Orders From Other Years

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Shawn Anthony Mesaros and PAMRIA LLC - S-17-2348-17-TO01 - SOC and Summary Order

On December 8, 2017, the Securities Division entered a Statement of Charges and Summary Order Suspending Investment Adviser Registration and Investment Adviser Representative Registration and Notice of Intent to Revoke Registration and Enter Order to Cease and Desist, Deny Future Registrations, Impose Fines, and Recover Costs (“Order”) against PAMRIA LLC (“PAMRIA”) and Shawn Anthony Mesaros (“Mesaros”). The Order alleges that Respondents failed to update Form U4 and Form ADV filings with the Securities Division, as required, to reflect Mesaros’s unsatisfied judgments, suspension from Financial Industry Regulatory Authority (“FINRA”) membership, and liability in an arbitration claim involving an investment business. The Order also alleges that Respondents filed a Form ADV with the Securities Division that falsely represented that Mesaros did not have any unsatisfied judgments, a suspension from FINRA membership, and a liability in an arbitration claim involving an investment business. The Order further alleges that PAMRIA failed to notify the Securities Division when there was a change in its ownership. The Securities Division orders the suspension of PAMRIA’s investment adviser registration and Shawn Anthony Mesaros’s investment adviser representative registration. The Securities Division gives notice of its intent to order the Respondents to cease and desist from violating the Securities Act, and enter an order to revoke their registrations, deny any future registration applications they may file, impose fines, and charge costs. Respondents have the right to request a hearing on the Order.

A Consent Order was entered regarding this matter on January 19, 2018.

Dennis K. Mason - S-17-2159-17-FO02 - Final Order

On November 17, 2017, the Securities Division entered a Final Order against Dennis K. Mason.

The Securities Division had previously entered a Statement of Charges against Dennis K. Mason, alleging that he violated the franchise broker registration provision of the Franchise Investment Protection Act in connection with his offer of a New York Bagel Enterprises franchise in Washington. The Securities Division further alleged that Dennis K. Mason also violated the Franchise Investment Protection Act by making untrue statements and omissions of material fact in his online advertisements for New York Bagel Enterprises franchises.

The Final Order orders Dennis K. Mason to cease and desist from further violations of the Franchise Investment Protection Act. Dennis K. Mason has the right to request judicial review of the Final Order.

Lisa Peake - S-17-2244-17-SC01 - Statement of Charges

On November 16, 2017, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, Deny Salesperson Registration, Impose Fines, and Charge Costs (“Statement of Charges”) against Respondent Lisa Peake (“Peake”), CRD #1606662. In the Statement of Charges, the Securities Division alleges that Peake, a former registered investment adviser representative and securities salesperson in the Vancouver area, violated the Securities Act of Washington and accompanying regulations by selling a client list for $7,000 to two other Vancouver-area financial professionals, without permission from her clients. The Statement of Charges gives notice of the Securities Division’s intent to enter an order to cease and desist, to impose fines of $7,000, to charge costs of $1,000, and to deny any future investment adviser representative or securities salesperson applications for registration for a period of 30 days. Peake has a right to request a hearing on the Statement of Charges.

Lawson Financial Corporation and Robert Lawson - S-17-2305-17-SC01 - Statement of Charges

On November 9, 2017, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Revoke Registration and to Deny Future Registrations (“Statement of Charges”) against Lawson Financial Corporation (“LFC”) and Robert Warren Lawson (“Lawson”). The Statement of Charges alleges that the Financial Industry Regulatory Authority (“FINRA”) expelled LFC and Lawson from FINRA membership for committing securities fraud when they sold millions of dollars of municipal revenue bonds to LFC customers. The Statement of Charges further alleges that the Securities and Exchange Commission (“SEC”) censured LFC and barred Lawson from associations with any broker, dealer, and investment adviser for failing to conduct reasonable due diligence when underwriting bond offerings. The Securities Division intends to revoke LFC’s broker-dealer registration and to order that any broker-dealer, securities salesperson, investment adviser, or investment adviser representative registration applications LFC or Lawson may file in the future be denied. LFC and Lawson each have a right to request a hearing on the Statement of Charges.

A Consent Order was entered regarding this matter on June 20, 2018.

OBB Organics, LLC - S-17-2254-17-CO01 - Consent Order

On November 6th, 2017, the Securities Division entered into a Consent Order with Respondents Danielle A. Van Auken, a Washington resident and OBB Organics, LLC, d.b.a. Organic Bronze Bar, an Oregon limited liability company. In the Consent Order, the Securities Division alleged that Respondents violated the Franchise Investment Protection Act by offering and selling franchises to two state residents while not registered to do so and failed to provide prospective franchisees with a franchise disclosure document with current material information about the franchise offering. Without admitting or denying the Securities Division’s allegations, Respondents agreed to cease and desist from violations of RCW 19.100.020, RCW 19.100.080, and RCW 19.100.170, the registration, disclosure document and violations portions of the Franchise Investment Protection Act. Respondents Danielle A. Van Auken and OBB Organics, LLC agreed to pay investigative costs of $3,125 and waived their right to a hearing and judicial review of the matter.

Gary Meier - S-15-1759-17-CO01 - Consent Order

On November 6, 2017, the Securities Division entered into a Consent Order with Respondent Gary Meier.

The Securities Division had previously entered a Statement of Charges against Gary Meier alleging that Gary Meier engaged in the following unethical business practices as an investment adviser representative in Washington: executing transactions in client accounts without obtaining prior authority to do so; making unsuitable investment recommendations through the purchase of speculative penny stock in client accounts; misrepresenting to clients the future value of their penny stock holdings; and engaging in unregistered investment adviser activity.

Without admitting or denying the Securities Division’s allegations, Gary Meier agreed to cease and desist from violating the Securities Act of Washington, pay $5,000 in investigative costs, and pay $5,000 in fines. Gary Meier further agreed to not apply to register as a broker-dealer, securities salesperson, investment adviser, or investment adviser representative in Washington. Gary Meier waived his right to a hearing and judicial review of this matter.

