Orders From Other Years

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Allstar Fitness, LLC; Bobby G. Padgett, II; BGP III, LLC; BGP II, LLC; West Seattle Fitness, LLC; and Harrison Square Fitness, Inc. - S-12-1119-14-SC01 - Statement of Charges

On December 19, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Impose Fines, and to Charge Costs (“Statement of Charges”) against Allstar Fitness, LLC; Bobby G. Padgett, II; BGP III, LLC; BGP II, LLC; West Seattle Fitness, LLC; and Harrison Square Fitness, Inc. (“Respondents”). The Statement of Charges alleges that Respondents violated RCW 21.20.140 and RCW 21.20.040 when they offered and sold at least $1.14 million of unregistered and unsecured promissory notes to 70 Washington investors. Further, the Statement of Charges alleges that Respondents violated RCW 21.20.010, the anti-fraud of the Securities Act of Washington. The Securities Division intends to order Respondents to each cease and desist from violating the Securities Act of Washington, to impose administrative fines, and to charge investigative costs. Respondents each have a right to request a hearing on the Statement of Charges.

A Consent Order was entered regarding this matter on February 18, 2015.

Richard O. Johnson - S-13-1258-14-CO01 - Consent Order

On December 18, 2014, the Securities Division entered into a Consent Order with Richard O. Johnson II (“Johnson”). The Division had previously entered Statement of Charges S-13-1258-14-SC01 against Johnson. The Statement of Charges alleged that Johnson had held himself out as an investment adviser, while not registered as such or exempt from such registration in the State of Washington, by verbally identifying himself as a financial planner and by claiming to be a certified financial planner on Linkedin.com. The Statement of Charges further alleged that Johnson misrepresented his credentials while he was registered as an investment adviser representative. The Statement of Charges alleged that this conduct violates the Washington State Securities Act (the “Act”). Without admitting or denying the allegations made in the Statement of Charges, Johnson agreed to cease and desist from violating the Act, to pay a fine, and to reimburse the Division its investigative costs. The Consent Order also provides that the Division will deny Johnson certain registrations for five years. Johnson waived his right to a hearing in and to judicial review of this matter.

Synergy Oil, LLC - S-14-1527-14-SC01 - Statement of Charges

On December 11, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Impose Fines, and to Charge Costs against Synergy Oil, LLC, Robert Falco, and Anthony B. Pistilli. The Statement of Charges alleges that Synergy Oil offered and sold oil and gas interests, through Falco and Pistilli, worth at least $640,000 to at least twelve Washington residents. The Statement of Charges further alleges that Respondents violated the registration of securities, registration of securities salespersons and anti-fraud provisions of the Washington Securities Act. The Securities Division intends to order the Respondents to cease and desist from violation of the Securities Act of Washington and gives notice of its intent to impose fines and recover costs. The Respondents have a right to request a hearing on the Statement of Charges.

Olycentro Inc. and Joe Hyer - S-14-1515-14-SC01 - Statement of Charges

On December 5th, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, To Impose Fines and To Charge Costs (“Statement of Charges”) against Respondents Olycentro Inc. and Joe Hyer. The Statement of Charges alleges that the Respondents violated the registration and anti-fraud provisions of the Securities Act of Washington by offering and selling at least $35,000 in common stock to at least nine Washington residents. Respondents solicited investments through the use of general solicitation, and thus had no valid claim of exemption from registration. In addition, Respondents misrepresented or failed to disclose material information to investors in the course of soliciting investments in common stock. The Securities Division intends to order each Respondent to cease and desist from violating the Securities Act of Washington and gives notice of its intent to impose a fine and to charge costs. Respondents each have a right to request a hearing on the Statement of Charges.

A Consent Order was entered regarding this matter on April 20, 2015.

David Patrick Thomas - S-12-0974-14-CO01 - Consent Order

On December 5, 2014, the Securities Division entered into a Consent Order with David Patrick Thomas (“Thomas”). The Securities Division alleged that Thomas violated RCW 21.20.010 and RCW 21.20.140 while acting as a registered securities salesperson. Without admitting or denying the Securities Division’s allegations, Respondent Thomas agreed to cease and desist from any violation of RCW 21.20.010 or RCW 21.20.140 and he paid an initial fine of $5,000. Thomas also agreed that prior to any registration with the Securities Division as a securities broker-dealer, registered representative, investment adviser, or investment adviser representative, Thomas would pay an additional fine of $20,000 and $10,000 of investigative costs. Thomas waived his right to a hearing and judicial review of this matter.

Journey Financial, Inc., Doyle T. Nelson, Kenneth Exelby, Jr., and Gary William Oldham, - S-10-010-14-FO01 - Final Order as to Doyle Treat Nelson

On December 3, 2014, the Securities Division entered a Final Order to Cease and Desist, Impose Fines, and Recover Costs against Doyle Treat Nelson ("Nelson"). The Division previously entered a Statement of Charges and Notice of Intent to Issue an Order to Cease and Desist, Impose Fines, and Recover Costs against Journey Financial, Inc., Doyle T. Nelson, Kenneth Exelby, Jr., and Gary William Oldham on October 15, 2014 in connection with the offer and sale of preferred stock and promissory notes of a Tacoma, Washington based mortgage broker. In 2007, Nelson and others offered and sold unregistered securities, acted as an unregistered broker-dealer or securities salesperson, and violated the anti-fraud provision of the Securities Act of Washington. The Division ordered Nelson to cease and desist from violating the Securities Act of Washington, and to pay a fine of $5,000 and costs of $6,500. Nelson has a right to request judicial review of this matter.

Gulftex Operating, Inc., Frenchtown Acres, LLC - S-13-1274-14-FO01 - Final Order

On November 21, 2014, the Securities Division entered a Final Order against Respondents Gulftex Operating, Inc. and Frenchtown Acres, LLC. The Securities Division had previously entered a Statement of Charges against Gulftex Operating, Inc., Frenchtown Acres, LLC, Timothy P. Burroughs, and Tim Neeley on February 21, 2014 alleging violations of the Securities Act of Washington. The Final Order stated that Respondents Gulftex Operating, Inc. and Frenchtown Acres, LLC failed to attend a Prehearing Conference on July 17, 2014 and that on October 14, 2014, Administrative Law Judge Lisa N.W. Dublin issued an Initial Order of Default Dismissing the Appeals of Gulftex Operating, Inc. and Frenchtown Acres, LLC for Failure to Appear. The Final Order ordered Respondents Gulftex Operating, Inc. and Frenchtown Acres, LLC to cease and desist from any further violations of RCW 21.20.010, RCW 21.20.040, and RCW 21.20.140. The Final Order also ordered Respondents Gulftex Operating, Inc. and Frenchtown Acres, LLC to pay a fine of $15,000 and investigative costs of $2,000. Respondents have the right to petition the superior court for judicial review of the Final Order.

New NRG, Inc., formerly known as Chemical Consortium Holdings, Inc., and formerly known as China Gateway Holdings, Inc., and Jason Allen Greig, a.k.a. J. Allen Greig, a.k.a. Jason A. Greig, a.k.a. Jason Greig, a.k.a. Jay Greig, and a.k.a. J. Greig; - S-09-357-14-CO01 (PDF) - Consent Order

On November 3, 2014, the Securities Division entered into a Consent Order with New NRG, Inc., formerly known as Chemical Consortium Holdings, Inc., based in Bellingham WA, and formerly known as China Gateway Holdings, Inc., and Jason Allen Greig, a.k.a. J. Allen Greig, a.k.a. Jason A. Greig, a.k.a. Jason Greig, a.k.a. Jay Greig, and a.k.a. J. Greig, a Ferndale WA resident (“Respondents”). In the Consent Order, the Securities Division alleged that, in the sale of stocks and warrants, Respondent Jason Allen Greig, a.k.a. J. Allen Greig, a.k.a. Jason A. Greig, a.k.a. Jason Greig, a.k.a. Jay Greig, and a.k.a. J. Greig, offered unregistered securities and violated the anti-fraud provisions of the Securities Act of Washington (the Act). It was further alleged that Jason Allen Greig, a.k.a. J. Allen Greig, a.k.a. Jason A. Greig, a.k.a. Jason Greig, a.k.a. Jay Greig, and a.k.a. J. Greig, Chairman of the Board, acted as unregistered broker-dealer or securities salesperson. Without admitting or denying the Securities Division’s allegations, Respondents Jason Allen Greig, a.k.a. J. Allen Greig, a.k.a. Jason A. Greig, a.k.a. Jason Greig, a.k.a. Jay Greig, and a.k.a. J. Greig, and New NRG, Inc. agreed to cease and desist from violating the anti-fraud and registration provisions of the Act. Respondents Jason Allen Greig, a.k.a. J. Allen Greig, a.k.a. Jason A. Greig, a.k.a. Jason Greig, a.k.a. Jay Greig, and a.k.a. J. Greig, and New NRG, Inc.agreed to waive their right to a hearing and judicial review of the matter.

Timothy P. Burroughs – S-13-1274-14-CO01 – Consent Order

On October 28, 2014, the Securities Division entered into a Consent Order with Timothy P. Burroughs. The Securities Division had previously entered a Statement of Charges against Gulftex Operating, Inc., Frenchtown Acres, LLC, Timothy P. Burroughs, and Tim Neeley on February 21, 2014. The Securities Division alleged that Timothy P. Burroughs violated RCW 21.20.140 and RCW 21.20.040 when he offered and sold $540,000 of unregistered oil and gas investments to Washington residents. Further, the Division alleged that Timothy P. Burroughs violated RCW 21.20.010, the anti-fraud provision of the Washington Securities Act. Without admitting or denying the Division’s allegations, Timothy P. Burroughs agreed to cease and desist from violating the Securities Act of Washington, to pay an administrative fine of $2,000, and to pay investigative costs of $500. Timothy P. Burroughs waived his right to a hearing and judicial review of the matter.

Marty Edward Paul – S-13-1144-14-CO01 - Consent Order

On October 17, 2014, the Securities Division entered into a Consent Order with Marty Edward Paul, aka Martin Paul (Paul). The Securities Division had previously entered a Statement of Charges against Paul on January 13, 2014. The Securities Division alleged that Paul engaged in dishonest or unethical business practices when Paul borrowed $6.5 million from a client, introduced clients to investments away from the firm, engaged in outside business activities without pre-approval from the firm, and provided inaccurate information to the firm. The Division also alleged that Paul misrepresented his termination and regulatory history to the Securities Division. Without admitting or denying the Division’s allegations, Paul agreed to cease and desist from violating the Securities Act of Washington, to pay an administrative fine of $20,000, and to pay investigative costs of $4,500. Further, Paul agreed to an 18 month prohibition from registration as an investment adviser representative or broker-dealer salesperson. Paul waived his right to a hearing and judicial review of this matter.

