Entity: Department of Commerce
Body: Securities Commission
Subject: | Securities |
Notice Title: | Commission Meeting |
Meeting Location: | 160 East 300 South, 2nd Floor Salt Lake City 84111 |
Event Date & Time: |
May 26, 2016 May 26, 2016 09:00 AM - May 26, 2016 11:00 AM |
Description/Agenda: | Utah Securities Commission May 26, 2016 Room 451-9:00 A.M. Agenda Welcome & Call to Order Approval of the March 24, 2016 Minutes Director's Report: Keith Woodwell Expungement Petition Process Update Division Personnel Update Section Reports: Enforcement: Dave Hermansen Compliance: Ken Barton Registration & Licensing: Benjamin Johnson Investor Education: Karen McMullin Education and Training Fund Report: Benjamin Johnson Consideration and Approval of Proposed Orders: Gregory Orville Hatcher: SD-16-0008: Recommended Order on Motion for Default and Order on Motion for Default. Jennifer Korb Gary Allen Lewis and Lewis Transportation Group, LLC: SD-16-0005, SD-16-0006: Recommended Order on Motion for Default and Order on Motion for Default. Jennifer Korb Bret Cartwright and Exceptional Realty: SD-15-0036, SD-15-0037: Recommended Order on Motion for Default and Order on Motion for Default. Jennifer Korb Jason Dwayne Watson and InREFCo, LLC: SD-15-0051, SD-15-0052: Stipulation and Consent Order. Dave Hermansen Legend Securities, Inc.: SD-16-0010: Stipulation and Consent Order. Ken Barton Kelly Thomas Scott: SD-07-0031: Stipulation to Vacate Addendum to Consent Order. Keith Woodwell |
Notice of Special Accommodations: | Compliant. |
Notice of Electronic or telephone participation: | N/A |
Other information: | |
Contact Information: |
Ashlee Buchholz (801)530-6436 abuchholz@utah.gov |
Posted on: | May 24, 2016 03:56 PM |
Last edited on: | May 24, 2016 03:56 PM |