Gary Meier and Aaron O’Neal - S-16-2029-17-CO02 – Consent Order

On November 6, 2017, the Securities Division entered into a Consent Order with Respondent Gary Meier.

The Securities Division had previously issued a Statement of Charges against Gary Meier alleging that, as a registered broker-dealer representative and investment adviser representative, he effected securities transactions outside of and without the knowledge of the firm he represented and failed to document this work in his regulatory filings. The Statement of Charges further alleged that Gary Meier failed to disclose a conflict of interest in these private securities sales.

Without admitting or denying the Securities Division’s allegations, Gary Meier agreed to cease and desist from violating the Securities Act of Washington and further agreed to not apply to register as a broker-dealer, securities salesperson, investment adviser, or investment adviser representative in Washington. Gary Meier waived his right to a hearing and judicial review of this matter.

Jon Ric International Franchise LLC and John R. Rando - S-17-2243-17-CO01 - Consent Order

On November 6, 2017, the Securities Division entered into a Consent Order and Order Vacating Final Order No. S-17-2243-17-FO01 (“Consent Order”) with Respondents, Jon Ric International Franchise LLC and John R. Rando. The Securities Division alleged that in 2016 Respondents offered and sold an unregistered franchise that would be located in Washington for an initial fee of $35,000. The Consent Order also alleged that Respondents misrepresented or failed to disclose material facts when offering and selling the franchise. The Respondents neither admitted nor denied the allegations, but agreed to cease and desist from violating the Franchise Investment Protection Act of Washington. The Respondents waived their right to a hearing and to judicial review of the matter.

Seneca Ventures, LLC; Fisher, Kurt - S-17-2236-17-CO01 - Consent Order

On October 19, 2017, the Securities Division entered into a Consent Order with Respondents, Seneca Ventures, LLC (“Seneca Ventures”) and Kurt Fisher (“Fisher”). The Securities Division alleged that Seneca Ventures and Fisher, when offering and selling LLC membership interest investments in two historic hotel renovation projects in the Pioneer Square district of Seattle, each violated the securities registration and anti-fraud provisions of the Securities Act of Washington. Without admitting or denying the Securities Division’s allegations, Seneca Ventures and Fisher each agreed to cease and desist from any violations. Fisher agreed to pay a fine of $750 and investigative costs of $750. The Respondents each waived their right to a hearing and to judicial review of this matter.

Reign Capital Management, LLC; Reign Capital, L.P.; Cambrea Lee Ezell – S-13-1171-16-CO01 - Consent Order

On October 12, 2017, the Securities Division entered into a Consent Order with Reign Capital Management, LLC (“RCM”), Reign Capital, L.P. (“RCLP”), and Cambrea Lee Ezell (“Ezell”) (collectively “Respondents”). The Securities Division alleged that from approximately 2007 through 2011, RCM provided asset management services, primarily to the RCLP hedge fund, from a place of business in Washington, without registration. In addition, from approximately 2007 to 2010, Ezell raised a total of approximately $8.5 million dollars by selling limited liability company interests in RCM and limited partnership interests in RCLP. Investments were sold to ten investors, including nine Washington residents. The Respondents neither admitted nor denied the allegations, but agreed to cease and desist from violating the Securities Act of Washington and to pay investigative costs of $10,000. The Respondents waived their right to a hearing and to judicial review of the matter.

Columbia Wealth Management, LLC; Patrick John Costello - S-17-2291-17-TO01 - Summary Order

On October 6, 2017, the Securities Division entered a Summary Order Suspending Investment Adviser Registration and Investment Adviser Representative Registration and Notice of Intent to Revoke Registration, and Enter Order to Cease and Desist, Deny Future Registrations, Impose Fines, and Recover Costs (“Summary Order”) against Columbia Wealth Management, LLC and Patrick John Costello (Collectively “Respondents”). The Summary Order alleges that Respondents failed to update Form U4 and Form ADV filings with the Securities Division, as required, to reflect certain criminal charges and convictions filed against Patrick John Costello. The Summary Order also alleges that Respondents filed a Form ADV with the Securities Division that falsely represented that Patrick John Costello had not been charged with or convicted of certain criminal charges. The Securities Division orders the suspension of Columbia Wealth Management’s investment adviser registration and Patrick John Costello’s investment adviser representative registration. The Securities Division gives notice of its intent to order the Respondents to cease and desist from violating the Securities Act, and enter an order to revoke their registrations, deny any future registration applications they may file, impose fines, and charge costs. Respondents have the right to request a hearing on the Summary Order.

A Consent Order was entered regarding this matter on January 3, 2018.

WeatherSkin Corporation – S-17-2239-17-FO01 - Final Order

On October 3, 2017, the Securities Division entered an Entry of Findings of Fact and Conclusions of Law and Final Order to Cease and Desist (“Final Order”) against WeatherSkin Corporation. The Final Order alleges that WeatherSkin Corporation violated RCW 19.100.020, the registration provision of the Franchise Investment Protection Act of Washington, by offering franchises in Washington State without being registered in the state. The Final Order orders WeatherSkin Corporation to cease and desist from violating RCW 19.100.020. WeatherSkin Corporation has a right to request judicial review of this matter.

Royal Restrooms LLC d/b/a Royal Restrooms Inc. – S-17-2269-17-CO01 - Consent Order

On September 29, 2017, the Securities Division entered into a Consent Order with Royal Restrooms LLC d/b/a Royal Restrooms Inc. (“Royal Restrooms”). The Securities Division alleged that Royal Restrooms violated the Franchise Investment Protection Act by selling a franchise to a Washington State resident while not registered to do so and failed to provide the resident with a franchise disclosure document. Without admitting or denying the Securities Division’s allegations, Royal Restrooms agreed to cease and desist from violations of RCW 19.100.020 and RCW 19.100.080, the registration and disclosure document sections of the Franchise Investment Protection Act. Royal Restrooms further agreed to pay $1000 in investigative costs and waived its right to a hearing and judicial review of the matter.

