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Department of Commerce
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Securities Commission

Notice Information

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Notice Title
Commission Meeting
Notice Subject(s)
Notice Type(s)
Event Start Date & Time
January 26, 2017 09:00 AM
Event End Date & Time
January 26, 2017 12:00 PM
Utah Securities Commission January 26, 2017 Room 451-9:00 A.M. Agenda Welcome & Call to Order Approval of the September 22, 2016 Minutes Director's Report: Keith Woodwell 2017 Meeting Dates Additional Commission Meeting - April 27 and 28 (Hearing) 2017 Legislative Session Section Reports: Enforcement: Dave Hermansen Compliance: Ken Barton Investor Education: Karen McMullin Registration & Licensing (Tab 3): Benjamin Johnson Grant Application: AARP Utah ($20,000): Laura Polacheck Education and Training Fund Report: Benjamin Johnson Consideration and Approval of Proposed Orders: David Lyle Turner; SD-14-0053: Stipulation and Consent Order. Wayne Jones Artisan Group, LLC; Kenneth Eugene North d.b.a. New Century, New Century Funding, Inc.; SD-11-0046, SD-0047: Stipulation and Consent Order. Wayne Jones Jeffrey Larson; Peak Assessment Management, LLC; SD-16-0044, SD-16-0045: Order on Motion for Default. Jen Korb Robert L. Duvalois; RD3, Inc.; Jason Schwarz, SD-16-0022 SD-16-0023, SD-16-0024: Stipulation and Consent Order: Russ Bulloch Walter Frederick Schwarz; Lone Peak Asset Management, Inc, SD-16-0020, SD16-0021: Stipulation and Consent Order: Russ Bulloch John Jacob Ashton: SD-16-0016: Stipulation and Consent Order: Tom Melton/Ken Barton
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Notice of Electronic or Telephone Participation

Meeting Information

Meeting Location
Heber M. Wells Building
160 East 300 South, Room 451
Salt Lake City, UT, 84111
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Notice Posting Details

Notice Posted On
January 23, 2017 12:48 PM
Notice Last Edited On
February 23, 2017 10:48 AM

Download Attachments

File Name Category Date Added
Audio_2017_01-26.mp3 Audio Recording 2017/01/30 07:48 AM
Orders_2017_01_26.pdf Audio Recording 2017/01/30 07:49 AM
Final Minutes_01_26_2017.pdf Meeting Minutes 2017/03/27 09:00 AM


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