Utah Securities Commission

This notice has been cancelled.

Notice Title: Utah Securities Commission
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
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 Location: 160 East 300 South
Salt Lake City, 84111
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Contact Name: Ashlee Buchholz
Contact Email: abuchholz@utah.gov
Contact Phone: (801)530-6436

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