Bernard Ross Hansen a/k/a Ross B. Hansen – S-14-1441-17-FO01 - Final Order

On September 28, the Securities Division entered an Entry of Findings of Fact and Conclusions of Law and Final Order to Cease and Desist and to Impose Civil Penalties as to Bernard Ross Hansen a/k/a Ross B. Hansen (“Final Order”). The Securities Division previously entered a Statement of Charges against Bernard Ross Hansen a/k/a Ross B. Hansen (“Hansen”) on July 17, 2017.

The Final Order alleges that Hansen, who controlled Northwest Territorial Mint, LLC (“NWTM”) as its sole managing member, violated the Washington Commodity Transactions Act (the “Act”) when NWTM misrepresented its shipping policy to its customers in the offer and sale of precious metals. The Securities Division also alleges that Hansen violated the Act by failing to register as commodity broker-dealers or sales representatives with the Division.

The Final Order orders Hansen to cease and desist from violating the anti-fraud and registration provisions of the Act. It further orders Hansen to pay a $10,000 civil penalty for violating the Act. Hansen has the right to request judicial review of this matter.

Viktor Toth, Tree Wonders LLC, and Tree Wonders Inc. - S-16-2072-17-FO01 - Final Order

On September 28, 2017 the Securities Division entered a Final Order against Viktor Toth, Tree Wonders LLC, and Tree Wonders Inc. (collectively, “Respondents”). The Securities Division previously entered a Statement of Charges against the Respondents alleging that the Respondents violated the anti-fraud provisions of the Securities Act of Washington when they offered and sold more than $800,000 of investments, including promissory notes, to at least six Washington investors. Tree Wonders previously operated a wood business in Duvall, Washington. The Final Order orders the Respondents to cease and desist from violating the Securities Act of Washington, to reimburse the Securities Division for its investigative costs, and to pay a fine. The Respondents have a right to seek judicial review of the Final Order.

TriStar Aesthetic Technologies, Inc. - S-17-2180-17-FO01 - Final Order

On September 22, 2017, the Securities Division entered a Final Order against TriStar Aesthetic Technologies, Inc. (“TriStar”). The Securities Division entered a Statement of Charges that alleged that, in 2017, TriStar posted three advertisements on Craigslist soliciting purchasers of certain equipment and a business system that would enable the purchaser to start a business providing cosmetic procedures to the public. The Statement of Charges alleged that TriStar violated the registration and anti-fraud provisions of the Business Opportunity Fraud Act, chapter 19.110 RCW. TriStar waived its right to an administrative hearing on the Statement of Charges. The Final Order orders TriStar to cease and desist from violating the Business Opportunity Fraud Act. TriStar may request judicial review of the Final Order.

Aaron O’Neal - S-16-2029-17-FO01 - Final Order

On September 19, 2017 the Securities Division entered a Final Order to Cease and Desist, to Deny Registration, to Impose Fines, and to Charge Costs (Final Order) against Aaron O’Neal.

The Securities Division had previously issued a Statement of Charges against Aaron O’Neal, alleging that, as a registered broker-dealer representative and investment adviser representative, he effected securities transactions outside of and without the knowledge of the firm he represented and failed to document this work in his regulatory filings. The Statement of Charges further alleged Aaron O’Neal actively concealed these private securities sales from the Securities Division.

The Final Order orders that Aaron O’Neal cease and desist from further violations of the Securities Act of Washington, that Aaron O’Neal be denied any future securities registrations, and that Aaron O’Neal be liable for and pay fines and costs. Aaron O’Neal has the right to request judicial review of the Final Order.

New York Bagel Enterprises, Inc. and Joseph V. Smith – S-17-2159-17-FO01 - Final Order

On September 15, 2017 the Securities Division entered a Final Order against New York Bagel Enterprises and Joseph V. Smith.

The Securities Division had previously entered a Statement of Charges against New York Bagel Enterprises and Joseph V. Smith, alleging that they violated the registration provisions of the Franchise Investment Protection Act in connection with their offer of a New York Bagel Enterprises franchise in Washington. The Securities Division also alleged that New York Bagel Enterprises and Joseph V. Smith further violated the Franchise Investment Protection Act by making untrue statements and omissions of material fact in their online advertisements for New York Bagel Enterprises franchises.

The Final Order orders New York Bagel Enterprises and Joseph V. Smith to cease and desist from further violations of the Franchise Investment Protection Act. New York Bagel Enterprises and Joseph V. Smith each have the right to request judicial review of the Final Order.

Citium Wealth Management, LLC and J. Todd Larson - S-17-2222-17-FO01 – Final Order

On September 11, 2017, the Securities Division entered Final Order S-17-2222-17-FO01 against Citium Wealth Management, LLC (CRD no. 138593) and J. Todd Larson (CRD no. 5073565) (“Final Order”). Respondent Citium Wealth Management was registered as an investment adviser and Respondent J. Todd Larson was registered as an investment adviser representative in Washington. The Final Order alleged that Respondents willfully violated WAC 460-24A-060 by failing to file a 2016 year-end balance sheet and WAC 460-24A-205 by failing to file an annual updating amendment to its Form ADV. The Final Order revokes Respondents’ registrations; imposes a fine; and charges costs. Respondents have a right to request judicial review of the matter.

Northwest Territorial Mint, LLC – S-14-1441-17-CO01 - Consent Order

On September 6, 2017 the Securities Division entered into a Consent Order with Northwest Territorial Mint, LLC (“NWTM”). The Securities Division had previously entered a Statement of Charges and Notice of Intent To Enter Order To Cease and Desist and To Impose Civil Penalties against Respondents NWTM and Bernard Ross Hansen a/k/a Ross B. Hansen (collectively, “Respondents”) on July 17, 2017. The Securities Division alleged that Respondents violated the Commodity Transaction Act of Washington by misrepresenting its shipping policy to its customers in the offer and sale of precious metals, and for not being registered as commodity broker-dealers or sales representatives with the Division.