Journey Financial, Doyle T. Nelson, Kenneth Exelby and Gary Oldham - S-10-010-14-SC01 - Statement of Charges

On October 15, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Impose Fines and to Charge Costs (“Statement of Charges”) against Respondents Journey Financial Inc., Doyle T. Nelson, Kenneth Exelby, Jr., and Gary William Oldham. The Statement of Charges alleges that Respondents Journey Financial Inc., Doyle T. Nelson, Kenneth Exelby, Jr., and Gary William Oldham violated RCW 21.20.140 when they offered and sold approximately $490,000 of unregistered Journey Financial promissory notes and preferred stock. Further, the Statement of Charges alleges that Respondents Journey Financial Inc., Doyle T. Nelson, Kenneth Exelby, Jr., and Gary William Oldham violated RCW 21.20.010, the anti-fraud provision of the Washington Securities Act. The Statement of Charges alleges that Respondents Doyle T. Nelson, Kenneth Exelby, Jr., and Gary William Oldham violated RCW 21.20.040 because they offered Journey Financial promissory notes and preferred stock while not registered as a broker-dealer or securities salesperson. The Securities Division intends to order Respondents to each cease and desist from violating the Securities Act of Washington, to impose fines, and to charge costs. Respondents each have the right to request a hearing on the Statement of Charges.

A Final Order as to Doyle T. Nelson was entered on December 3, 2014.

A Consent Order as to Kenneth Exelby, Jr. was entered on January 14, 2015.

A Consent Order as to Gary Oldham was entered on January 20, 2015.

Steven M. Jossi - S-14-1540-14-SC01 - Statement of Charges

On October 8, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Deny Registrations (the “Statement of Charges”) against Steven M. Jossi (“Jossi”). The Statement of Charges alleged that, while he had an application for investment adviser representative registration pending with the Securities Division, Jossi submitted forms to Charles Schwab that contained forged signatures and impersonated a deceased client during a phone call to Schwab in an attempt to change the client’s address. The Statement of Charges alleges that this conduct justifies the denial of any investment adviser representative registration that Jossi may seek in the future. Jossi may request an administrative hearing on the Statement of Charges.

A Consent Order was entered regarding this matter on May 14, 2015.

Kirk Porter - S-14-1417-14-CO01 - Consent Order

On October 8, 2014, the Securities Division entered into a Consent Order with Kirk Porter. The Securities Division had previously entered a Statement of Charges against Couch Oil & Gas, Inc., Charles O. Couch, Robin Charlet, and Kirk Porter (collectively “Respondents”) on May 23, 2014. The Securities Division alleged that Respondents violated RCW 21.20.140 and RCW 21.20.040 when they offered and sold $629,375 of unregistered oil and gas investments to Washington residents. Further, the Division alleged that Respondents violated RCW 21.20.040, the anti-fraud provision of the Securities Act of Washington. Without admitting or denying the Securities Division’s allegations, Kirk Porter agreed to cease and desist from violating the Securities Act of Washington. Kirk Porter also agreed to pay an administrative fine of $1,500 and investigative costs of $500. Kirk Porter waived his right to a hearing and judicial review of the matter.

Steven Vincent Hazard - S-11-0769-14-FO01 - Final Order

On October 1, 2014, the Securities Division entered a Final Order to Cease and Desist, Deny Future Registrations, Impose Fines, and Charge Costs against Steven Vincent Hazard (“Respondent”). The Division previously entered a Statement of Charges and Notice of Intent to Issue an Order to Cease and Desist, Deny Future Registrations, Impose Fines, and Charge Costs on July 28, 2014. The Respondent was formerly employed as a securities salesperson with H.D. Vest Investment Services (“H.D. Vest”). While employed at H.D. Vest, the Respondent borrowed $410,000 from three customers in order to purchase land and build a house for his personal residence. Hazard also offered an investment off the books and records of his broker-dealer firm, executed a transaction on behalf of a customer without authorization, and forged a customer’s signature. On or about the day of his termination from H.D. Vest, Hazard recommended that a customer liquidate his brokerage account and invest the proceeds with him in a “hot” investment fund. Hazard used the funds for living expenses when he was unemployed. The Securities Division orders the Respondent to cease and desist from violating the Securities Act of Washington, denies future securities registration applications of the Respondent, and orders the Respondent to pay a fine of $30,000 and investigative costs of $5,000. The Respondent has the right to request judicial review of this matter.

Jason Brown; Your Local Market, LLC. - S-12-1009-14-CO01 - Consent Order

On September 25, 2014, the Securities Division entered into a Consent Order with Jason Brown and Your Local Market, LLC (collectively “Respondents”). The Securities Division had previously entered a Statement of Charges against Respondents on April 17, 2014. The Securities Division alleged that Respondents violated RCW 21.20.140 and RCW 21.20.040 when they offered and sold $20,000 of unregistered memberships to 24 Your Local Market customers in order to raise working capital for the market, which was undercapitalized. The Division also alleged that Respondents violated RCW 21.20.010, the anti-fraud provision of the Securities Act of Washington. Without admitting or denying the Division’s allegations, Respondents agreed to cease and desist from violating the Securities Act of Washington. Further, Respondents agreed to pay an administrative fine of $5,000 and investigative costs of $5,000. Respondents waived their right to a hearing and judicial review of the matter.

Vending For Sale – S-14-1526-14-FO01 – Final Order

On September 23, 2014, the Securities Division entered an Entry of Findings of Fact and Conclusions of Law and Final Order to Cease and Desist (“Final Order”) against Respondent Vending For Sale, an Enterprise, Florida company in the business of selling vending machines and vending machine services. The Securities Division had previously entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist against Vending For Sale on August 14, 2014. Respondent offered and sold an unregistered business opportunity to at least one Washington resident in violation of RCW 19.110.050 and failed to provide a disclosure document to the resident in violation of RCW 19.110.070.The Final Order orders Respondent to Cease and Desist from violations of the registration and disclosure document provisions of the Business Opportunity Fraud Act. Respondent has the right to request judicial review of the Final Order.

Ronald Newman, Jeffrey Scott Hollingsworth, Milestone Life Settlement Fund, LLC, Milestone Investments USA, LLC, and Milestone Multifamily Fund, LLC - S-12-1060-14-CO02 - Consent Order

On September 5, 2014, the Securities Division entered into a Consent Order with Respondents Ronald Newman, Milestone Life Settlement Fund, LLC, Milestone Investments USA, LLC, and Milestone Multifamily Fund, LLC.

The Securities Division had previously entered a Statement of Charges against these Respondents alleging that they violated the registration and anti-fraud provisions of the Securities Act of Washington, in their efforts to raise capital for a fund that invested in life insurance policies and for a fund that sought to develop and sell rental properties.

Without admitting or denying the Securities Division’s allegations, these Respondents agreed to cease and desist from violating the Securities Act of Washington, to pay $8,000 in investigative costs, and to pay $9,000 in fines. These Respondents waived his right to a hearing and judicial review of this matter.

Erik Robbins – S-11-0620-13-CO01 - Consent Order

On September 4, 2014, the Securities Division entered into a Consent Order with Erik Robbins. The Securities Division had previously entered a Statement of Charges against Erik Robbins on May 31, 2013. The Securities Division alleged that Erik Robbins violated RCW 21.20.010, RCW 21.20.040 and RCW 21.20.140 in connection with the offering of unregistered securities related to real estate. Without admitting or denying the Securities Division’s allegations Erik Robbins agreed to cease and desist from violating the Washington Securities Act. Erik Robbins agreed to pay an administrative fine of $500 and investigative costs of $4,500. Ronald Gintz waived his right to a hearing and judicial review of this matter.

Bonita Kay Bell-Andersen; Bell-Andersen Financial Services, LLC; Quadrant Wealth Management, Inc. – S-11-0855-13-CO02 – Consent Order

On August 25, 2014 the Securities Division entered into a Consent Order with Bonita Kay Bell-Andersen, Bell-Andersen Financial Services, LLC, and Quadrant Wealth Management, Inc. (collectively “Respondents”). The Securities Division had previously issued an Amended Statement of Charges and a Statement of Charges against the Respondents which alleged certain violations of the Securities Act of Washington. Without admitting or denying the Securities Division’s allegations, Respondent Bonita Kay Bell-Andersen agreed to a censure relating to her signing clients’ names to three change of account forms in 2010. Respondents waived their rights to a hearing and judicial review of this matter.

Secured Investment Corp. and Lee Arnold – S-13-1250-14-SC01 – Statement of Charges

On August 20, 2014 the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist (Statement of Charges) against Secured Investment Corp. and Lee Arnold. The Statement of Charges alleges that Secured Investment Corp. and Lee Arnold violated the Business Opportunity Fraud Act through their offer and sale of a business opportunity that purported to pay purchasers for referrals of prospective borrowers or lenders to Secured Investment Corp.’s private money lending business. Specifically, the Statement of Charges alleges that Secured Investment Corp. and Lee Arnold violated the registration, disclosure document, and anti-fraud provision of Business Opportunity Fraud Act, and it also gives notice of the Securities Division’s intent to enter an Order to Cease and Desist. Secured Investment Corp. and Lee Arnold have a right to request a hearing on the Statement of Charges.

A Consent Order was entered regarding this matter on January 7, 2015.

Michelangelo Viliami Domine, a.k.a. Miki Domine - S-10-026-14-CO02 – Consent Order

On August 20, 2014, the Securities Division entered into a Consent Order with Michelangelo Viliami Domine, a.k.a. Miki Domine. The Securities Division had previously entered a Statement of Charges, SDO 10-026-13-SC02, against Catalyst Management Group, LLC; Jeffrey M. Slowik, a.k.a. Jeff Slowik and d.b.a. Catalyst Investment Club; Michelangelo Viliami Domine, a.k.a. Miki Domine, and Rollin P. Shatto, a.k.a. Rollie Shatto on June 6, 2014. The Securities Division alleged that Respondent Domine violated RCW 21.20.010, the anti-fraud provision of the Washington Securities Act. The Securities Division alleged that Respondent Domine violated RCW 21.20.040, the broker-dealer/securities salesperson and investment adviser and investment adviser representative registration section of the Washington Securities Act. Further the Securities Division alleged that Respondent Domine violated RCW 21.20.140 in connection with the offering of unregistered securities. Without admitting or denying the Securities Division’s allegations, Respondent Domine agreed to cease and desist from violating the Securities Act of Washington. Respondent Domine waived his right to a hearing and judicial review of this matter.

