electronic or Telephone Participation
N/A

Meeting Information

Meeting Location
160 East 300 South, 2nd Floor
Salt Lake City, 84111
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Contact Name
Ashlee Buchholz
Contact Email
abuchholz@utah.gov
Contact Phone
(801)530-6436

Notice Posting Details

Notice Posted On
May 24, 2016 03:56 PM
Notice Last Edited On
May 24, 2016 03:56 PM

Download Attachments

File Name Category Date Added
Audio_2016-05-26.MP3 Audio Recording 2016/05/27 11:08 AM
Minutes_2016-05-26.pdf Meeting Minutes 2016/06/29 08:40 AM
Approved Minutes_2016-05-26.pdf Meeting Minutes 2016/08/05 07:59 AM
Orders_2016-05-16.pdf Other 2016/05/27 11:08 AM


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