2025 Division of Securities Enforcement Actions
Below you will find enforcement actions issued by the Washington Division of Securities.
Other Years:
| Order Number | Respondents | Type | Act | Date Entered | Details |
|---|---|---|---|---|---|
| S-22-3413-25-SC01 | Jenni Yoon Jeon Lee (a/k/a Jenni Lee or Yoon Jeong Lee) Puget Sound Financial, LLC | Statement of Charges | Securities Act | 10/27/2025 | View Full Details |
| S-24-3831-25-SC01 | Integrity Brokerage, LLC David Wong | Statement of Charges | Securities Act | 10/20/2025 | View Full Details |
| S-23-3548-25-SC01 | Jovan Dawkins , Heritage Music Group Inc. , Jil Pro Group, LLC, Royalty Revenue Services Holdings, LLC, Erinn Fleeks | Statement of Charges | Securities Act | 10/20/2025 | View Full Details |
| S-25-4085-25-SC01 | The Franchise Collective, LLC | Statement of Charges | Franchise Investment Protection Act | 10/08/2025 | View Full Details |
| S-25-3964-25-CO01 | GBC Food Services, LLC d/b/a Yummi Sushi | Consent Order | Franchise Investment Protection Act | 10/07/2025 | View Full Details |
| S-25-3950-25-CO01 | Valbridge Property Advisors Franchising System, LLC | Consent Order | Franchise Investment Protection Act | 10/06/2025 | View Full Details |
| S-24-3766-25-CO01 | TD Ameritrade, Inc. | Consent Order | Securities Act | 09/23/2025 | View Full Details |
| S-25-4019-25-FO01 | Mercury Capital Advisors, LLC | Final Order | Securities Act | 09/05/2025 | View Full Details |
| S-25-3952-25-SC01 | Xue Feng Construction Inc.; Xuefeng Jiang | Statement of Charges | Commodity Transaction Act | 08/29/2025 | View Full Details |
| S-25-3934-25-CO01 | Faubion Wealth Management LLC and Matthew Faubion | Consent Order | Securities Act | 08/25/2025 | View Full Details |
| S-24-3709-25-SC01 | Cypress Creek Consulting, LLC; Cypress Creek Ventures, LLC; Samuel Adams | Statement of Charges | Securities Act | 08/22/2025 | View Full Details |
| S-24-3786-25-CO01 | Xponential Fitness LLC (“Xponential Fitness”) | Consent Order | Franchise Investment Protection Act | 08/12/2025 | View Full Details |
| S-25-3951-25-FO01 | Pacific Rim Energy Inc. Stephen B. McKanna | Final Order | Securities Act | 08/11/2025 | View Full Details |
| S-24-3877-25-CO01 | Klahanie Investment LLC Li Li | Consent Order | Securities Act | 08/06/2025 | View Full Details |
| S-25-3976-25-CO01 | Angelina Funtanilla | Consent Order | Securities Act | 08/05/2025 | View Full Details |
| S-21-3226-25-CO01 | Wan Kim | Consent Order | Securities Act | 07/30/2025 | View Full Details |
| S-25-4018-25-TO01 | Commodore Asset Management, LLC, Darnell Lee Commodore | Summary Order and Statement of Charges | Securities Act | 07/30/2025 | View Full Details |
| S-25-3965-25-CO01 | Happier at Home, LLC | Consent Order | Franchise Investment Protection Act | 07/30/2025 | View Full Details |
| S-25-3910-25-CO01 | Robert Sabo | Consent Order | Securities Act | 07/30/2025 | View Full Details |
| S-24-3758-25-CO01 | Alliance Franchise Brands LLC | Consent Order | Franchise Investment Protection Act | 07/28/2025 | View Full Details |
| S-22-3264-25-FO02 | Michael Glick; Cape Point Wealth & Tax Management LLC | Final Order | Securities Act | 07/28/2025 | View Full Details |
| S-25-3950-25-SC01 | Valbridge Property Advisors Franchising System, LLC | Statement of Charges | Franchise Investment Protection Act | 07/28/2025 | View Full Details |
| S-22-3461-24-SC01 | E.L.M. Investments Inc. 1erotrader 2.0 LLC Edgar Cruz | Statement of Charges | Securities Act | 07/24/2025 | View Full Details |