Vending For Sale – S-14-1526-14-SC01 – Statement of Charges

On August 14, 2014, the Securities Division entered a Statement of Charges against Vending For Sale, an Enterprise, FL company in the business of selling vending machines and vending machine services.

A Final Order was entered regarding this matter on September 23, 2014.

Mark McCloskey - S-14-1409-14-CO01 – Consent Order

On August 11, 2014, the Securities Division entered into a Consent Order with Mark Thomas McCloskey (“Respondent”). The Securities Division alleged that Respondent violated RCW 21.20.110(1)(j) by failing to enforce an adequate supervisory system for the sale of tenant-in-common investments. Without admitting or denying the Securities Division’s allegations, Respondent agreed to pay investigative costs of $5,000. Respondent waived his right to a hearing and to judicial review of this matter.

Rollin P. Shatto - S-10-026-14-CO03 - Consent Order

On July 31, 2014, the Securities Division entered into a Consent Order with Rollin P. Shatto, a.k.a. Rollie Shatto. The Securities Division had previously entered a Statement of Charges, SDO 10-026-13-SC02, against Catalyst Management Group, LLC; Jeffrey M. Slowik, a.k.a. Jeff Slowik and d.b.a. Catalyst Investment Club; Michelangelo Viliami Domine, a.k.a. Miki Domine, and Rollin P. Shatto, a.k.a. Rollie Shatto on June 6, 2014. The Securities Division alleged that Respondent Shatto violated RCW 21.20.040, the broker-dealer/securities salesperson registration section of the Washington Securities Act. Without admitting or denying the Securities Division’s allegations, Respondent Shatto agreed to cease and desist from violating the Securities Act of Washington. Respondent Shatto waived his right to a hearing and judicial review of this matter.

Fidel Armando Miranda - S-09-448-14-CO02 – Consent Order

On July 30, 2014, the Securities Division entered into a Consent Order with Fidel Armando Miranda, Respondent. The Securities Division had previously entered a Statement of Charges against the Respondent alleging that from 2005 to 2009, Respondent raised over $1.5 million through the offer and sale of investments that were referred to as “Growth Notes,” “Growth Certificates,” “Expansion Notes,” and “Mortgage Notes.” The Statement of Charges further alleged that the Respondent violated the Securities Act’s provisions regarding the registration of securities, broker-dealers and salespersons and violated the anti-fraud provisions of the Act. Without admitting or denying the Securities Division’s allegations, Respondent agreed to cease and desist from violating the Washington Securities Act and waived his rights to a hearing and to judicial review of the matter.

Ashland Partners L.P.; James Timothy Rodgers, S-10-279-14-FO01 - Final Order

On July 29, 2014, the Securities Division entered a Final Order to Cease and Desist, Deny Future Registrations, Impose Fines, and Charge Costs against Ashland Partners L.P. and James Timothy Rodgers (collectively “Respondents”). The Securities Division had previously issued a Statement of Charges, S-10-279-12-SC01, against Respondent on October 21, 2013. From 1999 to 2008, Rodgers offered and sold limited partnership interests in the Ashland Partners L.P. and Killarney Partners, L.P. hedge funds to at least five Washington residents. Rodgers raised at least $5.7 million dollars from the residents, who were friends or acquaintances of his. The Respondents violated the anti-fraud provisions of the Securities Act of Washington, and Rodgers offered and sold unregistered securities and acted as an unregistered broker-dealer or securities salesperson. The Division ordered the Respondents to cease and desist from violating the Securities Act of Washington and ordered that future securities registration applications of Rodgers shall be denied. The Division also ordered Rodgers to pay a fine of $30,000 and Ashland Partners L.P. to pay a fine of $20,000. The Division ordered the Respondents to pay investigative costs of $10,000. The Respondents have a right to request judicial review of this matter.

Steven Vincent Hazard - S-11-0769-14-SC01 - Statement of Charges

On July 28, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Issue an Order to Cease and Desist, Deny Future Registrations, Impose Fines, and Charge Costs against Steven Vincent Hazard (“Respondent”). The Respondent was formerly employed as a securities salesperson with H.D. Vest Investment Services (“H.D. Vest”). The Division alleges that while employed at H.D. Vest, the Respondent borrowed $410,000 from three customers in order to purchase land and build a house for his personal residence. The Division alleges that Hazard offered an investment off the books and records of his broker-dealer firm, executed a transaction on behalf of a customer without authorization, and forged a customer’s signature. The Division further alleges that on or about the day of his termination from H.D. Vest, Hazard recommended that a customer liquidate his brokerage account and invest the proceeds with him in a “hot” investment fund. Hazard used the funds for living expenses when he was unemployed. The Division ordered the Respondent to cease and desist from violating the Securities Act of Washington, and gave notice of its intent to deny future securities registration applications. The Division also gave notice of its intent to impose fines and charge costs. The Respondent has a right to request a hearing on the Statement of Charges.

A Final Order was entered regarding this matter on October 1, 2014.

Edvita Corporation; Edvita Publication Venture Fund I, LLC; James E. Cowan - S-08-012-14-FO01 - Final Order as to James E. Cowan

On July 24, 2014, the Securities Division entered a Final Order to Cease and Desist, Impose Fines, and Recover Costs against James E. Cowan (“Cowan”). The Division previously entered a Statement of Charges and Notice of Intent to Issue an Order to Cease and Desist, Impose Fines, and Recover Costs against Edvita Corporation, Edvita Publication Venture Fund I, LLC and James E. Cowan on April 15, 2014. From approximately 2001 to 2006, Edvita common stock and interests in the Edvita Publication Venture Fund I, LLC were offered and sold. Approximately 88 investors, the majority of whom are Washington residents, invested a total of over $1 million dollars. Cowan offered and sold unregistered securities, acted as an unregistered broker-dealer or securities salesperson, and violated the anti-fraud provision of the Securities Act of Washington. The Division ordered Cowan to cease and desist from violating the Securities Act of Washington, and to pay a fine of $20,000 and costs of $5,000. Cowan has a right to request judicial review of this matter.

Richard O. Johnson II - S-13-1258-14-SC01 - Statement of Charges

On July 23, 2014, the Securities Division entered a Statement of Charges against Richard O. Johnson II. The Statement of Charges alleges that Johnson has held himself out as an investment adviser, while not registered as such or exempt from such registration in the State of Washington, by verbally identifying himself as a financial planner and by claiming to be a certified financial planner on Linkedin.com. The Statement of Charges further alleges that Johnson misrepresented his credentials while he was registered as an investment adviser representative. The Statement of Charges alleges that this conduct violates the Washington State Securities Act and gives notice of the Division’s intent to order Johnson to cease and desist, to pay a fine, to charge its investigative costs, and to deny certain registrations that Johnson may later seek. Johnson may request an administrative hearing on the Statement of Charges.

A Consent Order was entered regarding this matter on December 18, 2014.

Donald L. Swanson; A. Mark Swanson - S-14-1405-14-FO01 – Final Order

On July 21, 2014, the Securities Division issued an Entry of Findings of Fact and Conclusions of Law and Final Order to Cease and Desist, to Impose Fines, and to Charge Costs (“Final Order”) against Respondents Alfred Mark Swanson, a/k/a Mark Swanson, and Donald L. Swanson, Sr. (“Respondents”). The Division had entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Impose Fines, and to Charge Costs against Respondents on May 30, 2014. Respondents offered and sold a $50,000 investment to a Washington resident that involved the sale of gold between two Philippine trusts. Respondents failed to disclose material information to the investor in violation of RCW 21.20.010, the anti-fraud provision of the Securities Act of Washington. The Final Order orders Respondents to cease and desist from violating RCW 21.20.2010, to pay a fine of $5,000, and to pay costs of $750. Respondents each have a right to request judicial review of the Final Order.

Catalyst Management Group, LLC; Jeffrey M. Slowik – S-10-026-14-CO01 – Consent Order

On July 15, 2014, the Securities Division entered into a Consent Order with Catalyst Management Group, LLC (Catalyst Management)and Jeffrey M. Slowik, a.k.a. Jeff Slowik (Slowik) (Respondents). The Securities Division had previously entered a Statement of Charges, SDO 10-026-13-SC02, against Catalyst Management Group, LLC; Jeffrey M. Slowik, a.k.a. Jeff Slowik and d.b.a. Catalyst Investment Club; Michelangelo Viliami Domine, a.k.a. Miki Domine, and Rollin P. Shatto, a.k.a. Rollie Shatto on June 6, 2014. The Securities Division alleged that Respondents Catalyst Management and Slowik violated RCW 21.20.010, the anti-fraud provision of the Washington Securities Act. The Securities Division alleged that Respondents Catalyst Management and Slowik violated RCW 21.20.040, the broker-dealer/securities salesperson and investment adviser and investment adviser representative registration section of the Washington Securities Act. Further the Securities Division alleged that Respondents Catalyst Management and Slowik violated RCW 21.20.140 in connection with the offering of unregistered securities. Without admitting or denying the Securities Division’s allegations, Respondents Catalyst Management and Slowik agreed to cease and desist from violating the Securities Act of Washington. Respondents Catalyst Management and Slowik waived their right to a hearing and judicial review of this matter.

Mondays off Music, Inc.; City Stream, Inc.; and Michael Raley – S-12-1037-14-CO01 – Consent Order

On July 9, 2014, the Securities Division entered into a Consent Order with Mondays off Music, Inc.; City Stream, Inc.; and Michael Raley (collectively, “Respondents”). The Securities Division had previously issued a Statement of Charges, S-12-1037-13-SC01, against Respondents on January 2, 2014. The Securities Division alleged that Respondents violated RCW 21.20.010 and 21.20.140 in connection with the offering of unregistered securities. The Securities Division also alleged that Respondent, Michael Raley, acted as an unregistered securities salesperson or broker-dealer in violation of RCW 21.20.040. Further, the Securities Division alleged that City Stream, Inc. and Michael Raley violated RCW 21.20.350 by filing false or misleading documents with the Securities Division. Without admitting or denying the Securities Division’s allegations, Mondays off Music, Inc.; City Stream, Inc.; and Michael Raley have agreed to cease and desist from violating the Securities Act of Washington. Michael Raley agreed to pay a fine of $5,000 and investigative costs of $2,000. Respondents waived their right to a hearing and judicial review of the matter.

