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Recent Enforcement Actions
Morales Wealth Management, LLC and Morales, Samuel Tino 
Final Order to Cease and Desist    Filed: 6/18/2019
Woodbridge Group of Companies, LLC (The) and Moore, Robert  
Agreement [Robert Duayne Moore]    Filed: 6/6/2019
Investment Counseling Services, Inc. and Kingsbery, Terry Clent 
Order    Filed: 5/17/2019
Agreement    Filed: 5/17/2019
T.S. Phillips Investments, Inc. and Phillips, Thompson and Man, Michael 
Order Setting Hearing [TSP Respondents]    Filed: 5/9/2019
Nimmo, J. Michael and Covenant Benefits Group, LLC and Bray Jr., Charles E. 
Order Granting Ancillary Relief    Filed: 5/8/2019
Motion for Ancillary Relief against J. Michael Nimmo and Brief in Support    Filed: 5/2/2019
Stipulation and Consent of J. Michael Nimmo    Filed: 5/2/2019
McKRoll Capital International, LLC and McKittrick, Carl C. II and McKittrick, Carl 
Notice of Renewal of Statement of Judgment    Filed: 4/29/2019
GTP Financial 
Agreement; Final Order to Cease and Desist    Filed: 4/19/2019
  
 
Notice of Data Breach
 
 
 
 
 
 6/18/2019 8:46:35 PM