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Department of Commerce:
Securities Commission
Entity: Department of Commerce
Body: Securities Commission
Subject: Securities
Notice Title: Commission Meeting
Notice Type: 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:
Compliant.
Notice of Electronic or telephone participation:
N/A
Other Information
This notice was posted on: May 24, 2016 03:56 PM
This notice was last edited on:
May 24, 2016 03:56 PM
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