Universal Housing Development Corporation
A request for the Department to issue a no action letter concerning the claim of exemption...
Hot Coe Coe a/k/a Diclops.com
Request for a cease and desist order concerning the offer for sale of unregistered, non-exempt securities...
Hot Coe Coe LLC a/k/a Diclops.com
Cease and desist order concerning the offer for sale of unregistered, non-exempt securities through the use...
Moonlighting, LLC
Consent order entered against an issuer of covered securities for a late filing with the Department.
Eagle Pioneer Fund LLC and Eagle Alcyone Fund II, LLC
Consent order entered against two issuers of covered securities for late notice filings with the Department.
Metis Equity Trust – Metis International Micro Cap Portfolio
Consent order entered against an issuer of covered securities for a late notice filing with the...
LumoXchange, LLC
Consent order entered against an issuer of covered securities for a late notice filing with the...
StrongTower Wealth Management Standing Letters of Authorization
A request for the Department to issue a no action letter regarding the applicability of the...
Southern Bancorp Community Partners
A request for the Department to issue a no action letter concerning the claim of exemption...