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.
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| 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, 2018 08:33 AM |
| Last edited on: | October 01, 2018 11:00 AM |