Troy Binfet – S-14-1466-14-FO01 – Final Order

On July 8, 2014, the Securities Division issued the Entry of Findings of Fact and Conclusions of Law and Final Order to Revoke Registration, To Impose a Fine, and To Charge Costs, as to Troy Binfet (“Final Order”), an investment adviser located in Grandview, Washington. Previously, on April 25, 2014, the Securities Division issued a Summary Order to Suspend Registration and Notice of Intent to Revoke Troy Binfet’s Investment Adviser Registration and To Impose a Fine (“Summary Order”). Mr. Binfet (CRD # 546192) operated an investment advisory business using the name Vintage Wealth Management (IARD # 0157462.) The Summary Order alleged that Respondent willfully violated WAC 460-24A-060 and WAC 460-24A-205 by failing to file a balance sheet and an annual updated Form ADV parts 1 and 2 for the year ended December 31, 2013. The Final Order revokes the investment adviser registration of Troy Binfet doing business as Vintage Wealth Management, assesses a fine of $1,000 and costs of $200. The Respondent has a right to request judicial review of the matter.

Fresh Healthy Vending, LLC – S-13-1304-14-CO01 – Consent Order

On July 2, 2014, the Securities Division entered into a Consent Order with Fresh Healthy Vending, LLC (“Respondent”). The Securities Division had previously entered a Statement of Charges against Respondent on February 11, 2014. The Securities Division alleged that the Respondent violated the Franchise Investment Protection Act (“FIPA”) by offering unregistered vending machine franchises in Washington. The Securities Division further alleged that the Respondent failed to disclose material information in the franchise disclosure document that it provided to actual and potential Washington franchisees, and that the Respondent violated a past order issued by the Division. Without admitting or denying these allegations, Respondent agreed to cease and desist from violating FIPA and agreed to pay investigative costs of $7,500. Respondent waived its right to a hearing and judicial review of this matter.

Andrea Braeutigam – S-12-1037-14-CO02 – Consent Order

On June 26, 2014, the Securities Division entered into a Consent Order with Andrea Braeutigam (Respondent). The Securities Division had previously issued a Statement of Charges, S-12-1037-13-SC01, against Respondent on January 2, 2014. The Securities Division alleged that Respondent violated RCW 21.20.040, RCW 21.20.010 and 21.20.140 in connection with the offering of unregistered securities. Without admitting or denying the Securities Division’s allegations, Respondent has agreed to cease and desist from violating the Securities Act of Washington. Respondent agreed to pay investigative costs of $3,600. Respondents waived her right to a hearing and judicial review of the matter.

J.P. Morgan Securities LLC – S-14-1464-14-CO01 - Consent Order

On June 25, 2014, the Securities Division entered into a Consent Order with J.P. Morgan Securities LLC (“Respondent”) to settle allegations related to Respondent’s sales assistants accepting orders from Washington State clients when the sales assistants were not registered as securities salespersons in the State, and Respondent’s failure to record the identity of the person accepting client orders. The Division alleged that Respondent violated to the Securities Act of Washington by failing to reasonably supervise its salespersons in violation of RCW 21.20.110(1)(j), employing unregistered salespersons in violation of RCW 21.20.040(2), and failing to maintain proper records in violation of RCW 21.20.100(1). Respondent neither admitted nor denied the Division’s allegations. Respondent agreed to pay a fine of $50,000 and waived its right to a hearing and judicial review of the matter.

Satyen Chatterjee; Strategic Capital Management, Inc. - S-12-1059-14-CO01 - Consent Order

On June 16, 2014, the Securities Division entered into a Consent Order with Satyen Chatterjee and Strategic Capital Management, Inc. The Securities Division had previously entered a Summary Order Suspending Investment Adviser and Investment Adviser Representative Registrations and Notice of Intent to Revoke Registrations, to Impose Fines, and to Recover Costs (“Summary Order”) against Strategic Capital Management, Inc., a registered investment adviser, and Satyen Chatterjee, the firm’s owner and sole investment adviser representative (“the Respondents”). The Division alleged that the Respondents made material misrepresentations and omissions to investors in the offer and sale of unregistered promissory note investments in violation of the registration and anti-fraud provisions of the Securities Act of Washington. The Division further alleges that the Respondents caused false or misleading filings to be made with the Securities Division, failed to keep the books and records required of investment advisers, failed to maintain the minimum financial requirement, and engaged in one or more dishonest or unethical practices, by providing guarantees to clients. The Respondents neither admitted nor denied the allegations, but agreed to cease and desist from violating the Securities Act of Washington. The Respondents agreed to the revocation of their investment adviser and investment adviser representative registrations, and the denial of future securities registration applications. The Respondents waived their right to a hearing and to judicial review of this matter.

Jeanne Christensen and Doing Business, Inc. – S-13-1218-14-SC01 – Statement of Charges

On June 12, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Impose Fines, and to Charge Costs (Statement of Charges) against Respondents Jeanne Christensen and Doing Business, Inc. The Statement of Charges alleges that Jeanne Christensen and Doing Business, Inc. violated the registration and the anti-fraud provisions of the Securities Act of Washington in connection with their operation of a failed high-yield investment program. The Securities Division intends to order Jeanne Christensen and Doing Business, Inc. to cease and desist from violating the Securities Act of Washington and gives notice of its intent to impose a fine and to charge costs. Both Jeanne Christensen and Doing Business, Inc. each have a right to request a hearing on the Statement of Charges.

A Final Decision and Order was entered regarding this matter on October 28, 2016.

Bikram, Inc.; Bikram Choudhury; Bikram’s Yoga College of India, L.P. – S-14-1423-14-CO01 - Consent Order

On June 12, 2014, The Securities Division entered into a Consent Order with Bikram, Inc., Bikram Choudhury and Bikram’s Yoga College of India, L.P. (collectively, “Respondents”). In the Consent Order, the Securities Division alleged that Respondents violated the registration and disclosure document provisions of the Washington State Franchise Investment Protection Act (the Act). Without admitting or denying the Securities Division’s allegations, Respondents agreed to cease and desist from violating the registration and disclosure document provisions of the Act. Respondents further agreed to pay investigative costs of $1,750. Respondents waived their right to a hearing and judicial review of this matter.

Sarah Louthan a/k/a Cerah Bennett - S-12-0994-14-FO01 – Final Order

On June 6, 2014, the Securities Division entered a Final Order against Respondent Sarah Louthan a/k/a Cerah Bennett. The Final Order stated that the Respondent failed to attend a Prehearing Conference on April 7, 2014, and that on April 9, 2014, Administrative Law Judge Steven C. Smith entered an Initial Order of Default that dismissed the Respondent’s appeal. The Final Order ordered the Respondent to cease and desist from any further violations of the Securities Act of Washington, and it imposed fines upon and charged costs to Sarah Louthan a/k/a Cerah Bennett. The Respondent has the right to petition the superior court for judicial review of the order. The Securities Division previously entered a Statement of Charges against Chadwick B. King and Sarah Louthan a/k/a Cerah Bennett on February 22, 2014.

Catalyst Management Group, LLC; Jeffrey M. Slowik, Michelangelo Viliami Domine, Rollin P. Shatto – S-10-026-13-SC02 – Statement of Charges

On June 6, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Impose Fines and to Charge Costs (“Statement of Charges”) against Catalyst Management Group, LLC; Jeffrey M. Slowik, a.k.a. Jeff Slowik and d.b.a. Catalyst Investment Club (Slowik); Michelangelo Viliami Domine, a.k.a. Miki Domine (Domine), and Rollin P. Shatto, a.k.a. Rollie Shatto (Shatto) (Respondents). The Statement of Charges alleges that Respondents Slowik and Domine violated RCW 21.20.140 and RCW 21.20.040 when they offered and sold $875,000 of “investment club” investments and $530,000 of “Medium Term Note” investments to investors. Further, the Statement of Charges alleges that Respondents Catalyst, Slowik and Domine violated RCW 21.20.010, the anti-fraud provision of the Washington Securities Act. The Statement of Charges alleges that Respondent Shatto violated RCW 21.20.040 because he offered investment club/joint venture bond investments while not registered as a broker-dealer or securities salesperson. The Securities Division intends to order Respondents to each cease and desist from violating the Securities Act of Washington, to impose fines, and to charge costs. Respondents each have the right to request a hearing on the Statement of Charges.

A Consent Order as to Michelangelo Viliami Domine was entered on August 20, 2014.

A Consent Order as to Rollin P. Shatto was entered on July 31, 2014.

A Consent Order was entered regarding this matter on July 15, 2014.

Annette Blanchard – S-12-0927-12-CO01 – Consent Order

On June 4, 2014, the Securities Division entered into a Consent Order with Annette Blanchard. The Securities Division had previously entered a Statement of Charges, S-12-0927-12-SC01, against Blanchard which alleged that Blanchard took $2,100 from a Washington State resident on the promise that Blanchard would deliver two million Iraqi Dinar and that Blanchard failed to deliver the foreign currency. The Statement of Charges further alleged that Blanchard violated the prohibition on commodity transactions section, the commodity merchant registration section, and the anti-fraud section of the Commodity Transaction Act of Washington. Without admitting or denying the Securities Division’s allegations, Blanchard agreed to cease and desist from violating sections of the Commodity Transaction Act of Washington. Blanchard further agreed to pay a fine of $4,500, of which $4,000 would be waived if Blanchard repaid the Washington State resident within six months of the entry of the Consent Order.

Alfred Mark Swanson, a/k/a Mark Swanson; Donald L. Swanson, Sr. – S-14-1405-14-SC01 – Statement of Charges

On May 30, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Impose Fines, and to Charge Costs (“Statement of Charges”) against Respondents Alfred Mark Swanson, a/k/a Mark Swanson, and Donald L. Swanson, Sr. (“Respondents”). The Statement of Charges alleges that Respondents violated RCW 21.20.010, the anti-fraud provision of the Securities Act of Washington, when they offered and sold a $50,000 investment to a Washington resident. The Securities Division intends to order Respondents to each cease and desist from violating the Securities Act of Washington, to impose fines, and to charge costs. Respondents each have a right to request a hearing on the Statement of Charges.

A Final Order was entered regarding this matter on July 21, 2014.

Couch Oil & Gas, Inc.; Charles O. Couch; Robin Charlet; Kirk Porter - S-14-1417-14-SC01 - Statement of Charges

On May 23, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Impose Fines, and to Charge Costs (“Statement of Charges”) against Couch Oil & Gas, Inc., Charles O. Couch, Robin Charlet, and Kirk Porter (“Respondents”). The Statement of Charges alleges that Respondents violated RCW 21.20.140 and RCW 21.20.040 when they offered and sold $629,375 of unregistered oil and gas investments to Washington residents. Further, the Statement of Charges alleges that Respondents violated RCW 21.20.010, the anti-fraud provision of the Securities Act of Washington. The Securities Division intends to order Respondents to each cease and desist from violating the Securities Act of Washington, to impose fines, and to charge costs. Respondents each have a right to request a hearing on the Statement of Charges.

