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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
Description/Agenda:	Utah Securities Commission January 26, 2017 Room 451-9:00 A.M. Agenda 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:	Ashlee Buchholz (801)530-6436 abuchholz@utah.gov
Posted on:	January 23, 2017 12:48 PM
Last edited on:	February 23, 2017 10:48 AM

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