Entity: Department of Commerce

Body: Securities Commission

Subject: Securities
Notice Title: Securities Commission Meeting
Meeting Location: Division of Securities
160 East 300 South, 4th Floor Hearing Room 403
Salt Lake City    84111
Event Date & Time: October 4, 2018
October 4, 2018 09:00 AM - October 4, 2018 12:00 PM
Description/Agenda:
                        Utah Securities Commission
October 4, 2018
9:00 A.M - 12:00 P.M., Room 403
Agenda 

Welcome & Call to Order

Tab 1: Approval of the August 2, 2018 Minutes

Director's Report:  Tom Brady
Section Reports:
1.	Enforcement:  Dave Hermansen
2.	Compliance:  Ken Barton
3.	Registration & Licensing:  Bryan Cowley 
4.	Investor Education:  Karen McMullin

Tab 2: Education and Training Fund Report: Bryan Cowley

Tab 3: Grant Request - Wayne Brown Institute DBA Venture Capital ($20,000)

Consideration and Approval of Proposed Orders:

Tab 4:  Globa, Inc; Kenneth Exow Andam; SD-16-0033, SD-16-0034: Order on Motion for Summary Judgment. (Jen)

Tab 5: Lloyd B. Sharp, SD-17-0050: Order of the Commission. (Paula)

Tab 6: Utah Gold and Silver Depository, LLC; Craig Anthony Franco; SD-14-0019, SD-14-0020, SD-16-0035 and SD-16-0036: Finds of Fact, Conclusion of Law and Order as to the Amount of the Fine to be Imposed Against Respondents. (Jen)

Tab 7: Stephen Brandley; James Cameron Lee; Clearwater Funding, LLC; SD-16-0039, SD-16-0040 and SD-0041: Finds of Fact, Conclusion of Law and Order as to Amount of Fine Imposed Against Respondents. (Jen)

Tab 8: Matthew Hal Marchbanks, SD-18-0028: Stipulation and Consent Order. (Liz/Paula)

Tab 9: Kenneth Boyce SD-18-0034: Stipulation and Consent Order. (Ken/Paula)

Tab 10: LPL Financial LLC, CRD #6413, SD-18-0013 (Tom M./Jen)

Hearing Schedule:

10:00:  In the matter of National Gold, Inc. RE: Lloyd B. Sharp, SD-17-050: Order of the Commission.


                    
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: January 23, 2018 08:33 AM
Last edited on: October 01, 2018 11:00 AM

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