Entity: Department of Commerce
Body: Securities Commission
| Subject: | Securities |
| Notice Title: | Utah Securities Commission Meeting |
| Meeting Location: | 160 East 300 South Fourth Floor Room 451 Salt Lake City 84111 |
| Event Date & Time: |
August 7, 2019 August 7, 2019 09:00 AM - August 7, 2019 05:00 AM |
| Description/Agenda: |
Utah Securities Commission
August 7th , 2019
9:00 A.M - 5:00 P.M., Room 451
Agenda
Welcome & Call to Order
Update on status of Administrative Assistant/ Commission Secretary: Tom Brady
Tab 1: Approval of the May 23rd, 2019 Minutes
Director's Report: Tom Brady
Section Reports:
1. Enforcement: Dave Hermansen
2. Compliance: Ken Barton
3. Registration & Licensing: Nathan Summers
4. Investor Education Report: Karen McMullin
Tab 2: Education and Training Fund Report/Budget: Nathan Summers
Tab 3: Grant Request: Wayne Brown Institute DBA VentureCapital.org ($20,000)
Consideration and Approval of Proposed Orders:
Tab 4: Leticia Miranda, SD-19-0012: Stipulation and Consent Order (Francswai Davis)
(Respondent not expected)
Tab 5: Claudia Gonzalez, SD-19-0011: Stipulation and Consent Order (Francswai Davis)
(Respondent not expected)
Tab 6: Israel Pineda, SD-19-0010: Motion for Entry of Default Order (Paula Faerber)
Tab 7: Robert James Long, SD-14-0024: Stipulation and Consent Order (Francswai Davis)
Tab 8: Flannel Damage Holdings, LLC, SD-19-0004: Motion for Entry of Default Order (Jen Korb)
Tab 9: Brent Allen Morgan, SD-14-0039; Summit Development and Lending Group, SD-14-0040: Stipulation and Consent Order (Francswai Davis/Jen Korb)
Hearings Scheduled
10:00 am Clint Nordahl, SD-18-0042: Fine determination (Jen Korb)
(Respondent via telephone)
|
| 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: | August 06, 2019 08:45 AM |
| Last edited on: | August 08, 2019 08:30 AM |