| S-25-4019-25-SC01 | Mercury Capital Advisors, LLC | Statement of Charges | Securities Act | 07/24/2025 | View Full Details |
| S-22-3461-24-SC01 (En Espanol) | E.L.M. Investments Inc. 1erotrader 2.0 LLC Edgar Cruz | Statement of Charges | Securities Act | 07/24/2025 | View Full Details |
| S-25-3951-25-SC01 | Pacific Rim Energy Inc. Stephen B. McKanna | Statement of Charges | Securities Act | 07/11/2025 | View Full Details |
| S-22-3392-25-FO01 | Until Tomorrow Drivetrains, LLC, Joshua Stoll, Retire Happy, LLC | Final Order | Securities Act | 07/10/2025 | View Full Details |
| S-23-3586-25-SC01 | Crypto LLC; GoGo Technologies LLC; Andrey Taranov; Andrey Kechik | Statement of Charges | Securities Act | 07/10/2025 | View Full Details |
| S-25-3931-25-CO01 | McRae Capital Management L.L.C., Peter McRae | Consent Order | Securities Act | 07/08/2025 | View Full Details |
| S-24-3712-25-CO01 | TPTEA USA Inc. | Consent Order | Franchise Investment Protection Act | 07/07/2025 | View Full Details |
| S-23-3687-24-CO01 | Summit Investment Management, Ltd. d/b/a Catholic Investment Strategies Thomas Andrew Carroll Ronald Edmund Chandler | Consent Order | Securities Act | 07/07/2025 | View Full Details |
| S-25-3977-25-FO01 | Scott Ferrari | Final Order | Franchise Investment Protection Act | 07/07/2025 | View Full Details |
| S-21-3177-24-CO01 | Plutus Financial Holdings Inc.; Plutus Financial Inc.; Plutus Lending LLC; Abra Boost LLC; William “Bill” Barhydt, | Consent Order | Securities Act | 07/01/2025 | View Full Details |
| S-25-3913-25-SC01 | Van Ray Financial, LLC; Christopher Files | Statement of Charges | Securities Act | 06/18/2025 | View Full Details |
| S-24-3803-25-FO01 | Sujin Yeom; Mauritius Brown Seattle Corporation | Final Order | Franchise Investment Protection Act | 06/03/2025 | View Full Details |
| S-25-3977-25-SC01 | Scott Ferrari | Statement of Charges | Franchise Investment Protection Act | 06/03/2025 | View Full Details |
| S-23-3677-24-CO01 | Pacific Coast Investment Advisors, LLC, Ryan Joseph Murphy | Consent Order | Securities Act | 05/28/2025 | View Full Details |
| S-24-3840-24-CO01 | Arrived Holdings, Inc; Arrived Homes, LLC; Arrived Homes 3, LLC; Arrived Homes 4, LLC; Arrived STR, LLC; Arrived STR 2, LLC; Arrived Debt Fund, LLC; and Arrived SFR Genesis Fund, LLC | Consent Order | Securities Act | 05/28/2025 | View Full Details |
| S-22-3392-24-SC01 | Until Tomorrow Drivetrains, LLC , Dennis DiRicco, Joshua Stoll, Retire Happy, LLC | Statement of Charges | Securities Act | 05/22/2025 | View Full Details |
| S-24-3861-25-FO01 | Meredith E. McGlown | Final Order | Securities Act | 05/21/2025 | View Full Details |
| S-21-3226-25-SC01 | Creative Technologies, LLC; Water Station Management LLC; WST Franchise Systems LLC; Ryan Wear; Kevin Nooney; Dick Humphrey; Kristi Humphrey; Nick Streeter; Wan Kim; FranServe, Inc., | Statement of Charges | Securities Act | 05/16/2025 | View Full Details |
| S-24-3849-25-CO01 | JJB Beauty Holdings Corp. (“JJB Beauty”) | Consent Order | Franchise Investment Protection Act | 05/13/2025 | View Full Details |
| S-24-3828-25-SC02 | Justin Sumner | Statement of Charges | Securities Act | 05/07/2025 | View Full Details |
| S-24-3828-24-CO02 | Investment Design Management, LLC, Maximillian Morgan | Consent Order | Securities Act | 05/07/2025 | View Full Details |
| S-23-3686-24-CO01 | TWM Wealth Management Corp d/b/a Taylor Wealth Management Louis Charles Taylor Jeffrey Mitchell Press | Consent Order | Securities Act | 05/06/2025 | View Full Details |