Without admitting or denying the Securities Divisions’ allegations, NWTM has agreed to cease and desist from violating the Commodity Transaction of Washington. NWTM waived its right to a hearing and judicial review of this matter.

TNC Investment Group, LLC d/b/a Vanguard Vending Solutions - S-17-2190-17-SC01 - Statement of Charges

On August 30, 2017, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist (the “Statement of Charges”) against TNC Investment Group, LLC d/b/a Vanguard Vending Solutions (“Vanguard Vending”). The Statement of Charges alleges that, in 2017, Vanguard Vending posted two advertisements on Craigslist soliciting purchasers of locations for the purchasers’ vending machines and marketing assistance. In doing so, the Statement of Charges alleges that Vanguard Vending violated the registration and anti-fraud provisions of the Business Opportunity Fraud Act, chapter 19.110 RCW. The Statement of Charges gives notice of the Division’s intent to order Vanguard Vending to cease and desist from violating the Business Opportunity Fraud Act. Vanguard Vending may request an administrative hearing on the Statement of Charges.

Imyers Corporation and Seth Myers - S-17-2230-17-CO01 - Consent Order

On August 30, 2017, the Securities Division entered Consent Order and Order Vacating Summary Order S-17-2230-17-CO01 with Imyers Corporation (CRD no. 148149) and Seth Myers (CRD no. 4390286) (“Consent Order”). Respondents provided a 2016 fiscal year-end balance sheet. Respondent, Imyers Corporation, agreed to pay a fine of $1,000 and costs of $200. Respondents waived their right to request judicial review of the matter.

TriStar Aesthetic Technologies - S-17-2180-17-SC01 - Statement of Charges

On August 28, 2017, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist (the “Statement of Charges”) against TriStar Aesthetic Technologies, Inc. (“TriStar”). The Statement of Charges alleges that, in 2017, TriStar posted three advertisements on Craigslist soliciting purchasers of certain equipment and a business system that would enable the purchaser to start a business providing cosmetic procedures to the public. In doing so, the Statement of Charges alleges that TriStar violated the registration and anti-fraud provisions of the Business Opportunity Fraud Act, chapter 19.110 RCW. The Statement of Charges gives notice of the Division’s intent to order TriStar to cease and desist from violating the Business Opportunity Fraud Act. TriStar may request an administrative hearing on the Statement of Charges.

A Final Order was entered regarding this matter on September 22, 2017.

WeatherSkin Corporation – S-17-2239-17-SC01 - Statement of Charges

On August 25, 2017, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease (“Statement of Charges”) against WeatherSkin Corporation (“WeatherSkin”). The Statement of Charges alleges that WeatherSkin offered franchises in Washington State without being registered in violation of RCW 19.100.020, the registration provision of the Franchise Investment Protection Act of Washington. The Securities Division intends to order WeatherSkin to cease and desist from violating RCW 19.100.020. WeatherSkin has a right to request a hearing on the Statement of Charges.

A Final Order was entered on October 3, 2017.

Viktor Toth, Tree Wonders LLC, and Tree Wonders Inc. - S-16-2072-17-SC01 - Statement of Charges

On August 23, 2017, 2017, 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 Viktor Toth, Tree Wonders LLC, and Tree Wonders Inc. (collectively, “Respondents”). The Statement of Charges alleges that the Respondents violated the registration and anti-fraud provisions of the Securities Act of Washington when they offered and sold more than $800,000 of investments, including promissory notes, to at least six Washington investors. Tree Wonders previously operated a wood business in Duvall, Washington. 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 charge costs. The Respondents each have a right to request a hearing on the Statement of Charges.

A Final Order was entered regarding this matter on September 28, 2017.

Chandy Enterprises, LLC d/b/a Palm Beach Vapors - S-17-2245-17-CO01 - Consent Order

On August 21, 2017, the Securities Division entered into a Consent Order with Chandy Enterprises, LLC, which does business as Palm Beach Vapors. The Securities Division alleged that Chandy Enterprises sold a Palm Beach Vapors franchise in Washington without registering with the Securities Division, in violation of the Franchise Investment Protection Act of Washington. Without admitting or denying the Securities Division’s allegations, Chandy Enterpsies agreed to cease and desist from violations of the Franchise Investment Protection Act of Washington. Chandy Enterprises further agreed to pay $750 in investigative costs and waived its right to a hearing and judicial review of the matter.

Aegis Oil, LLC, Aegis Disposal Systems, LLC, Patrick Reagan Beason, and Ranald James Moran, III – S-16-1958-17-FO02 - Final Order

On August 17, 2017, the Securities Division entered a Final Order against Aegis Oil, LLC, Aegis Disposal Systems, LLC, Patrick Reagan Beason, and Ranald James Moran, III. On June 29, 2017, the Securities Division entered a Statement of Charges against Aegis Oil, LLC, Aegis Disposal Systems, LLC, Patrick Reagan Beason, Ranald James Moran, III, Michael Louis Stokes, Sr., Thierry Jean Hennequin, Mark David Long, and Frank August (“Respondents”). The Statement of Charges alleged that Respondents offered and sold approximately $1.5 million of unregistered securities to twelve Washington investors in violation of the registration and anti-fraud provisions of the Securities Act of Washington. The Final Order orders Aegis Oil, LLC, Aegis Disposal Systems, LLC, Patrick Reagan Beason, and Ranald James Moran, III to cease and desist from violating the Securities Act, and to pay fines and investigative costs. Aegis Oil, LLC, Aegis Disposal Systems, LLC, Patrick Reagan Beason, and Ranald James Moran, III each have a right to petition the superior court for judicial review of this matter.

Ryan Oliver Lyden - S-17-2197-17-FO01 - Final Order

On August 17, 2017, the Securities Division entered an Entry of Findings of Fact and Conclusions of Law and Final Order to Cease and Desist, to Impose a Fine, to Charge Costs, and to Deny Future Registration Applications ("Final Order") against Respondent Ryan Oliver Lyden ("Lyden").

