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Department of Commerce:
Securities Commission

This notice has been cancelled

Entity: Department of Commerce

Body: Securities Commission

Subject: Securities

Notice Title: Utah Securities Commission

Notice Type: 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:

Compliant.

Notice of Electronic or telephone participation:

N/A

Other Information

This notice was posted on: May 20, 2019 03:12 PM
This notice was last edited on: May 20, 2019 03:12 PM

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