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Entity: Department of Commerce

Body: Securities Commission

Subject: Securities
Notice Title: Securities Commission Meeting
Meeting Location: 160 E 300 S
Room 451
Salt Lake City     84111
Event Date & Time: November 7, 2019
November 7, 2019 09:00 AM - November 7, 2019 12:30 PM
Description/Agenda: 
                WELCOME & CALL TO ORDER

TAB 1:
Approval of August 7, 2019 Minutes 						
Section Reports:
     Enforcement - Dave Hermansen
     Compliance - Ken Barton
     Registration & Licensing - Bryan Cowley
     Investor Education - Dee Johnson
Director's Report - Tom Brady

TAB 2: 
Education & Training Fund Report/Budget - Bryan Cowley


TABS 3-11: Consideration & Approval of Proposed Orders

Tab 3: Stipulation & Consent Order, SD-17-0009, Eric Larson Sampson, CRD #3269514, (Presenter: Ken Barton)
Tab 4: Stipulation & Consent Order, SD-17-003-0008 Niki Sampson, (Presenter: Ken Barton)
Tab 5: Stipulation & Consent Order, SD-19-0009, Fernando DeLuna, (Presenter: Francswai Grayson)
Tab 6: Stipulation & Consent Order, SD-19-0016, ProLung, Inc; Clark A. Campbell, (Presenter: Francswai Grayson)
Tab 7: Stipulation & Consent Order, SD-19-0017, ProLung, Inc; Tim Treu	Francswai, (Presenter: Francswai Grayson)
Tab 8: Stipulation & Consent Order, SD-19-0018, ProLung, Inc; Todd Mark Morgan, (Presenter: Francswai Grayson)
Tab 9: Stipulation & Consent Order, SD-19-0019, ProLung, Inc; Robert Raybould; (Presenter: Francswai Grayson)
Tab 10: Motion for Default, SD-19-0024-0025, Che Financial Research, LLC & William Ray Clemons (Presenter: Paula Faerber).
Tab 11: Default Order, SD-19-0024-0025, Che Financial Research, LLC & William Ray Clemons (Presenter: Paula Faerber)


HEARINGS SCHEDULED
10:00AM	ProLung, Inc. & Jared Bauer (SD-19-0014-0015) - Tom Melton
Notice of Special Accommodations: In compliance with the Americans with Disabilities Act, individuals needing special accommodations (including auxiliary communicative aids and services) during this meeting should notify ADA Coordinator at least three working days prior to the meeting. Mailing Address: ATTN: ADA Coordinator Division of Securities PO Box 146760 Salt Lake City, Utah 84114-6711 Phone: 801.530.6600
Notice of Electronic or telephone participation: N/A
Other information:
Contact Information: Ashlee Buchholz
(801)530-6436
abuchholz@utah.gov
Posted on: November 04, 2019 04:50 PM
Last edited on: January 07, 2020 12:03 PM

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