The Final Order alleges that Lyden offered and sold approximately $11,700 worth of stock to two Washington investors. The Final Order also alleges that Lyden violated RCW 21.20.010, the anti-fraud provision of the Securities Act of Washington, by misrepresenting and failing to disclose material facts, by misrepresenting himself as an investment adviser, and by converting investor funds to his own use. The Final Order orders Lyden to cease and desist from any violation of RCW 21.20.010. The Final Order also denies any application from Lyden for registration as a broker-dealer, securities salesperson, investment adviser and/or investment adviser representative. The Respondent has the right to request judicial review of this matter.

Gary Meier & Aaron O’Neal - S-16-2029-17-SC01 - Statement of Charges

On August 10, 2017, the Securities Division issued a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Suspend Registration, to Deny Registration, to Impose Fines, and to Charge Costs (Statement of Charges) against Gary Meier and Aaron O’Neal.

The Statement of Charges alleges that Gary Meier and Aaron O’Neal, as registered broker-dealer representatives and investment adviser representatives, effected securities transactions outside of and without the knowledge of the firms they represented and failed to document this work in their respective regulatory filings.

The Statement of Charges further alleges that Gary Meier failed to disclose a conflict of interest in these private securities sales and that and Aaron O’Neal actively concealed these private securities sales from the Securities Division.

The Securities Division intends to order Gary Meier and Aaron O’Neal to cease and desist from violating the Securities Act of Washington, to suspend Gary Meier’s registration as an investment adviser representative, to deny Aaron O’Neal’s future securities registrations, and to assess Gary Meier and Aaron O’Neal fines and costs.

Gary Meier and Aaron O’Neal each have a right to request a hearing on the Statement of Charges.

A Consent Order was entered regarding this matter on August 31, 2023.

A Consent Order as to Gary Meier was entered on November 6, 2017.

A Final Order as to Aaron O'Neal was entered on September 19, 2017.

Thierry Hennequin - S-16-1958-17-SC01 - Consent Order

On August 8, 2017, the Securities Division entered into a Consent Order with Thierry Jean Hennequin (“Hennequin”). On June 29, 2017, the Securities Division issued a Statement of Charges against Aegis Oil, LLC, Aegis Disposal Systems, LLC, Patrick Reagan Beason, Ranald James Moran, III, Michael Louis Stokes, Sr., Thierry Jean Hennequin, Mark David Long, and Frank August (“Respondents”). The Statement of Charges alleged that Respondents offered and sold approximately $1.5 million of unregistered securities to twelve Washington investors in violation of the registration and anti-fraud provisions of the Securities Act of Washington. Without admitting or denying the Division’s allegations, Hennequin agreed to cease and desist from violating the Securities Act of Washington, and to pay a fine of $2,500 and costs of $500. Hennequin waived his right to a hearing and judicial review in this matter.

Jason Nelson, Vend-A-Future of Seattle Ltd. – Settlement of Snohomish County Superior Court Case No. 16-2-02899-1

On July 31, 2017, the Department of Financial Institutions, Securities Division (“DFI”), entered a settlement with Jason Nelson (“Nelson”) and Vend-A-Future of Seattle, Ltd. (“VAF”), in connection with a civil lawsuit filed by the State of Washington in Snohomish County Superior Court. In the lawsuit, DFI alleged that Nelson and VAF had violated the Business Opportunity Fraud Act (“the BOFA”), RCW 19.110, with respect to sales of on-location vending machines to nineteen different purchasers, by (a) misrepresenting or failing to disclose material information about the history of the machines and locations; (b) failing to provide vending machine purchasers with the disclosure document required by the BOFA; and (c) failing to include BOFA-required language in their contracts with vending machine purchasers. DFI also alleged that Nelson and VAF further violated the BOFA in seven of these sales by selling on-location vending machines while they were not registered with DFI to do so. In the settlement, Nelson and VAF agreed to the entry of a permanent injunction against violations of the BOFA, and agreed to pay $150,000 to DFI for restitution to purchasers and DFI’s litigation costs.

August, Frank – S-16-1958-17-FO01 - Final Order

On July 28, 2017, the Securities Division entered a Final Order against Frank August (“August”). On June 29, 2017, the Securities Division entered a Statement of Charges against Aegis Oil, LLC, Aegis Disposal Systems, LLC, Patrick Reagan Beason, Ranald James Moran, III, Michael Louis Stokes, Sr., Thierry Jean Hennequin, Mark David Long, and Frank August (“Respondents”). The Statement of Charges alleged that Respondents offered and sold approximately $1.5 million of unregistered securities to twelve Washington investors in violation of the registration and anti-fraud provisions of the Securities Act of Washington. The Final Order orders August to cease and desist from violating the Securities Act, and to pay a fine and investigative costs. August has a right to petition the superior court for judicial review of this matter.

New York Bagel Enterprises, Inc., Joseph V. Smith, and Dennis K. Mason – S-17-2159-17-SC01 – Statement of Charges

On July 28, 2017 the Securities Division issued Statement of Charges No. S-17-2156-17-SC01 against New York Bagel Enterprises, Joseph V. Smith, and Dennis K. Mason, alleging that they violated the registration provisions of the Franchise Investment Protection Act of Washington in connection with their offer of a New York Bagel Enterprises franchise in Washington. The Securities Division also alleges that New York Bagel Enterprises, Joseph V. Smith, and Dennis K. Mason further violated the Franchise Investment Protection Act by making untrue statements and omissions of material fact in their online advertisements for New York Bagel Enterprises franchises. The Securities Division intends to order that New York Bagel Enterprises, Joseph V. Smith, and Dennis K. Mason cease and desist from violating the Franchise Investment Protection Act. New York Bagel Enterprises, Joseph V. Smith, and Dennis K. Mason each have a right to request a hearing on the Statement of Charges.

A Final Order as to Dennis K. Mason was entered on November 17, 2017.

A Final Order was entered regarding this matter on September 15, 2017.

