Enforcement Actions Administrative

Sep 19
2024

Order No. IC-24-CAF-03

In the Matter of the Investment Adviser Registration of FQI Capital Management, LLC: Undertaking and Fined

Aug 16
2024

Order No. REG-24-CAF-08

In the Matter of the Investment Adviser Registration of Panoramic Financial Advice Inc.: Reprimanded and Fined

Aug 16
2024

Order No. REG-24-SUS-07

In the Matter of the Investment Adviser Representative Registration of Shailesh Negandhi: Reprimanded and Suspended

Aug 2
2024

Order No. IC-24-CDO-02

In the Matter of the Investment Adviser Registration of Conner Management Group, LLC and the Investment Adviser Representative Registration of George Mathis Conner: Cease and Desist Order and Registration Denied

Jul 24
2024

Order No. REG-24-CAF-06

In the Matter of the Investment Adviser Registration of Wingo Asset Management, LLC: Reprimanded and Fined

Jul 16
2024

Order No. ENF-24-CDO-1885

In the Matter of Celsius Network, Inc., Celsius Network Limited, Celsius US Holding LLC, Celsius Network LLC, and Celsius Lending LLC: Consent Order

Jul 2
2024

Order No. REG-24-CAF-05

In the Matter of the Agent and Investment Adviser Representative Registration of Gihan Fernando: Reprimanded and Undertaking

Jun 17
2024

Order No. ENF-24-CDO-1884

In the Matter of Tesla Inc. LTD aka Tesla SpaceX Investments aka Tesla SpaceX Investments aka Tesla-SpaceX Invest aka Telsa SpaceX aka Telsa Space-X aka Telsa Inc. aka Tesla, Cameron Williamson, Leslie Alexander, Esther Howard, and Kristin Watson: Emergency Cease and Desist Order

Jun 17
2024

Order No. REG-24-CAF-04

In the Matter of the Dealer Registration of Masterworks Administrative Services, LLC: Reprimanded, Fined, and Undertaking

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