Securities Commission Meeting
General Information
- Government Type
- State Agency
- Entity
- Department of Commerce
- Public Body
- Securities Commission
Notice Information
- Notice Title
- Securities Commission Meeting
- Notice Subject(s)
- Securities
- Notice Type(s)
- Notice, Meeting, Hearing
- Event Start Date & Time
- November 7, 2019 09:00 AM
- Event End Date & Time
- November 7, 2019 12:30 PM
- Description/Agenda
- WELCOME & CALL TO ORDER TAB 1: Approval of August 7, 2019 Minutes Section Reports: Enforcement - Dave Hermansen Compliance - Ken Barton Registration & Licensing - Bryan Cowley Investor Education - Dee Johnson Director's Report - Tom Brady TAB 2: Education & Training Fund Report/Budget - Bryan Cowley TABS 3-11: Consideration & Approval of Proposed Orders Tab 3: Stipulation & Consent Order, SD-17-0009, Eric Larson Sampson, CRD #3269514, (Presenter: Ken Barton) Tab 4: Stipulation & Consent Order, SD-17-003-0008 Niki Sampson, (Presenter: Ken Barton) Tab 5: Stipulation & Consent Order, SD-19-0009, Fernando DeLuna, (Presenter: Francswai Grayson) Tab 6: Stipulation & Consent Order, SD-19-0016, ProLung, Inc; Clark A. Campbell, (Presenter: Francswai Grayson) Tab 7: Stipulation & Consent Order, SD-19-0017, ProLung, Inc; Tim Treu Francswai, (Presenter: Francswai Grayson) Tab 8: Stipulation & Consent Order, SD-19-0018, ProLung, Inc; Todd Mark Morgan, (Presenter: Francswai Grayson) Tab 9: Stipulation & Consent Order, SD-19-0019, ProLung, Inc; Robert Raybould; (Presenter: Francswai Grayson) Tab 10: Motion for Default, SD-19-0024-0025, Che Financial Research, LLC & William Ray Clemons (Presenter: Paula Faerber). Tab 11: Default Order, SD-19-0024-0025, Che Financial Research, LLC & William Ray Clemons (Presenter: Paula Faerber) HEARINGS SCHEDULED 10:00AM ProLung, Inc. & Jared Bauer (SD-19-0014-0015) - Tom Melton
- Notice of Special Accommodations (ADA)
- In compliance with the Americans with Disabilities Act, individuals needing special accommodations (including auxiliary communicative aids and services) during this meeting should notify ADA Coordinator at least three working days prior to the meeting. Mailing Address: ATTN: ADA Coordinator Division of Securities PO Box 146760 Salt Lake City, Utah 84114-6711 Phone: 801.530.6600
- Notice of Electronic or Telephone Participation
- N/A
Meeting Information
- Meeting Location
-
160 E 300 S
Room 451
Salt Lake City , 84111
Show in Apple Maps Show in Google Maps - Contact Name
- Ashlee Buchholz
- Contact Email
- abuchholz@utah.gov
- Contact Phone
- (801)530-6436
Notice Posting Details
- Notice Posted On
- November 04, 2019 04:50 PM
- Notice Last Edited On
- January 07, 2020 12:03 PM
Download Attachments
| File Name | Category | Date Added |
|---|---|---|
| 11072019_SCMeeting_Recording.MP3 | Audio Recording | 2020/01/06 11:38 AM |
| 11072019_SCHearing_Recording.MP3 | Audio Recording | 2020/01/06 11:39 AM |
| Approved Minutes - Aug 7 2019.pdf | Meeting Minutes | 2019/12/16 12:57 PM |
| 11072019_SCM_Pending_Minutes.pdf | Meeting Minutes | 2020/01/07 12:03 PM |
| Agenda 11.07.2019_Updated.pdf | Other | 2019/11/05 10:00 AM |
| Executed_Orders_2019-11-07.pdf | Other | 2020/01/06 11:41 AM |
Subscribe
Subscribe by Email
Subscription options will send you alerts regarding future notices posted by this Body.