A Final Order as to Couch Oil & Gas, Inc., Charles O. Couch was entered on May 13, 2016.

A Consent Order as to Robin Charlet was entered on December 24, 2015.

A Consent Order as to Kirk Porter was entered on October 8, 2014.

SuperFix, LLC; Kenneth Kinnear - S-11-0688-13-CO03 - Consent Order

On May 23, 2014, the Securities Division entered into a Consent Order with Kenneth Kinnear and SuperFix, LLC (“Respondents”). The Securities Division had previously entered a Statement of Charges against Respondents on July 3, 2013. The Securities Division alleged that Respondents violated RCW 21.20.010, RCW 21.20.040 and RCW 21.20.140 in connection with the offering of unregistered securities. Without admitting or denying the Securities Division’s allegations, Respondents agreed to cease and desist from violating the Securities Act of Washington. Kenneth Kinnear agreed to pay an administrative fine of $5,000 and investigative costs of $5,000. Respondents waived their right to a hearing and judicial review of this matter.

Showdown Partners; Express Entertainment, Inc.; Kenneth Kinnear - S-11-0688-13-CO02 - Consent Order

On May 23, 2014, the Securities Division entered into a Consent Order with Kenneth Kinnear, Express Entertainment, Inc., and Showdown Partners, LLC (“Respondents”). The Securities Division had previously entered a Statement of Charges against Respondents on July 3, 2013. The Securities Division alleged that Respondents violated RCW 21.20.010, RCW 21.20.040 and RCW 21.20.140 in connection with the offering of unregistered securities. Without admitting or denying the Securities Division’s allegations, Respondents agreed to cease and desist from violating the Securities Act of Washington. Kenneth Kinnear agreed to pay an administrative fine of $5,000 and investigative costs of $5,000. Respondents waived their right to a hearing and judicial review of this matter.

Radix Marine, Inc. - S-07-169-13-CO02 - Consent Order

On May 15, 2014, the Securities Division entered into a Consent Order with Radix Marine, Inc. The Securities Division had previously entered a Statement of Charges and Notice of Intent to Issue an Order to Cease and Desist, Impose Fines, and Recover Costs, S-07-169-11-SC01, against Radix Marine, Inc., Kathleen R. Bright, and Brad M. Goodspeed (collectively “Respondents”) on August 21, 2012. Radix Marine, Inc., located in Yakima, Washington, primarily develops, manufactures, and/or markets marine vessels. The Division alleged that the Respondents raised a total of $244,900 by selling convertible promissory notes to at least 14 investors, including at least 7 Washington residents. The Division further alleged that the Respondents offered and sold unregistered securities and violated the anti-fraud provision of the Securities Act of Washington. Radix Marine, Inc. neither admitted nor denied the allegations, but agreed to cease and desist from violating the Securities Act. Radix Marine, Inc. waived its right to a hearing and to judicial review of this matter.

Brad M. Goodspeed - S-07-169-13-CO03 - Consent Order

On May 7, 2014, the Securities Division entered into a Consent Order with Brad M. Goodspeed. The Securities Division had previously entered a Statement of Charges and Notice of Intent to Issue an Order to Cease and Desist, Impose Fines, and Recover Costs, S-07-169-11-SC01, against Radix Marine, Inc., Kathleen R. Bright, and Brad M. Goodspeed (collectively “Respondents”) on August 21, 2012. Radix Marine, Inc., located in Yakima, Washington, primarily develops, manufactures, and/or markets marine vessels. The Division alleged that the Respondents raised a total of $244,900 by selling convertible promissory notes to at least 14 investors, including at least 7 Washington residents. The Division further alleged that the Respondents offered and sold unregistered securities and violated the anti-fraud provision of the Securities Act of Washington. Goodspeed neither admitted nor denied the allegations, but agreed to cease and desist from violating the Securities Act. Goodspeed waived his right to a hearing and to judicial review of this matter.

Cascadia Capital Management; Joel Williams – S-14-1467-14-TO01 – Summary Order

On April 25, 2014, the Securities Division entered a Summary Order S-14-1467-14-TO01 against Cascadia Capital Management and Joel Williams. Cascadia Capital Management (IARD # 0164579) is a registered investment adviser located in Seattle, Washington and Mr. Williams (CRD # 4553076) is its sole registered investment adviser representative. The Summary Order alleged that Respondents violated the Securities Act by failing to file a balance sheet and an annual updated Form ADV parts 1 and 2 for the year ended December 31, 2013. The order alleges that the Securities Division contacted Respondents by letter, telephone, and email regarding the deadline to file the balance sheet and the annual update to Form ADV. The Order assesses a fine and costs. The Respondents have a right to request a hearing on the matter.

A Final Order was entered regarding this matter on January 12, 2015.

Troy Binfet – S-14-1466-14-TO01 – Summary Order

On April 25, 2014, the Securities Division entered a Summary Order S-14-1466-14-TO01 against Troy Binfet, an investment adviser located in Grandview, Washington. Mr. Binfet (CRD # 546192) operated an investment advisory business using the name Vintage Wealth Management (IARD # 0157462.) The Summary Order alleged that Respondent violated the Securities Act by failing to file a balance sheet and an annual updated Form ADV parts 1 and 2 for the year ended December 31, 2013. The order alleges that the Securities Division contacted Respondent by letter, telephone, and email regarding the deadline to file the balance sheet and the annual update to Form ADV. The Order assesses a fine and costs. The Respondent has a right to request a hearing on the matter.

A Final Order was entered regarding this matter on July 8, 2014.

John Tate – S-09-231-14-CO01 – Consent Order

On April 21, 2014, the Securities Division entered into a Consent Order with John Tate. The Securities Division had previously entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Impose Fines and to Charge Costs (“Statement of Charges”) against Scott Campbell, John Tate, and SCI Funding Group, LLC (“Respondents”) on February 28, 2014. The Statement of Charges alleged that Respondents violated RCW 21.20.140 by offering and selling over $1 million of unregistered securities. The Statement of Charges further alleged that Scott Campbell and John Tate acted as unregistered securities salespersons or broker-dealers in violation of RCW 21.20.040. The Statement of Charges also alleged that Respondents violated anti-fraud provisions of RCW 21.20.010. Without admitting or denying the Securities Division’s allegations, John Tate agreed to cease and desist from violating the Securities Act of Washington and to pay a fine of $3,500 and investigative costs of $1,000. John Tate waived his right to a hearing and judicial review of this matter.

BMC Worldwide, Inc. d/b/a Blue Moon Coins; Aaron Scott; Jamaal Brown; Affordable Precious Metals, LLC; Liquid Assets Empire – S-14-1408-14-SC01 – Statement of Charges

On April 18, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist and Impose Fines against Respondents BMC Worldwide, Inc. d/b/a Blue Moon Coins, Aaron Scott, Jamaal Brown, Affordable Precious Metals, LLC and Liquid Assets Empire.

The Statement of Charges alleges that the Respondents offered and sold precious metal bullion to investors all over the country and failed to deliver the precious metals. The Statement of Charges further alleges that the Respondents violated the prohibition on commodity transactions section of the Commodity Transaction Act of Washington by selling a commodity contract that was not exempt under RCW 21.30.030 or RCW 21.30.040. The Statement of Charges further alleges that the Respondents violated the commodity merchant registration and anti-fraud sections of the Act. The Securities Division is seeking fines against Respondents BMC Worldwide, Inc. d/b/a Blue Moon Coins, Aaron Scott and Jamaal Brown. Respondents each have the right to request a hearing on the Statement of Charges.

A Consent Order was entered regarding this matter on June 10, 2015.

Jason Brown; Your Local Market, LLC - S-12-1009-14-SC01 - Statement Of Charges

On April 17, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Impose Fines, and to Charge Costs (“Statement of Charges”) against Your Local Market, LLC and Jason Brown (“Respondents”). The Statement of Charges alleges that Respondents violated RCW 21.20.140 and RCW 21.20.040 when they offered and sold $20,000 of unregistered memberships to 24 Your Local Market customers in order to raise working capital for the market, which was undercapitalized. Further, the Statement of Charges alleges that Respondents violated RCW 21.20.010, the anti-fraud provision of the Securities Act of Washington. The Securities Division intends to order Respondents to each cease and desist from violating the Securities Act of Washington, to impose fines, and to charge costs. Respondents each have a right to request a hearing on the Statement of Charges.

A Consent Order was entered regarding this matter on September 25, 2014.

Edvita Corporation; Edvita Publication Venture Fund I, LLC; James E. Cowan - S-08-012-14-SC01 - Statement of Charges

On April 15, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Issue an Order to Cease and Desist, Impose Fines, and Recover Costs against Edvita Corporation, Edvita Publication Venture Fund I, LLC, and James E. Cowan (collectively “Respondents”). The Division alleges that from approximately 2001 to 2006, Edvita common stock and interests in the Edvita Publication Venture Fund I, LLC were offered and sold. Approximately 88 investors, the majority of whom are Washington residents, invested a total of over $1 million dollars. The Division alleges that the Respondents violated the anti-fraud provisions of the Securities Act of Washington, offered and sold unregistered securities and acted as unregistered broker-dealers or securities salespersons. The Division ordered the Respondents to cease and desist from violating the Securities Act of Washington. The Division also gave notice of its intent to impose fines and charge costs. Respondents have a right to request a hearing on the Statement of Charges.

A Final Order as James E. Cowan was entered on July 24, 2014.

Armadillo Energy, Inc.; Paul Schuett; Doug DeBoer; James Linde; and Bradley Belschner – S-13-1261-14-FO01 – Final Order

On April 3, 2014, the Securities Division entered a Final Order as to Armadillo Energy, Inc., Paul Schuett, and Bradley Belschner.

The Securities Division had previously entered a Statement of Charges against Armadillo Energy, Inc., Paul Schuett, Doug DeBoer, James Linde, and Bradley Belschner alleging that the Respondents violated the Securities Act of Washington in the process of raising money to operate an oil lease in Oklahoma.

The Final Order orders Armadillo Energy, Inc., Paul Schuett, and Bradley Belschner to cease and desist from violating the registration and anti-fraud provisions of the Securities Act of Washington, and it orders Aramdillo Energy, Inc. and Paul Schuett to pay fines and costs. Armadillo Energy, Inc., Paul Schuett, and Bradley Belschner have the right to request judicial review of the Final Order.

