Skip to main content

Division of Securities Enforcement Actions

Below you will find enforcement actions issued by the Washington Division of Securities.

View enforcement actions from 2024 and earlier.

Order Number Respondents Type Act Date Entered Summary
S-23-3692-25-CO01 Prestige Investment Management LLC Consent Order Securities Act 03/18/2026 Case summary
S-25-4018-25-CO01 Commodore Asset Management, LLC, Darnell Lee Commodore Consent Order Securities Act 03/17/2026 Case summary
S-25-3997-26-CO01 LPL Financial LLC Consent Order Securities Act 03/17/2026 Case summary
S-24-3863-25-CO01 JKN Universe, LLC Consent Order Franchise Investment Protection Act 03/05/2026 Case summary
S-24-3791-26-FO01 Winston Felix Final Order Securities Act 03/04/2026 Case summary
S-25-3921-26-SC01 Trage Technologies, Ltd; Christopher Lee Kreighbaum Statement of Charges Securities Act 02/27/2026 Case summary
S-23-3688-25-SC01 Prestige Investment Management LLC Statement of Charges Securities Act 02/26/2026 Case summary
S-23-3608-26-SC01 iCap Enterprises, Inc., Chris Christensen, Jim Christensen, and 10 other related parties (full list in Statement of Charges) Statement of Charges Securities Act 02/17/2026 Case summary
S-25-3835-26-SC01 Anchored Tiny Homes Franchising, LLC d/b/a Anchored Tiny Homes d/b/a Anchored Tiny Homes and Colton Scott Paulhus Statement of Charges Franchise Investment Protection Act 02/17/2026 Case summary
S-24-3853-26-FO01 Aqua-Tots Swim School Holding LLC Final Order Franchise Investment Protection Act 02/10/2026 Case summary
S-25-4076-26-CO01 Z Grills, Inc. Consent Order Securities Act 02/09/2026 Case summary
S-24-3800-25-CO02 Presidio Financial Group, Inc. (d/b/a Capital Partners Wealth Management) Christopher Scott Reid Consent Order Securities Act 01/28/2026 Case summary
S-24-3800-25-CO01 CPG Management Co. LLC Christopher Scott Reid Consent Order Securities Act 01/28/2026 Case summary
S-21-3226-25-CO04 Kevin Nooney Consent Order Securities Act 01/28/2026 Case summary
S-25-3947-25-CO01 Peterson Wealth Management LLC and Bryce Peterson Consent Order Securities Act 01/21/2026 Case summary
S-23-3913-25-CO01 Van Ray Financial, LLC; Christopher Files Consent Order Securities Act 01/21/2026 Case summary
S-21-3226-25-CO02 Creative Technologies, LLC and Water Station Management LLC Consent Order Securities Act 01/09/2026 Case summary
S-25-4007-25-CO01 Stifel, Nicolaus & Company, Inc. Consent Order Securities Act 12/31/2025 Case summary
S-23-3527-25-SC01 Prasad Anguluri; Innovative Investing Group Inc. Statement of Charges Securities Act 12/31/2025 Case summary
S-25-4111-25-FO01 Isaac Mayanja & Associates, Isaac Nsejjere Mayanja Final Order Securities Act 12/15/2025 Case summary