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Securities Commission Meeting

General Information

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

Notice Information

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Notice Title
Securities Commission Meeting
Notice Subject(s)
Securities
Notice Type(s)
Meeting
Event Start Date & Time
May 23, 2019 09:00 AM
Event End Date & Time
May 23, 2019 12:00 PM
Event Deadline Date & Time
05/20/19 01:00 AM
Description/Agenda
Utah Securities Commission May 23, 2019 9:00 A.M - 12:00 P.M., Room 451 Agenda Welcome & Call to Order Swearing in of Lyndon Ricks, New Division of Securities Commissioner: Tom Brady Gift presentation Brent R. Baker Tab 1: Approval of the March 21, 2019 Minutes Director's Report: Tom Brady Section Reports: 1. Enforcement: Dave Hermansen 2. Compliance: Ken Barton 3. Registration & Licensing: Bryan Cowley 4. Investor Education Report: Dee Johnson Tab 2: Education and Training Fund Report: Bryan Cowley Tab 3: Grant Request: Utah Financial Empowerment Coalition ($5,000), Junior Achievement ($5,000) & AARP ($20,000) Consideration and Approval of Proposed Orders: Tab 4: Austin Raught, SD-19-0013: Stipulation and Consent Order. (Francswai) Tab 5: Carlos Rodriguez, SD-19-0008: Stipulation and Consent Order. (Francswai) Tab 6: Richard Justin Pupunu, SD-19-0006: Stipulation and Consent Order (Francswai) Tab 7: Manly Logan, SD-14-0028: Order on Motion for Summary Judgment as to Manly E. Logan. (Paula) Hearings Scheduled Clint Nordahl, SD-18-0042: Fine determination. (Jen)
Notice of Special Accommodations (ADA)
Compliant.
Notice of Electronic or Telephone Participation
N/A

Meeting Information

Meeting Location
160 E Broadway RM 451
Salt Lake City, 84111
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Contact Name
PBM-00005299
Contact Email
abuchholz@utah.gov
Contact Phone
(801)530-6436

Notice Posting Details

Notice Posted On
January 04, 2019 08:52 AM
Notice Last Edited On
May 22, 2019 02:41 PM
Deadline Date
May 20, 2019 01:00 AM

Download Attachments

File Name Category Date Added
Audio1 - 05-23-2019.MP3 Audio Recording 2019/05/23 01:28 PM
Audio2 - 05-23-2019.MP3 Audio Recording 2019/05/23 01:28 PM
Approved Minutes from 03-21-2019.pdf Meeting Minutes 2019/05/23 01:04 PM
Combined Signed Orders from 05-23-2019.pdf Other 2019/05/28 10:10 AM
Proposed Minutes 05-23-2019 meeting edited.pdf Other 2019/06/03 03:53 PM

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