Entity: Department of Commerce

Body: Securities Commission

Subject: Securities
Notice Title: Securities Commission Meeting
Meeting Location: 160 E Broadway RM 451

Salt Lake City    84111
Event Date & Time: May 23, 2019
May 23, 2019 09:00 AM - May 23, 2019 12:00 PM
                        Utah Securities Commission
May 23, 2019
9:00 A.M - 12:00 P.M., Room 451

Welcome & Call to Order

Swearing in of Lyndon Ricks, New Division of Securities Commissioner:  Tom Brady

Gift presentation Brent R. Baker

Tab 1: Approval of the March 21, 2019 Minutes

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

Tab 2: Education and Training Fund Report: Bryan Cowley

Tab 3: Grant Request:  Utah Financial Empowerment Coalition ($5,000), Junior Achievement ($5,000) & AARP ($20,000)

Consideration and Approval of Proposed Orders:
Tab 4: Austin Raught, SD-19-0013: Stipulation and Consent Order. (Francswai)

Tab 5: Carlos Rodriguez, SD-19-0008: Stipulation and Consent Order. (Francswai)

Tab 6: Richard Justin Pupunu, SD-19-0006: Stipulation and Consent Order (Francswai)

Tab 7: Manly Logan, SD-14-0028: Order on Motion for Summary Judgment as to Manly E. Logan. (Paula) 

Hearings Scheduled

Clint Nordahl, SD-18-0042: Fine determination. (Jen)

Notice of Special Accommodations: Compliant.
Notice of Electronic or telephone participation: N/A
Other information:
Contact Information: Zoe Gomez
Posted on: January 04, 2019 08:52 AM
Last edited on: May 22, 2019 02:41 PM

Printed from Utah's Public Notice Website (http://pmn.utah.gov/)