Daeil Ro - S-16-2044-17-CO01 - Consent Order

On July 19, 2017 the Securities Division entered a Consent Order with Respondent Daeil Ro, a Washington-based financial adviser. The Securities Division had previously entered, on November 8, 2016, a combined Summary Order against Daeil Ro and a Statement of Charges against Myung Ro, Daeil Ro’s father. Without admitting or denying the Securities Division's allegations, Daeil Ro agreed to cease and desist from violating the Washington State Securities Act and to pay $2,500 in investigative costs. Daeil Ro also agreed to a five-year suspension from the securities industry, to pay a fine of $10,000 before reapplication, and to a three-year heightened supervision plan and a five-year bar on serving as principal or owner of an investment firm should he choose to return to the securities industry after his suspension.

Jon Ric International Franchises, LLC and John R. Rando – S-17-2243-17-SC01 - Statement of Charges

On July 17, 2017 the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist (“Statement of Charges”) against Respondents Jon Ric International Franchises, LLC and John R. Rando.

The Statement of Charges alleges that Respondents offered and sold an unregistered franchise for an initial fee of $35,000 to at least one Washington investor. The Statement of Charges also alleges that Respondents misrepresented or failed to disclose material facts when offering and selling the franchise. The Statement of Charges gives notice of the Securities Division’s intent to enter an order to cease and desist. The Respondents each have the right to request a hearing on the Statement of Charges.

A Consent Order regarding this matter was entered on November 6, 2017.

Ryan Oliver Lyden - S-17-2197-17-SC01 - Statement of Charges

On July 17, 2017, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Impose a Fine, to Charge Costs, and to Deny Future Registration Applications {“Statement of Charges”) against Respondent Ryan Oliver Lyden (“Lyden”).

The Statement of Charges alleges that Lyden offered and sold approximately $11,700 worth of stock to two Washington investors. The Statement of Charges also alleges that Lyden violated RCW 21.20.010, the anti-fraud provision of the Securities Act of Washington, by misrepresenting and failing to disclose material facts, by misrepresenting himself as an investment adviser, and by converting investor funds to his own use. The Statement of Charges gives notice of the Securities Division’s intent to enter an order to cease and desist, to impose a fine, to charge costs, and to deny future registration applications. The Respondent has the right to request a hearing on the Statement of Charges.

A Final Order was entered regarding this matter on August 17, 2017.

Northwest Territorial Mint, LLC; Bernard Ross Hansen a/k/a Ross B. Hansen - S-14-1441-17-SC01 - Statement of Charges

On July 17, 2017 the Director of the Washington Department of Financial Institutions entered a Statement of Charges against Northwest Territorial Mint, LLC (“NWTM”) and Bernard Ross Hansen a/k/a Ross B. Hansen (“Hansen”) (collectively “Respondents”). In the Statement of Charges, the Securities Division alleged that Respondents violated the Washington Commodity Transactions Act (the “Act”) by misrepresenting its shipping policy to its customers in the offer and sale of precious metals, and for not being registered as commodity broker-dealers or sales representatives with the Division.

The Statement of Charges gave notice of the Securities Division’s intent to order Respondents to cease and desist from violating the Act and to impose fines. Respondents have the right to request a hearing on the Statement of Charges.

A Final Order as to Bernard Ross Hansen was entered on September 28, 2017.

A Consent Order was entered on September 06, 2017.

Pacific Watercraft Group, Inc.; Robin Lynn Sells; Scott E. Anderson - S-16-1868-17-SC01 - Statement of Charges

On July 17, 2017, 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 Pacific Watercraft Group, Inc., Scott E. Anderson, and Robin Lynn Sells (“Respondents”). The Statement of Charges alleges that Respondents offered and sold approximately $90,000 of shares in Pacific Watercraft Group, Inc. to three investors in violation of the registration provisions of the Securities Act of Washington. Further, the Statement of Charges alleges that Respondents violated the anti-fraud provision of the Securities Act of Washington when they failed to disclose material information to the investors. The Securities Division intends to order Respondents to 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 August 6, 2018.

A Consent Order as to Robyn Sells was entered on August 6, 2018.

A Consent Order as to Scott E. Anderson was entered on August 6, 2018.

Kevin Bonner - S-17-2117-17-CO01 - Consent Order

On July 5th, 2017, the Securities Division (“Division”) entered a Consent Order and Order Vacating Order No. S-17-2117-17-FO01 with Kevin Bonner (“Respondent”). The Securities Division previously entered a Final Order to Deny Future Registrations, to Cease and Desist, to Impose Fines, and to Recover Costs against Bonner (“Respondent”) on April 20, 2017. The Securities Division previously entered a Statement of Charges and Notice of Intent to Deny Future Registrations, to Cease and Desist, to Impose Fines, and to Recover Costs against Respondent on March 10, 2017.

In the Consent Order, the Securities Division agreed to vacate its Final Order against Respondent. In the Consent Order, Respondent admitted that he engaged in dishonest or unethical business practices when he borrowed money from a securities client and when he misrepresented to his firm that he had not borrowed money from a securities client. Respondent further admitted that he misrepresented his regulatory disciplinary history to the Division and failed to inform the Division of his regulatory disciplinary history within thirty days of the disciplinary action.

The Securities Division and Respondent agreed that any broker-dealer, securities salesperson, investment adviser, or investment adviser representative registration applications that Respondent may file in the future will be denied and that Respondent is to cease and desist from violating the Securities Act of Washington. Respondent also agreed to pay the Securities Division a fine of $5,000 and costs of $1,000.

Aegis Oil, LLC – S-16-1958-17-SC01 – Statement of Charges

On June 29, 2017 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 Aegis Oil, LLC, Aegis Disposal Systems, LLC, Patrick Reagan Beason, Ranald James Moran, III, Michael Louis Stokes, Sr., Thierry Jean Hennequin, Mark David Long, and Frank August (“Respondents”). The Statement of Charges alleges that Respondents offered and sold approximately $1.5 million of unregistered securities to twelve Washington investors in violation of the registration provisions of the Securities Act of Washington. Further, the Statement of Charges alleges that Respondents violated the anti-fraud provision of the Securities Act of Washington when they failed to disclose material information to the investors. The Securities Division intends to order Respondents to 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 as to Michael Louis Stokes, Sr. was entered on January 4, 2018.