| S-24-3869-25-CO01 | Rattlesnake Creek Industries, Inc, and Brian Barry | Consent Order | Securities Act | 05/05/2025 | View Full Details |
| S-24-3853-25-SC01 | Aqua-Tots Swim School Holding LLC | Statement of Charges | Franchise Investment Protection Act | 05/05/2025 | View Full Details |
| S-25-3910-25-SC01 | Robert Sabo | Statement of Charges | Securities Act | 04/25/2025 | View Full Details |
| S-24-3712-24-SC01 | TPTEA USA Inc. | Statement of Charges | Franchise Investment Protection Act | 04/25/2025 | View Full Details |
| S-24-3803-25-SC01 | Sujin Yeom; Mauritius Brown Seattle Corporation | Statement of Charges | Franchise Investment Protection Act | 04/25/2025 | View Full Details |
| S-25-3899-25-CO01 | Xinxu (Shanghai) Information Technology Service Co. Ltd., d/b/a YGF Group | Consent Order | Franchise Investment Protection Act | 03/25/2025 | View Full Details |
| S-25-3915-25-CO01 | Scott Smith; Allen Woodard; Troy Colby | Consent Order | Securities Act | 03/25/2025 | View Full Details |
| S-22-3468-25-FO01 | Obvious Clothing Inc., Obvious Clothing LLC, Todd Kimball | Final Order | Securities Act | 03/21/2025 | View Full Details |
| S-24-3849-25-SC01 | JJB Beauty Holdings Corp. (“JJB Beauty”) | Statement of Charges | Franchise Investment Protection Act | 03/18/2025 | View Full Details |
| S-21-3212-23-CO01 | Celsius Network Inc. ,Celsius Network Limited, Celsius US Holding LLC , Celsius Network LLC , Celsius Networks Lending LLC, Celsius Lending LLC | Consent Order | Securities Act | 03/18/2025 | View Full Details |
| S-23-3529-25-CO01 | CONST LLC, Dba My Constant | Consent Order | Securities Act | 03/18/2025 | View Full Details |
| S-22-3439-25-CO01 | Vanguard Marketing Corporation; The Vanguard Group, Inc., | Consent Order | Securities Act | 03/18/2025 | View Full Details |
| S-23-3688-25-FO01 | Hollywood Cardroom; Shawn Weintraub | Final Order | Securities Act | 03/18/2025 | View Full Details |
| S-24-3809-25-CO02 | Network in Action Int’l, LLC; Christopher Scott Talley | Consent Order | Franchise Investment Protection Act | 03/18/2025 | View Full Details |
| S-23-3676-24-SC01 | Doncaster Financial, Inc. Thomas Doncaster | Statement of Charges | Securities Act | 03/14/2025 | View Full Details |
| S-22-3468-25-SC01 | Obvious Clothing LLC; Obvious Clothing Inc.; Todd Kimball | Statement of Charges | Securities Act | 02/26/2025 | View Full Details |
| S-22-3451-25-FO01 | Metallic Blue Development LLC; Brian Dozier | Final Order | Securities Act | 02/21/2025 | View Full Details |
| S-24-3791-25-SC01 | Winston Felix | Statement of Charges | Securities Act | 01/30/2025 | View Full Details |
| S-23-3593-25-CO01 | Chameleon Partners LLC | Consent Order | Securities Act | 01/29/2025 | View Full Details |
| S-24-3797-25-CO01 | The Whale Tea USA | Consent Order | Franchise Investment Protection Act | 01/29/2025 | View Full Details |
| S-18-2481-24-FO01 | RRIM Asset Strategies, LLC and Robert Alexander Ritter | Final Order | Securities Act | 01/29/2025 | View Full Details |
| S-23-3688-25-SC01 | Hollywood Cardroom; Shawn Weintraub | Statement of Charges | Securities Act | 01/29/2025 | View Full Details |
| S-23-3529-25-SC01 | CONST LLC Dba My Constant | Statement of Charges | Securities Act | 01/22/2025 | View Full Details |
| S-24-3809-24-CO01 | Cathryn Dall | Consent Order | Franchise Investment Protection Act | 01/21/2025 | View Full Details |
| S-24-3828-24-SC01 | Investment Design Management, LLC; Maximillian Morgan; Justin Sumner | Statement of Charges | Securities Act | 01/15/2025 | View Full Details |