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General Information

Government Type
State Agency
Department of Commerce
Public Body
Securities Commission

Notice Information

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Notice Title
Securities Commission Meeting
Notice Subject(s)
Notice Type(s)
Notice, Meeting
Event Start Date & Time
October 4, 2018 09:00 AM
Event End Date & Time
October 4, 2018 12:00 PM
Utah Securities Commission October 4, 2018 9:00 A.M - 12:00 P.M., Room 403 Agenda Welcome & Call to Order Tab 1: Approval of the August 2, 2018 Minutes Director's Report: Tom Brady Section Reports: 1. Enforcement: Dave Hermansen 2. Compliance: Ken Barton 3. Registration & Licensing: Bryan Cowley 4. Investor Education: Karen McMullin Tab 2: Education and Training Fund Report: Bryan Cowley Tab 3: Grant Request - Wayne Brown Institute DBA Venture Capital ($20,000) Consideration and Approval of Proposed Orders: Tab 4: Globa, Inc; Kenneth Exow Andam; SD-16-0033, SD-16-0034: Order on Motion for Summary Judgment. (Jen) Tab 5: Lloyd B. Sharp, SD-17-0050: Order of the Commission. (Paula) Tab 6: Utah Gold and Silver Depository, LLC; Craig Anthony Franco; SD-14-0019, SD-14-0020, SD-16-0035 and SD-16-0036: Finds of Fact, Conclusion of Law and Order as to the Amount of the Fine to be Imposed Against Respondents. (Jen) Tab 7: Stephen Brandley; James Cameron Lee; Clearwater Funding, LLC; SD-16-0039, SD-16-0040 and SD-0041: Finds of Fact, Conclusion of Law and Order as to Amount of Fine Imposed Against Respondents. (Jen) Tab 8: Matthew Hal Marchbanks, SD-18-0028: Stipulation and Consent Order. (Liz/Paula) Tab 9: Kenneth Boyce SD-18-0034: Stipulation and Consent Order. (Ken/Paula) Tab 10: LPL Financial LLC, CRD #6413, SD-18-0013 (Tom M./Jen) Hearing Schedule: 10:00: In the matter of National Gold, Inc. RE: Lloyd B. Sharp, SD-17-050: Order of the Commission.
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Meeting Information

Meeting Location
Division of Securities
160 East 300 South, 4th Floor Hearing Room 403
Salt Lake City, 84111
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Contact Name
Ashlee Buchholz
Contact Email
Contact Phone

Notice Posting Details

Notice Posted On
January 23, 2018 08:33 AM
Notice Last Edited On
October 01, 2018 11:00 AM

Download Attachments

File Name Category Date Added
10.04.2018 SEC Comm Full Meeting.mp3 Audio Recording 2018/10/10 01:49 PM
Tab 1 - Approved Meeting Minutes from 8-2-2018.pdf Meeting Minutes 2018/10/10 01:49 PM
Proposed Utah Division of Securities Commission Minutes.pdf Public Information Handout 2018/10/10 04:56 PM
Commission Orders 10.04.2018.pdf Other 2018/10/10 01:49 PM


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