Enforcement Actions Administrative

Feb 29

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

Order No. REG-24-CAF-1

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

Dec 28

Order No. REG-23-CAF-02

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

Dec 21

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

Dec 21

Order No. IC23-CAF-07

In the Matter of the Agent Registration of Jaime Rios: Reprimanded and Fined

Nov 16

Order No. ENF-23-CDO-1879

In the Matter of GSB Gold Standard Bank Ltd dba GS Smart Finance, Gold Standard Partners, GSPartners, GS Partners and GSP; GSB Gold Standard Banking Corporation PLC; GSB Gold Standard Corporation AG; GSB Gold Standard Pay Kommanditbolag aka GSB Gold Standard Pay; GSB Gold Standard Pay Ltd acting under the brand name GSDEFI; GSB Gold Standard Trade; Swiss Valorem Bank Ltd; Josip Dortmund Heit; Bruce Innes Wylde Hughes; Aline Lima and Dirc Zahlmann: Emergency Cease and Desist Order

Nov 14

Order No. ENF-23-CDO-1878

In the Matter of 9XProfits Ltd; Alastair Prescott; Esme Ravenscroft; Hamza Karim; Joshua Gleeson; Shirley Atwood; and Lucas Morris: Emergency Cease and Desist Order

Nov 9

Order No. ENF-23-CDO-1877

In the Matter of BitSports.ai, Berman Investment Group dba B.I.G., Hugo Rodriguez Salgado aka Hugo Rodriguez, Carlos Sarmiento, Denisse Salas, Josh Berman & Sean Kelly : Emergency Cease and Desist Order

Oct 4

Order No. ENF-23-CDO-1876

In the Matter of BigWhale.io, Syed Sameer, and Christopher Page: Emergency Cease and Desist Order

Sep 27

Order No. ENF-23-CDO-1875

In the Matter of True Bullion, LLC d/b/A Gold Silver International Exchange d/b/a GSI Exchange and Anthony Allen Anderson: Consent Order