9:00 a.m.
- Welcome and call to order by Commission Chair
- Introduction to the new Securities Director by Margaret Busse
Agenda Items
1. Approval of January 16, 2025, meeting minutes
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2. Grant request (School of Financial Planning)
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3. Investor Education Fund Report (by Aaron Burgoyne)
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4. Consideration and Approval of Proposed Orders
PROPOSED ORDER CASE # CASE NAME (In the matter of..) PRESENTER
Stipulation and Consent Order, SD-24-0067 SD-24-0068 Kody E. Rogers, WMX Advisors LLC, DBA Wealth Management Experience, IARD Chip Lyons
Stipulation and Consent Order SD-25-0004 SD-25-0005 Vanguard Marketing Corporation and the Vanguard Group Inc Chip Lyons
Default Findings of Fact, Conclusions of Law,
and Recommended Order
Default Order of Adjudication SD-24-0066 Maria Guadalupe Maynes Jennifer Korb
HEARING
10:00 a.m. Administrative Hearing on the JTMK cases:
- SD-24-0041 - PTC JTMK Group
- SD-24-0042 - Bruce W. Anderson
- SD-24-0043 - Robert Yukes
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 Sabrina Afridi, ADA Coordinator, Division of Securities, PO Box 146760, 160 East 300 South, Salt Lake City, Utah 84114-6760, Phone 801-530-6436, at least three (3) working days prior to the meeting.