Entity: Department of Commerce
Body: Securities Commission
| Subject: | Securities |
| Notice Title: | Utah Securities Commission |
| Meeting Location: | 160 East 300 South Salt Lake City 84111 |
| Event Date & Time: |
May 23, 2019 May 23, 2019 09:00 AM - May 23, 2019 12:00 PM |
| Description/Agenda: |
Utah Securities Commission
May 23, 2019
9:00 A.M - 12:00 P.M., Room 451
Agenda
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)
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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: | May 20, 2019 03:12 PM |
| Last edited on: | May 20, 2019 03:12 PM |