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Securities Commission Meeting

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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
November 29, 2018 09:00 AM
Event End Date & Time
November 29, 2018 12:00 PM
Utah Securities Commission November 29, 2018 9:00 A.M - 12:00 P.M., Room 451 Agenda Welcome & Call to Order Tab 1: Approval of the October 4, 2018 Minutes Director's Report: Tom Brady Section Reports: 1. Enforcement: Francswai Davis 2. Compliance: Ken Barton 3. Registration & Licensing: Nathan Summers 4. Investor Education: Karen McMullin Tab 2: Education and Training Fund Report: Nathan Summers Consideration and Approval of Proposed Orders: Tab 3: Cuso Financial Services, L.P.; SD-18-0017: Stipulation and Consent Order. (Tom M) Tab 4: Aspen Capital Management; SD-18-0003: Stipulation and Consent Order. (Paula) Tab 5: Texas Energy Mutual, LLC; SD-18-0018: Default Order. (Jen) Tab 6: Globa, Inc; Kenneth Ekow Andam; SD-16-0033, SD-16-0034: Order on Motion for Summary Judgment as to Globa, Inc.
Notice of Special Accommodations (ADA)
Notice of Electronic or Telephone Participation

Meeting Information

Meeting Location
160 E 300 S, Second Floor
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 08:38 AM
Notice Last Edited On
November 27, 2018 01:35 PM

Download Attachments

File Name Category Date Added
11.29.2018 SEC Commission Mtg.MP3 Audio Recording 2018/11/30 08:12 AM
Approved Meeting Minutes 10.04.2018.pdf Meeting Minutes 2018/11/30 04:39 PM
Proposed Meeting Minutes 11.29.2018.pdf Meeting Minutes 2019/01/04 08:37 AM
Full Meeting Orders.pdf Other 2018/11/30 01:11 PM


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