Securities Administrative Proceedings

    FY2022 Proceedings
  • 22E097 - Peggy A. Golliher
  • 22E039 - American Senior Benefits, LLC
  • 22E033 - Matthew L. Walker (CRD 4874720)
                     Pinnacle Plus Capital, LLC (CRD 153896)
  • 22E020 - Legacy Map Design, LLC (CRD 297269)
    FY2021 Proceedings
  • 21E113 - Levi G. Clock (CRD 5067442)
  • 21E112 - Emil J. Wansa (CRD 735579)
  • 21E110 - Titan Securities (CRD 131392)
  • 21E077 - William E. Hamm (CRD 1894960)
  • 21E076 - Raymon V. Orloske
  • 21E069 - National Pension & Group Consultants, Inc. (CRD 613)
  • 21E068 - Michael D. Morrow (CRD 2364423)
  • 21E067 - Michael J. Silva (CRD 2834423)
                     The General & Associates LLC (CRD 301358)
  • 21E051 - Joseph A. McArdle
  • 21E031 - Michael A. Julian (CRD 1549161)
  • 21E028 - Prosperity Advisers, LLC (CRD 1549161)
  • 21E027 - Solium Financial Services, LLC (CRD 147933)
  • 21E022 - Scott D. Schulte (CRD 3169095)
  • 21E008 - Ricky D. Slifer (CRD 1856361)
    FY2020 Proceedings
  • 20E095 - Daniel B. Hutcheson
  • 20E082 - Roy B. Harrison (CRD 1133999)
  • 20E079 - VIP Advisors, LLC (CRD 106106)
  • 20E063 - Drayson D. Doyle (CRD 1029969)
  • 20E062 - Michael T. Riedmiller (CRD 6552569)
  • 20E056 - Richard D. Dean
  • 20E047 - David P. Landwehr - (CRD 2197925)
  • 20E022 - Quantum Financial Partners, LLC (CRD 138112)
  • 20E007 - John F. Germes
    FY2019 Proceedings
  • 19E086 - James L. McEnerney, Jr. (CRD 734383)
  • 19E079 - LPL Financial LLC
  • 19E058 - Lawrence E. Hagedorn (CRD 1794077)
  • 19E018 - Windsor Street Capital. LP (CRD 34171)
    FY2018 Proceedings
  • 18E050 - Jesse W. Harris, d/b/a Harris Custom Projects, LLC
  • 18E047 - Jesse W. Harris d/b/a Harris Custom Projects, LLC
  • 18E043 - Terri L. Mayata
  • 18E018 - Gregory A. Price (CRD 46214)
                     Price Financial Group
  • 18E017 - NEXT Financial Group, Inc. (CRD 46214)
  • 18E015 - Mark W. Mahaffie (CRD 40673)
  • 18E014 - Wilbanks Securities, Inc. (CRD 40673)
  • 18E007 - Jeremy Alessi (CRD 5736957)
                     Cottonwood Wealth Management, LLC (CRD 166861)
  • 18E001 - Christopher Parr (CRD 2110651)