SCI Funding Group, LLC; Scott Campbell; John Tate – S-09-231-14-FO01 - Final Order

On March 28, 2014, the Securities Division issued the Entry of Findings of Fact and Conclusions of Law and Final Order to Cease and Desist, To Impose a Fine, and To Charge Costs, as to SCI Funding Group, LLC and Scott Campbell (“Final Order”). The Securities Division had previously entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Impose Fines and to Charge Costs on February 28, 2014. The Securities Division alleged that Respondents violated the Securities Act of Washington (“Act”) by offering and selling over $1 million of unregistered securities, by acting as unregistered securities salespersons or broker-dealers, and by violating the Act’s antifraud provision. The Final Order orders Respondents Scott Campbell and SCI Funding Group, LLC to cease and desist from violating RCW 21.20.010, 21.20.040, and RCW 21.20.140. The Final Order also orders Respondent Scott Campbell to pay a fine of $10,000 and investigative costs of $5,000. Respondents Scott Campbell and SCI Funding Group, LLC each have a right to request judicial review of the Final Order.

Donald A. Kernan – S-13-1332-14-FO01 – Final Order

On March 28, 2014, the Securities Division entered a Final Order against Donald Alan Kernan, Jr. (“Kernan”), and Donald Kernan, LLC f/k/a DreamTopia (“DreamTopia”) (collectively, “Respondents”). The Division previously entered a Statement of Charges against Respondents that alleged that Kernan obtained a $21,000 investment from a Washington resident after promising to add the Washington resident’s funds to Kernan’s account with Safe Deposit, S.A., a Panamanian corporation purporting to engage in speculative stock trading. The Statement of Charges also alleged that Kernan offered the Washington resident an investment in DreamTopia. In addition, the Statement of Charges alleged that Respondents violated the registration of securities and anti-fraud provisions of the Securities Act of Washington, and that Kernan acted as an unregistered securities salesperson in violation of the Act. The Final Order orders the Respondents to cease and desist from violating the Securities Act of Washington, to pay a fine, and to reimburse the Division’s costs. The Respondents have a right to request judicial review of the Final Order.

Jill Jensen-Ames – S-09-133-10-CO02 – Consent Order

On March 25, 2014, the Securities Division entered into a Consent Order with Jill Jensen Ames. The Securities Division had previously entered a Statement of Charges and Notice of Intent to Enter an Order to Cease and Desist, Impose Fines, and Recover Costs (“Statement of Charges”) against Laguna S.A., Jill Jensen Ames, Katherine Swanberg, and Jeff Finch (collectively “Respondents”) on December 23, 2009. The Statement of Charges alleged that Respondents raised $820,000 by offering an investment contract involving land in Nicaragua to 15 investors, most of whom were Washington residents. The Statement of Charges alleged that Respondents offered unregistered securities, acted as unregistered broker-dealers or securities salespersons, and violated the anti-fraud provisions of the Securities Act of Washington. In settling the matter, Respondent Ames neither admitted nor denied the allegations, but agreed to cease and desist from violating the Securities Act. Respondent Ames agreed to pay a fine of $5,000. Respondent Swanberg waived her right to a hearing and judicial review of the matter.

Sanuwave Health, Inc. – S-13-1399-14-CO01 - Consent Order

On March 13, 2014, The Securities Division entered into a Consent Order with Sanuwave Health, Inc. (Sanuwave). In the Consent Order, the Securities Division alleged that Sanuwave violated the registration provision of the Securities Act of Washington (the Act). Without admitting or denying the Securities Division’s allegations, Sanuwave agreed to cease and desist from violating the registration provision of the Act. Sanuwave further agreed to pay a fine of $1,000 and investigative costs of $500. Sanuwave waived its right to a hearing and judicial review of this matter.

Frederick Allan Bieber - S-11-0596-14-FO01 - Final Order

On March 10, 2014, the Securities Division entered a Final Order to Deny Future Registrations, Impose Fines, and Charge Costs against Frederick Allan Bieber (“Respondent”). The Division previously entered a Statement of Charges and Notice of Intent to Issue an Order to Deny Future Registrations, Impose Fines, and Charge Costs on January 7, 2014. The Respondent was formerly employed as a securities salesperson with KMS Financial Services, Inc. (“KMS”) and later Pacific West Securities, Inc. (“Pacific West”). While employed at KMS, the Respondent entered into a personal financial transaction with a customer and arranged loans for and between customers. When the Respondent was later employed with Pacific West, he did not provide prompt written notice to his firm when he received compensation from an outside business activity. The Respondent also made material misstatements to his firm on annual compliance questionnaires regarding the outside compensation he received. The Respondent engaged in dishonest and unethical practices in the securities business. The Division ordered that any future securities registration applications of the Respondent shall be denied. The Division also orders the Respondent to pay a fine of $20,000 and costs of $5,000. The Respondent has a right to request judicial review of this matter.

Envision Retirement LLC; Stephen J. Barrett - S-13-1167-13-CO01 - Consent Order

On March 10, 2014, the Securities Division entered into a Consent Order with Envision Retirement, LLC (“Envision”), and Stephen J. Barrett (“Barrett”) (collectively, “Respondents”). The Division had previously entered a Statement of Charges against Respondents and others alleging multiple violations of the Securities Act of Washington (the “Act”). Without admitting or denying the contents of the Statement of Charges, Respondents agreed to cease and desist from all violations of the Act and to reimburse the Securities Division $1,500 for investigative costs. The Consent Order also revoked Envision’s investment adviser registration and Barrett’s investment adviser representative registration. In settling, Respondents waived their rights to an administrative hearing and to judicial review of this matter.

Cirrus Partners, Inc.; MRG International, Inc. – S-13-1167-14-FO01 – Final Order

On March 5, 2014, the Securities Division entered into a Final Order against Cirrus Partners, Inc. and MRG International, Inc. (collectively, “Respondents”). The Division had previously entered a Statement of Charges against Respondents and others alleging multiple violations of the Securities Act of Washington (the “Act”). Respondents each failed to request an administrative hearing on the Statement of Charges within twenty days of being served. The Final Order orders Respondents to cease and desist from all violations of the Act and orders each Respondent to pay a fine of $10,000. Respondents have the right to judicial review of the Final Order.

Northwest Growers Association (Harrison) – S-13-1291-14-CO03 - Consent Order

On March 3, 2014, the Securities Division entered into a Consent Order with James Harrison. The Securities Division had previously entered a Statement of Charges against James Harrison on January 21, 2014. The Statement of Charges alleged that James Harrison violated RCW 21.20.010, RCW 21.20.040, and RCW 21.20.140 in connection with the offer and sale of unregistered securities. Without admitting or denying the Securities Division’s allegations, James Harrison agreed to cease and desist from violating the Securities Act of Washington and to pay a fine of $1,000 and investigative costs of $1,000. James Harrison waived his right to a hearing and judicial review of this matter.

SCI Funding Group, LLC; Scott Campbell; John Tate – S-09-231-14-SC01 – Statement of Charges

On February 28, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Impose Fines and to Charge Costs (“Statement of Charges”) against Scott Campbell, John Tate, and SCI Funding Group, LLC (“Respondents”). The Statement of Charges alleges that Respondents violated RCW 21.20.140 by offering and selling over $1 million of unregistered securities. The Statement of Charges further alleges that Scott Campbell and John Tate acted as unregistered securities salespersons or broker-dealers in violation of RCW 21.20.040. The Statement of Charges also alleges that Respondents violated anti-fraud provisions of RCW 21.20.010. The Securities Division intends to order Respondents to cease and desist from violating the Securities Act of Washington, and gives notice of its intent to impose fines and charge costs. Respondents have a right to request a hearing on the Statement of Charges.

A Final Order was entered regarding this matter on March 28, 2014.

A Consent Order as to John Tate was entered on April 21, 2014.

Northwest Growers Association; Charles Feick; William Moore; James Harrison – S-13-1291-14-CO02 – Consent Order

On February 26, 2014, the Securities Division entered into a Consent Order with William Moore. The Securities Division had previously entered a Statement of Charges against William Moore on January 21, 2014. The Statement of Charges alleged that William Moore violated RCW 21.20.010, RCW 21.20.040, and RCW 21.20.140 in connection with the offer and sale of unregistered securities. Without admitting or denying the Securities Division’s allegations, William Moore agreed to cease and desist from violating the Securities Act of Washington and to pay a fine of $1,000 and investigative costs of $1,000. William Moore waived his right to a hearing and judicial review of this matter.

Armadillo Energy, Inc.; Paul Schuett; Doug DeBoer; James Linde; and Bradley Belschner – S-13-1261-13-SC01 – Statement of Charges

On February 24, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Impose Fines, and to Charge Costs against Respondents Armadillo Energy, Inc., Paul Schuett, Doug DeBoer, James Linde, and Bradley Belschner.

The Statement of Charges alleges that Armadillo Energy, Inc. solicited Armadillo Energy Partnership Agreements to raise funds to operate an oil lease in Oklahoma. The Statement of Charges further alleges that in the course of soliciting these partnership agreements, the Respondents collectively misrepresented or failed to disclose material information to Armadillo Energy investors. Furthermore, the Statement of Charges alleges that Respondents Paul Schuett, Doug DeBoer, James Linde, and Bradley Belschner each violated the registration provision of the Securities Act of Washington in connection with their sale of Armadillo Energy Partnership Agreements.

The Securities Division intends to order each Respondent to cease and desist from violating the Securities Act of Washington and gives notice of its intent to impose a fine and to charge costs. Respondents each have a right to request a hearing on the Statement of Charges.

A Final Order was entered regarding this matter on April 3, 2014.

Adams Financial Concepts, LLC and Alexander Michael Adams - S-13-1221-14-CO01 - Consent Order

On February 21, 2014, the Securities Division entered into a Consent Order with Respondents, Adams Financial Concepts, LLC (“AFC”), a registered investment adviser in Seattle, Washington, and Alexander Michael Adams (“Adams”), a registered investment adviser representative. The Securities Division alleged that AFC was the managing member of a hedge fund with four Washington limited partners who invested a total of approximately $2 million. The Securities Division alleged that when offering and selling the limited partnership interests and when purchasing investments for the hedge fund, Respondents failed to disclose material information to the investors. Without admitting or denying the allegations, Respondents agreed to pay a fine of $10,000, to pay investigative costs of $5,000, and agreed that Respondents would not have custody of any client funds or securities for a period of ten years from the date of the Consent Order. Respondents each waived their right to a hearing and to judicial review of this matter.