A Final Order was entered regarding this matter on August 17, 2017.

A Consent Order as to Thierry Jean Hannequin was entered on August 8, 2017.

A Final Order as to Frank August was entered on July 28, 2017.

Oracle Stone Ltd. dba Porter Finance Ltd. - S-16-2050-17-FO01 - Final Order

On June 26, 2017, the Securities Division entered a Final Order to Cease and Desist, Impose Fines, and Charge Costs against Oracle Stone Ltd. dba Porter Finance Ltd. (“Porter Finance”). The Securities Division previously entered a Statement of Charges against the Respondent on April 14, 2017. Porter Finance operates an online trading platform to trade binary options. In 2016, two Washington residents established accounts with Porter Finance. One resident lost approximately $65,000 of his investment funds through trading and the other resident has been unable to withdraw her initial deposit of $1,250. The Securities Division orders the Respondent to cease and desist from violating the Securities Act of Washington, and to pay fines and investigative costs. The Respondent has the right to request judicial review of this matter.

Citium Wealth Management, LLC and J. Todd Larson – S-17-2222-17-TO01 – Summary Order

On June 22, 2017 the Securities Division entered Summary Order S-17-2222-17-TO01 against Citium Wealth Management, LLC (CRD no. 138593) and J. Todd Larson (CRD no. 5073565) (“Summary Order”). Respondent Citium Wealth Management is registered as an investment adviser and Respondent J. Todd Larson is registered as an investment adviser representative in Washington. The Summary Order alleged that Respondents willfully violated WAC 460-24A-060 by failing to file a 2016 year-end balance sheet and WAC 460-24A-205 by failing to file an annual updating amendment to its Form ADV. The Summary Order suspends Respondents’ registrations; gives notice of an intent to revoke registration, impose a fine; and charge costs. Respondents have a right to request judicial review of the matter.

A Final Order was entered regarding this matter on September 11, 2017.

Franchise Development, L.P. and Freddy O’Pry, - S-17-2189-17-CO01 - Consent Order

On June 21, 2017, the Securities Division entered into a Consent Order with Respondents Franchise Development, L.P. and Freddy O’Pry (“Respondents”) of Richmond, Texas. The Securities Division had previously alleged in Statement of Charges S-17-2189-17-SC01 that the Respondents offered and/or sold franchises to Washington residents in violation of state franchise law. The Securities Division alleged that the Respondents offered and/or sold franchises to Washington residents while not registered as a franchise broker and published a misleading financial performance claim in violation of state franchise law. Without admitting or denying the Securities Division’s allegations, the Respondents agreed to cease and desist from violations of RCW 19.100.020 and RCW 19.100.170, the franchise broker registration and violations sections of the Franchise Investment Protection Act. Respondents also agreed to pay investigative costs of $2,000 and waived their right to a hearing and judicial review of the matter.

Artnova Social Purpose Corporation and Lou F. Marzeles – S-16-2086-17-CO01 - Consent Order

On June 1, 2017, the Securities Division entered into a Consent Order with Respondents, Artnova Social Purpose Corporation (“Artnova”) and Lou F. Marzeles (“Marzeles”). The Securities Division alleged that Artnova and Marzeles had violated the securities registration provision of the Securities Act of Washington. Without admitting or denying the Securities Division’s allegations, Artnova and Marzeles each agreed to cease and desist from any violations. Artnova agreed to pay investigative costs of $750. The Respondents each waived their right to a hearing and to judicial review of this matter.

Timothy Dion Wetzel; Robert Thomas Kelly; Wetzel Energy Technology Company Inc.; Wetzel Oil Inc.; Better Fuel North West, A WETCO Company, Inc; and Better Fuel Group NW, Inc. - S-14-1479-17-SC01 - Statement of Charges

On June 1, 2017 the Director of the Washington Department of Financial Institutions entered a Statement of Charges against Timothy Dion Wetzel (“Wetzel”); Robert Thomas Kelly (“Kelly”); Wetzel Energy Technology Company Inc. (“WETCO”); Wetzel Oil Inc.; Better Fuel North West, A WETCO Company, Inc. (“BFNW”); and Better Fuel Group NW, Inc. (collectively, “Respondents”). In the Statement of Charges, the Securities Division alleged that Respondents sold at least $829,500 in stock, promissory notes, and business opportunities to at least 26 investors, most of whom were Washington residents, using a purported renewable fuel that Wetzel claimed to have invented. Almost all, if not all, of these investors have lost their investments. The Securities Division alleged that the offer and sale of these investments were in violation of the registration and anti-fraud sections of the Securities Act of Washington and the Business Opportunity Fraud Act of Washington (collectively, the “Acts”). The Statement of Charges gave notice of the Securities Division’s intent to order Respondents to cease and desist from violating the Acts, and to impose fines and to charge costs against Wetzel, Kelly, WETCO, and BFNW. Respondents have the right to request a hearing on the Statement of Charges

A Final Order as to Timothy Dion Wetzel; Wetzel Oil Inc.; Wetzel Energy Technology Company Inc.; and Better Fuel North West, A WETCO Company, Inc was entered on August 1, 2018.

A Consent Order as to Robert Thomas Kelly and Better Fuel Group NW, Inc. was entered on May 9, 2018.

Franchise Development, L.P. and Freddy O’Pry, - S-17-2189-17-SC01 - Statement Of Charges

On May 24, 2017, the Securities Division entered a Statement of Charges against Respondents Franchise Development, L.P. and Freddy O’Pry (“Respondents”) of Richmond, Texas. The Securities Division alleges that the Respondents offered and/or sold franchises to Washington residents while not registered as a franchise broker and published a misleading financial performance claim in violation of state franchise law. The Securities Division intends to order the Respondents to cease and desist from violations of RCW 19.100.140 and RCW 19.100.170, the franchise broker registration and violations sections of the Franchise Investment Protection Act. The Respondents each have an opportunity for a hearing in this matter.

