A Secure Online Service from Utah.gov

Utah.gov

Public Notice Website

Division of Archives and Records Service

Securities Commission Meeting

General Information

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

Notice Information

Add Notice to Calendar

Notice Title
Securities Commission Meeting
Notice Subject(s)
Securities
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
Description/Agenda
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.
Notice of Special Accommodations (ADA)
Compliant.
Notice of Electronic or Telephone Participation
N/A

Meeting Information

Meeting Location
Division of Securities
160 East 300 South, 4th Floor Hearing Room 403
Salt Lake City, 84111
Show in Apple Maps Show in Google Maps
Contact Name
PBM-00005299
Contact Email
abuchholz@utah.gov
Contact Phone
(801)530-6436

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

Subscribe

Subscribe by Email

Subscription options will send you alerts regarding future notices posted by this Body.