Entity: Department of Commerce

Body: Securities Commission

Subject: Securities
Notice Title: Meeting
Meeting Location: Heber Wells Building
160 East 300 South, 2nd Floor
Salt Lake City, UT    84111
Event Date & Time: August 4, 2016
August 4, 2016 09:00 AM - August 4, 2016 12:00 PM
Description/Agenda:
                        Utah Securities Commission
August 4, 2016
Room 403-9:00 A.M.
Agenda 



Welcome & Call to Order

Swearing In of Brent A. Cochran, New Division of Securities Commissioner:  Administrative Law Judge

Approval of the May 26, 2016 Minutes

Director's Report:  Keith Woodwell 
			
			
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:
Kenneth Shawn Whitehead; SD-16-0018:  Recommended Order on Motion for Default.  Jennifer Korb

Theodore Lamont Hansen and Zurich Holdings Limited Liability Company; SD-14-0052, SD-14-0054: Stipulation and Consent Order.  Dave Hermansen

David Lyle Turner; SD-14-0053:  Stipulation and Consent Order.  Dave Hermansen

Laurence Dewey Black; Larry Black Wealth Management fka Beckstead; Black & Associates; SD-16-0011, SD-16-0012:  Stipulation and Consent Order.  Russ Bulloch

Joseph L. Jacoby; SD-16-0009: Stipulation and Consent Order.  Ken Barton

Robert Hawkes Potter; SD-16-0007:  Stipulation and Consent Order.  Andreo Micic

                    
Notice of Special Accommodations: Compliant.
Notice of Electronic or telephone participation: N/A
Other information:
Contact Information: Sabrina Afridi
(801)530-6436
safridi@utah.gov
Posted on: August 03, 2016 09:23 AM
Last edited on: August 03, 2016 09:23 AM

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