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Department of Commerce:
Securities Commission

Entity: Department of Commerce

Body: Securities Commission

Subject: Securities

Notice Title: Securities Commission Meeting

Notice Type: 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:

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

Other Information

This notice was posted on: November 04, 2019 04:50 PM
This notice was last edited on: November 04, 2019 04:50 PM

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