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: Zoe Gomez
(801)530-6436
zoeg@utah.gov
Posted on: May 24, 2016 03:56 PM
Last edited on: May 24, 2016 03:56 PM

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