Entity: Department of Commerce

Body: Securities Commission

Subject: Securities
Notice Title: Commission Meeting
Meeting Location: Heber M. Wells Building
160 East 300 South, Room 451
Salt Lake City, UT    84111
Event Date & Time: January 26, 2017
January 26, 2017 09:00 AM - January 26, 2017 12:00 PM
                        Utah Securities Commission
January 26, 2017
Room 451-9:00 A.M.

Welcome & Call to Order

Approval of the September 22, 2016 Minutes

Director's Report:  Keith Woodwell 
	2017 Meeting Dates
	Additional Commission Meeting - April 27 and 28 (Hearing)
	2017 Legislative Session

Section Reports:   Enforcement:  Dave Hermansen
			      Compliance:  Ken Barton
			      Investor Education:  Karen McMullin
			      Registration & Licensing (Tab 3):  Benjamin Johnson

Grant Application:  AARP Utah ($20,000):  Laura Polacheck

Education and Training Fund Report:  Benjamin Johnson

Consideration and Approval of Proposed Orders:
David Lyle Turner; SD-14-0053:  Stipulation and Consent Order.  Wayne Jones

Artisan Group, LLC; Kenneth Eugene North d.b.a. New Century, New Century Funding, Inc.; SD-11-0046, SD-0047:  Stipulation and Consent Order.  Wayne Jones

Jeffrey Larson; Peak Assessment Management, LLC; SD-16-0044, SD-16-0045:  Order on Motion for Default.  Jen Korb

Robert L. Duvalois; RD3, Inc.; Jason Schwarz, SD-16-0022 SD-16-0023, SD-16-0024:  Stipulation and Consent Order:  Russ Bulloch

Walter Frederick Schwarz; Lone Peak Asset Management, Inc, SD-16-0020, SD16-0021:  Stipulation and Consent Order:  Russ Bulloch

John Jacob Ashton:  SD-16-0016: Stipulation and Consent Order:  Tom Melton/Ken Barton

Notice of Special Accommodations: Compliant.
Notice of Electronic or telephone participation: N/A
Other information:
Contact Information: Sabrina Afridi
Posted on: January 23, 2017 12:48 PM
Last edited on: February 23, 2017 10:48 AM

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