Gulftex Operating, Inc.; Frenchtown Acres, LLC; Timothy P. Burroughs; Tim Neeley – S-13-1274-14-SC01 - Statement of Charges

On February 21, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Impose Fines, and to Charge Costs (“Statement of Charges”) against Gulftex Operating, Inc., Frenchtown Acres, LLC, Timothy P. Burroughs, and Tim Neeley (“Respondents”). The Statement of Charges alleges that Respondents violated RCW 21.20.140 and RCW 21.20.040 when they offered and sold $540,000 of unregistered oil and gas investments to Washington residents. Further, the Statement of Charges alleges that Respondents violated RCW 21.20.010, the anti-fraud provision of the Washington Securities Act. The Securities Division intends to order Respondents to each cease and desist from violating the Securities Act of Washington, to impose fines, and to charge costs. Respondents each have a right to request a hearing on the Statement of Charges.

A Consent Order as Timothy P. Burroughs was entered on October 28, 2014.

A Final Order was entered regarding this matter on November 21, 2014.

Charles Feick ; Northwest Growers Association, Inc - S-13-1291-14-CO01 – Consent Order

On February 14, 2014, the Securities Division entered into a Consent Order with Charles Feick and Northwest Growers Association, Inc. The Securities Division had previously entered a Statement of Charges against Charles Feick and Northwest Growers Association, Inc. on January 21, 2014. The Statement of Charges alleged that Charles Feick and Northwest Growers Association, Inc. violated RCW 21.20.010 and RCW 21.20.140, and that Charles Feick also violated RCW 21.20.040, in connection with the offer and sale of unregistered securities. Without admitting or denying the Securities Division’s allegations, Charles Feick and Northwest Growers Association, Inc. each agreed to cease and desist from violating the Securities Act of Washington and to each pay a fine of $1,000 and investigative costs of $1,000. Charles Feick and Northwest Growers Association, Inc. waived their right to a hearing and judicial review of this matter.

Donald Alan Kernan - S-13-1332-14-SC01 - Statement of Charges

On February 12, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Impose a Fine, and to Charge Costs (the “Statement of Charges”) against Donald Alan Kernan, Jr. (“Kernan”), and Donald Kernan, LLC f/k/a DreamTopia (“DreamTopia”) (collectively, “Respondents”). The Statement of Charges alleges that Kernan obtained a $21,000 investment from a Washington resident after promising to add the Washington resident’s funds to Kernan’s account with Safe Deposit, S.A., a Panamanian corporation purporting to engage in speculative stock trading. The Statement of Charges also alleges that Kernan offered the Washington resident an investment in DreamTopia. In addition, the Statement of Charges alleges that Respondents violated the registration of securities and anti-fraud provisions of the Securities Act of Washington, and that Kernan acted as an unregistered securities salesperson in violation of the Act. The Securities Division intends to order the Respondents to cease and desist from violating the Securities Act of Washington and gives notice of its intent to impose a fine and to recover costs. The Respondents have a right to request a hearing on the Statement of Charges.

A Final Order was entered regarding this matter on March 28, 2014.

Lakemont Commercial Consulting, LLC; Larrick Holdings LLC; and Larry F. Allen - S-12-1042-14-FO02 - Final Order

On February 12, 2014, the Securities Division made an Entry of Findings of Fact and Conclusions of Law and Final Order to Cease and Desist, Impose a Fine, and Charge Costs (“Final Order”), as to Respondents Lakemont Commercial Consulting, LLC; Larrick Holdings LLC; and Larry F. Allen. The Securities Division had previously entered a Statement of Charges and Notice of Intent to Enter an Order to Cease and Desist, Impose a Fine, and Charge Costs, on January 8, 2014. The Securities Division alleged that Respondents, doing business in Bellevue, Washington, had offered and sold more than $3 million worth of investments to at least eleven investors from 2008 through 2010. The Securities Division alleged that Respondents violated RCW 21.20.010, the anti-fraud section of the Securities Act of Washington, by misrepresenting or failing to disclose material information to investors. The Final Order orders Respondents to cease and desist from violating the Securities Act of Washington and orders Respondent Larry F. Allen to pay a fine of $10,000 and investigative costs of $5,000. Respondents each have a right to request judicial review of the Final Order.

Richard A. Ames - S-12-1042-14-FO01 -Final Order

On February 12, 2014, the Securities Division made an Entry of Findings of Fact and Conclusions of Law and Final Order to Cease and Desist, Impose a Fine, and Charge Costs (“Final Order”), as to Richard A. Ames (“Respondent”). The Securities Division had previously entered a Statement of Charges and Notice of Intent to Enter an Order to Cease and Desist, Impose a Fine, and Charge Costs, on January 8, 2014. The Securities Division alleged that Respondent, doing business in Bellevue, Washington, had offered and sold approximately $2.8 million worth of investments to at least nine investors from 2008 through 2010. The Securities Division alleged that Respondent violated RCW 21.20.010, the anti-fraud section of the Securities Act of Washington, by misrepresenting or failing to disclose material information to investors. The Final Order orders Respondent to cease and desist from violating the Securities Act of Washington and orders Respondent to pay a fine of $20,000 and investigative costs of $5,000. Respondent has a right to request judicial review of the Final Order.

Global Asset Research and Recovery; Petra Alluis - S-11-0692-14-FO01 - Final Order

On February 12, 2014, the Securities Division issued the Entry of Findings of Fact and Conclusions of Law and Final Order to Cease and Desist, To Impose a Fine, and To Charge Costs (“Final Order”) against Petra Alluis dba Global Asset Research and Recovery (“Respondent”). The Final Order orders Respondent to cease and desist from violating RCW 21.20.010 and RCW 21.20.140. The Final Order also orders Respondent to pay a fine of $10,000 and investigative costs of $1,000. Respondent has a right to request judicial review of the Final Order.

Fresh Healthy Vending, LLC - S-13-1304-14-SC01 - Statement of Charges

On February 11, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Enter an Order to Cease and Desist against Respondent Fresh Healthy Vending. The Statement of Charges alleges that the Respondent violated the Franchise Investment Protection Act by offering and selling vending machine franchises in Washington. The Respondent was not registered to sell franchises in Washington at the time, and the franchise was neither registered nor exempt from registration. The Statement of Charges further alleges that the Respondent failed to disclose material information in the franchise disclosure document that it provided to actual and potential Washington franchisees, and that the Respondent violated a past order issued by the Division. The Securities Division intends to order the Respondent to cease and desist from violating RCW 19.100.020 and RCW 19.100.170, the registration and anti-fraud provisions of the Franchise Investment Protection Act. The Respondent has an opportunity for hearing in this matter.

A Consent Order was entered regarding this matter on July 2, 2014.

Joe Toner – S-11-0620-13-CO02 – Consent Order

On February 5, 2014, the Securities Division entered into a Consent Order with Joe Toner (“Respondent”). The Securities Division had previously entered a Statement of Charges (S-11-0620-13-SC02) against the Respondent on May 31, 2013. The Securities Division alleged that Respondent violated RCW 21.20.010, RCW 21.20.040, and RCW 21.20.140 in connection with the offering of unregistered securities related to real estate. Without admitting or denying the Securities Division’s allegations, Respondent agreed to cease and desist from violating the Washington Securities Act. Respondent agreed to pay a fine of $2,500 and investigative costs of $1,000. Respondent waived his right to a hearing and judicial review of this matter.

William Madison Swayne II - S-10-249-14-CO01 - Consent Order

On February 4, 2014, the Securities Division entered into a Consent Order with William Madison Swayne II (“Respondent”). The Securities Division alleged that Respondent made unsuitable sales of tenant-in-common (“TIC”) investments to at least two of his customers during 2006. The Securities Division alleged that when offering and selling the TIC investments, Respondent violated the suitability section of the Securities Act of Washington. Respondent neither admitted nor denied the allegations, but agreed to cease and desist from any violation of the Securities Act of Washington. Respondent agreed to pay investigative costs of $5,000. Respondent waived his right to a hearing and to judicial review of this matter.

Pacific West Securities, Inc. - S-09-048-13-CO02 & S-10-249-14-CO02 &#- Consent Order

On February 4, 2014, the Securities Division entered into a Consent Order with Pacific West Securities, Inc. (“Respondent”). The Securities Division alleged that Pacific West Securities, Inc. failed to establish, maintain, and enforce an adequate supervisory system for the sale of tenant-in-common (“TIC”) investments. As a result, when at least two registered representatives make unsuitable TIC sales to their customers between 2006 and 2008, the firm approved the transactions. The Securities Division further alleged that Pacific West Securities, Inc. violated the suitability section of the Securities Act of Washington. The Respondent neither admitted nor denied the allegations, but agreed to cease and desist from violating the Securities Act of Washington. The Respondent agreed to pay a fine of $15,000 and investigative costs of $10,000. The Respondent waived its right to a hearing and to judicial review of this matter.

EJZ Investments, LLC and Ernest John Zoller – S-07-532-14-FO01 – Final Order

On February 3, 2014, the Director of the State of Washington Department of Financial Institutions entered a Final Order as to EJZ Investments, LLC and Ernest John Zoller a/k/a Ernest J. or Ernie Zoller of Carson City, Nevada. The Final Order orders Respondents EJZ Investments, LLC and Ernest John Zoller to cease and desist from any further violations of RCW 21.20.010, RCW 21.20.040 and RCW 21.20.140. The Final Order also ordered Respondents EJZ Investments, LLC and Ernest John Zoller to each pay a fine of $5,000 and to each pay investigative costs of $1,500. Respondents each has the right to petition the superior court for judicial review of the order.

Robert L. Edwards d/b/a E-Z Unlimited – S-08-181-14-FO01 – Final Order

On February 3, 2014, the Director of the State of Washington Department of Financial Institutions entered a Final Order as to Robert Edwards d/b/a E-Z Unlimited and a/k/a Robert L. or Bob Edwards of Post Falls, Idaho. The Final Order orders Respondent Edwards to cease and desist from any further violations of RCW 21.20.010, RCW 21.20.040 and RCW 21.20.140. The Final Order also ordered Respondent Edwards to pay a fine of $5,000 and to pay investigative costs of $2,500. Respondent has the right to petition the superior court for judicial review of the order.

