Enforcement Actions Administrative

May 28
2024

Order No. ENF-24-CDO-1883

In the Matter of Arkit Capital LLC, Arkbit Capital Holdings, LLC aka ABC Holdings LLC aka ABC Mining, Paras Khivesara, Thomas Brewer, Delmar Estabrook, Nicolai C. Schou, Melita Novosel, LIbby Talbot, and Edwin O'Conner: Emergency Cease and Desist Order

Apr 30
2024

Order No. REG-24-CAF-03

In the Matter of the Dealer Registration of Roots Real Estate Investment Community I, LLC: Reprimanded and Fined

Apr 22
2024

Order No. ENF-24-CDO-1882

In the Matter of Billionico Academy aka Billionico, Primus Liquidity Holding Ltd, Elite Club World, Daniel von Lison aka Daniel Baron von Lison aka Baron Daniel von Lison aka Daniel Markus Lison aka Daniel Markus von Lison aka Daniel Freiherr V. Lison aka Daniel Freiherr von Lison, Marina Karp aka Marina Baroness von Lison aka Baroness Marina V. Lison aka Marina aka Baroness Marina von Lison, Frank Deyle, Christian Cruz Riander, Scott Ifionayi, Christopher Peacock, Auratus, and Terry Lee: Emergency Cease and Desist Order

Apr 18
2024

Order No. REG-24-DEN-02

In the Matter of the Agent and Investment Adviser Representative Registration of George Cairnes: Registration Denied and Undertaking

Apr 18
2024

Order No. IC-24-CAF-01

In the Matter of the Dealer Registration of D.H. Hill Securities, LLLP: Reprimanded and Fined

Apr 16
2024

Order No. ENF-24-CDO-1881

In the Matter of Plutus Financial Holdings Inc., Plutus Financial Inc., Plutus Lending LLC, Abra Boost LLC, and William "Bill" Barhydt: Consent Order 

Feb 29
2024

Order No. ENF-24-CDO-1880

in Matter of GSBGlobal.co, Carson Williams, Sheila Thompson, Patrick Snider, and Keneth Henderson: Emergency Cease and Desist Order 

Feb 2
2024

Order No. REG-24-CAF-1

In the Matter of Blue Owl Technology Income Corp.: Fine and Undertaking 

Dec 28
2023

Order No. REG-23-CAF-02

In the Matter of the Dealer Registration of Brady Keith Collier: Reprimanded and Fined

Dec 21
2023

Order No. IC23-CAF-08

In the Matter of the Dealer Registration of Raymond James & Associates, Inc. and Raymond James Financial Services Inc.: Reprimanded, Ordered to Pay Restitution, and Fined