Stephen F. Darnell - S-13-1393-14-CO01 – Consent Order

On January 30, 2014, the Securities Division entered into a Consent Order with Mr. Stephen F. Darnell. Mr. Darnell had been providing investment advice for compensation. After receiving a letter from the Securities Division informing him of the investment adviser registration requirements, Mr. Darnell refunded all compensation he received for providing investment advice to his clients. Thereafter, the Securities Division entered into a Consent Order with Mr. Darnell. The Consent Order concluded that Mr. Darnell acted as an unregistered investment adviser. In the Consent Order, Mr. Darnell agreed to cease and desist from violating the Securities Act of Washington and to pay a fine of $1,500. Mr. Darnell waived his rights to a hearing and judicial review of the matter.

iCooper, Inc. – S-11-0593-14-FO01 – Final Order

On January 30, 2014, the Securities Division issued the Entry of Findings of Fact and Conclusions of Law and Final Order to Cease and Desist, To Impose a Fine, and To Charge Costs (“Final Order”) against iCooper, Inc. and Ken Hines. The Final Order orders iCooper, Inc. and Ken Hines to cease and desist from violating RCW 21.20.010, RCW 21.20.040, and RCW 21.20.140. The Final Order also orders Ken Hines to pay fine of $5,000 and investigative costs of $1,000. Respondents iCooper, Inc. and Ken Hines have the right to request judicial review of the Final Order.

Mr. Oil Saver, LLC; Mr. Fire Safety, LLC; and Chris Daskalakis – S-13-1280-13-CO01 – Consent Order

On January 30, 2014, the Securities Division entered into a Consent Order with Mr. Oil Saver, LLC; Mr. Fire Safety, LLC; and Chris Daskalakis. In the Consent Order, the Securities Division alleged that Mr. Oil Saver, LLC and Mr. Fire Safety, LLC violated the registration provision of the Washington State Franchise Protection Act (the Act). The Division further alleged that Mr. Oil Saver, LLC and Chris Daskalakis violated the disclosure document and anti-fraud provisions of the Act. Without admitting or denying the Securities Division’s allegations, Respondents each agreed to cease and desist from violating the Act. Respondents further agreed to reimburse the Securities Division $3,000 for its costs of investigation. Respondents each waived their right to a hearing and judicial review of the matter.

Robin Thomas Naylor - S-09-048-13-CO01 – Consent Order

On January 27, 2014, the Securities Division entered into a Consent Order with Robin Thomas Naylor (“Respondent”). The Securities Division alleged that Naylor, while employed as a securities salesperson and investment adviser representative with Pacific West Securities, made unsuitable tenant-in-common (“TIC”) sales to at least two of his customers between 2007 and 2008. The Securities Division alleged that in offering and selling the TIC investments, Naylor violated the suitability section of the Securities Act of Washington. The Respondent neither admitted nor denied the allegations, but agreed to cease and desist from violating the Securities Act of Washington. The Respondent agreed to pay investigative costs of $2,500. The Respondent waived his right to a hearing and to judicial review of this matter.

Northwest Growers Association - S-13-1291-13-SC01 - Statment of Charges

On January 21, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Impose Fines and to Charge Costs (“Statement of Charges”) against Charles Feick, William Moore, James Harrison, and Northwest Growers Association, Inc. (“Respondents”). The Statement of Charges alleges that Respondents violated RCW 21.20.140 by offering and selling over $46,000 of unregistered Northwest Growers Association, Inc. stock. The Statement of Charges further alleges that Charles Feick, William Moore, and James Harrison acted as unregistered securities salespersons or broker-dealers in violation of RCW 21.20.040. The Statement of Charges also alleges that Respondents violated anti-fraud provisions of RCW 21.20.010. The Securities Division intends to order Respondents to cease and desist from violating the Securities Act of Washington, and gives notice of its intent to impose fines and charge costs. Respondents have a right to request a hearing on the Statement of Charges.

A Consent Order as to Charles Feick was entered on February 14, 2014.

A Consent Order as to William Moore was entered on February 26, 2014.

A Consent Order as to James Harrison was entered on March 03, 2014.

John Griffith – S-11-0620-13-FO02 – Final Order

On January 15, 2014, the Securities Division entered a Final Order against John Griffith. The Securities Division had previously entered a Statement of Charges against John Griffith on May 31, 2013, alleging violations of the Securities Act for his role in selling unregistered securities. The Final Order stated that John Griffith failed to attend a Prehearing Conference on December 2, 2013 and that on December 4, 2013, Administrative Law Judge Leslie Birnbaum entered an Order of Default that dismissed the Respondent’s appeal. The Final Order ordered John Griffith to cease and desist from any further violations of RCW 21.20.140, RCW 21.20.040, and RCW 21.20.010. The Final Order also ordered John Griffith to pay a fine of $10,000 and administrative costs of $5,000. John Griffith has the right to petition the superior court for judicial review of the Final Order.

Marty Edward Paul – S-13-1144-13-SC01 – Statement of Charges

On January 13, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, Revoke Registration, Deny Future Registration Applications, Impose a Fine, and Charge Costs (Statement of Charges) against Marty Edward Paul, aka Martin Paul (Paul). The Statement of Charges alleges that Paul borrowed $6.5 million from a client, provided false information to his firm about the loan, provided false information to his firm about his outside business activities, introduced clients to investments away from his firm, and provided false information to the firm about his outside investments. The Statement of Charges alleges that Paul was terminated by his firm for borrowing the money from his client, and that he was sanctioned by FINRA for borrowing the money from his client and providing inaccurate information to his firm about the loan and his outside business activities. Further, the Statement of Charges alleges that Paul misrepresented his termination and regulatory history to the Securities Division. The Securities Division intends to order Paul to cease and desist from violating the Securities Act of Washington, to revoke Paul’s investment adviser representative registration, to deny future securities registration applications, impose a fine, and charge costs. The respondent has the right to request a hearing on the Statement of Charges.

A Consent Order was entered regarding this matter on October 17, 2014.

Lakemont Commercial Consulting, LLC; Larrick Holdings LLC; Richard A. (“Rick”) Ames; and Larry F. Allen - S-12-1042-13-SC01 - Statement of Charges

On January 8, 2014, the Securities Division entered a Statement of Charges against Respondents Lakemont Commercial Consulting, LLC; Larrick Holdings LLC; Richard A. Ames; and Larry F. Allen. The Securities Division alleged that Respondents, doing business in Bellevue, Washington, offered and sold more than $3 million worth of investments to at least eleven investors from 2008 through 2010. The Securities Division alleged that Respondents each violated RCW 21.20.010, the anti-fraud provision of the Securities Act of Washington, because in connection with the offer and sale of promissory note investments, Respondents each misrepresented or failed to disclose material information to investors. The Statement of Charges gives notice of the Securities Division’s intent to order Respondents to cease and desist from violating the Securities Act of Washington, to impose fines, and to charge costs. The Respondents each have the right to request a hearing on the Statement of Charges.

A Final Order as to Richard A. Ames was entered on February 12, 2014.

A Final Order was entered regarding this matter on February 12, 2014.

Frederick Allan Bieber – S-11-0596-13-SC01 – Statement of Charges

On January 7, 2013, the Securities Division entered a Statement of Charges and Notice of Intent to Issue an Order to Deny Future Registrations, Impose Fines, and Charge Costs against Frederick Allan Bieber (“Respondent”). The Respondent was formerly employed as a securities salesperson with KMS Financial Services, Inc. (“KMS”) and later Pacific West Securities, Inc. (“Pacific West”). The Securities Division alleges that while employed at KMS, the Respondent entered into a personal financial transaction with a customer and arranged loans for and between customers. When the Respondent was later employed with Pacific West, he did not provide prompt written notice to his firm when he received compensation from an outside business activity. The Respondent also made material misstatements to his firm on annual compliance questionnaires regarding the outside compensation he received. The Securities Division alleges that the Respondent engaged in dishonest and unethical practices in the securities business. The Securities Division gave notice of its intent to deny future securities registration applications of the Respondent. The Securities Division also gave notice of its intent to impose a fine and recover costs. The Respondent has a right to request a hearing on the Statement of Charges.

A Final Order was entered regarding this matter on March 10, 2014.

Mondays off Music, Inc.; City Stream, Inc.; Michael Raley; and Andrea Braeutigam – S-12-1037-13-SC01 – Statement of Charges

On January 2, 2014, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Impose Fines and to Charge Costs (Statement of Charges) against Mondays off Music, Inc.; City Stream, Inc.; Michael Raley; and Andrea Braeutigam (collectively, Respondents). The Securities Division alleges that Respondents violated RCW 21.20.040 and RCW 21.20.140 when they offered or sold unregistered securities. The Securities Division also alleges that Respondents violated RCW 21.20.010, the anti-fraud provision of the Securities Act of Washington. Further, the Securities Division alleges that City Stream, Inc. and Michael Raley violated RCW 21.20.350 by filing a false or misleading document with the Division. The Securities Division intends to order the Respondents to cease and desist from violating the Securities Act of Washington, to impose fines, and to charge costs. Respondents each have a right to request a hearing on the Statement of Charges.

A Consent Order was entered regarding this matter on July 9, 2014.

A Consent Order as to Andrea Braeutigam was entered on June 26, 2014.

Vendco Bros, Inc. – S-13-1301-13-CO01 – Consent Order

On January 2, 2014, the Securities Division entered into a Consent Order with Vendco Bros, Inc. The Securities Division alleged that Vendco Bros, Inc. violated the registration and disclosure provisions of the Business Opportunity Fraud Act of Washington. Without admitting or denying the Securities Division’s allegations, Vendco Bros, Inc. agreed to cease and desist from violating the Business Opportunity Fraud Act of Washington. Vendco Bros, Inc. further agreed to pay investigative costs of $500. Vendco Bros, Inc. waived its right to a hearing and judicial review of the matter.

Retirement Protection Services Wealth Management LLC; Gregg Alan Henderson – S-13-1210-13-CO01 – Consent Order

On January 2, 2014, the Securities Division entered into a Consent Order with Retirement Protection Services Wealth Management LLC (“RPSWM”) and Gregg Alan Henderson (collectively, “the Respondents”). The Securities Division had previously issued a Statement of Charges, S-13-1210-13-SC01, against the Respondents. The Securities Division alleged that Gregg Alan Henderson impersonated a client in an attempt to liquidate that client’s account, was the subject of an Order by the Washington Office of the Insurance Commissioner revoking his insurance producer license for violations of Washington insurance laws, filed false or misleading documents with the Securities Division, and failed to make required updates to RPSWM’s disclosure documents. The Securities Division further alleged that this conduct violated the Securities Act of Washington. Without admitting or denying the allegations, the Respondents agreed to the revocation of RPSWM’s investment adviser registration, the revocation of Mr. Henderson’s investment adviser representative registration, and the future denial of any investment adviser registration, investment adviser representative registration, broker-dealer registration, or security salesperson registration that the Respondents may seek in the future. The Respondents each waived their right to a hearing and judicial review of the matter.