A Consent Order was entered on June 21, 2017.

Fresh & Healthy Brands, LLC d.b.a. Go-Grill, Pure Health,Yo-Good, and Juice Zone; Chad Charles Parker; Juice Zone Franchising, Corp.; Cole Parker; and Go-Grill - S-17-2156-17-FO01 – Final Order

On May 25, 2017, the Securities Division entered a Final Order to Cease and Desist to Respondents Fresh & Healthy Brands, LLC d.b.a. Go-Grill, Pure Health,Yo-Good, and Juice Zone; Chad Charles Parker; Juice Zone Franchising, Corp.; Cole Parker; and Go-Grill. On March 28, 2017, the Securities Division entered a Statement of Charges and Notice of Intent to Enter an Order to Cease and Desist against Respondents Fresh & Healthy Brands, LLC d.b.a. Go-Grill, Pure Health,Yo-Good, and Juice Zone; Chad Charles Parker; Juice Zone Franchising, Corp.; Cole Parker; and Go-Grill alleging that they violated the Franchise Investment Protection Act by offering unregistered franchises in Washington and misrepresented a material fact in connection with the offer of a franchise. The Final Order ordered the Respondents to cease and desist from future violations of RCW 19.100.020 and RCW 19.100.170, the registration and anti-fraud portions of the Franchise Investment Protection Act. The Respondents have the right to petition the superior court for judicial review of the Final Order.

InvestingCI, LLC - S-16-1925-17-FO01 – Final Order

On May 23, 2017, the Securities Division entered a Final Order against InvestingCI, LLC. In February 2017, the Securities Division entered a Statement of Charges against InvestingCI, LLC that alleged that InvestingCI, LLC sold approximately $238,000 in binary option trades to Washington residents between 2015 and 2016. The Statement of Charges further alleged that, in doing so, InvestingCI, LLC violated the Washington Securities Act’s (the “Act”) anti-fraud provision. The Final Order orders InvestingCI, LLC to cease and desist from violating the Act, imposes a fine, and orders InvestingCI, LLC to reimburse the Securities Division its investigative costs. InvestingCI, LLC may request judicial review of the Final Order.

Emaids Franchising, LLC - S-17-2141-17-CO01 - Consent Order

On May 8, 2017, the Securities Division entered into a Consent Order with Emaids Franchising, LLC (“E-Maids”). The Securities Division alleged that E-Maids violated the registration provision of the Franchise Investment Protection Act of Washington. Without admitting or denying the Securities Division’s allegations, E-Maids agreed to cease and desist from violations of RCW 19.100.020, the registration section of the Franchise Investment Protection Act of Washington. E-Maids further agreed to pay $100 in investigative costs and waived its right to a hearing and judicial review of the matter.

Oracle Stone Ltd. dba Porter Finance Ltd. - S-16-2050-17-SC01 - Statement of Charges

On April 14, 2017, 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 Oracle Stone Ltd. dba Porter Finance Ltd. (“Porter Finance”). Porter Finance operates an online trading platform to trade binary options. The Statement of Charges alleges that in 2016, two Washington residents established accounts with Porter Finance. One resident lost approximately $65,000 of his investment funds through trading and the other resident has been unable to withdraw her initial deposit of $1,250. The Statement of Charges alleges that Porter Finance violated the anti-fraud and broker-dealer registration provisions of the Securities Act of Washington. The Securities Division ordered Porter Finance to cease and desist from violating the Securities Act of Washington and gave notice of its intent to impose a fine and to charge costs. Porter Finance has a right to request a hearing on the Statement of Charges.

A Final Order was entered regarding this matter on June 26, 2017.

Fresh & Healthy Brands, LLC; d.b.a. Go-Grill, Pure Health, Yo-Good, and Juice Zone; Chad Charles Parker; Juice Zone Franchising, Corp.; and Cole Parker – S-17-2156-17-SC01 - Statement of Charges

On March 28 , 2017, the Securities Division entered a Statement of Charges against Respondents Fresh & Healthy Brands, LLC; d.b.a. Go-Grill, Pure Health, Yo-Good, and Juice Zone; Chad Charles Parker; Juice Zone Franchising, Corp.; and Cole Parker(“Respondents”). The Securities Division alleges that the Respondents offered and/or sold unregistered restaurant franchises to Washington residents in violation of state franchise law. The Division alleges that Respondents Chad Charles Parker, Cole Parker, and Juice Zone Franchising, Corp. made misrepresentations to a Washington resident in connection with the offer and sale of a franchise. The Securities Division intends to order the Respondents to cease and desist from violations of RCW 19.100.020 and RCW 19.100.170, the registration and anti-fraud sections of the Franchise Investment Protection Act. The Respondents each have an opportunity for a hearing in this matter.

A Final Order was entered regarding this matter on May 25 2017.

Dean Sproles - S-14-1415-17-FO05 - Final Order

On March 16, 2017, the Director of the Washington Department of Financial Institutions entered a Final Order against Dean Sproles (“Respondent”). The Securities Division had previously alleged in Statement of Charges S-14-1415-15-SC01 that Respondent helped raise over $19 million for Iverson Genetic Diagnostics, Inc., a genetic testing company, through the sale of unregistered common stock and convertible debt. The Securities Division further alleged that Respondent used unregistered salespersons to solicit the investments and that those salespersons typically had prior administrative orders for violating securities laws and/or criminal records involving theft or fraud. The Securities Division further alleged the Respondent made material misrepresentations or omissions in the offer and sale of the securities. The Final Order ordered Respondent to cease and desist from violations of RCW 21.20.140, RCW 21.20.040, and RCW 21.20.010. The Final Order further ordered Respondent to pay a fine of $60,000 and to pay investigative costs of $10,000. The Respondent has the right to petition the superior court for judicial review of the Final Order.

Sharon Herbst – S-16-1889-16-CO01 - Consent Order

On March 14, 2017, the Securities Division entered a Consent Order S-16-1889-16-CO01 with Sharon Herbst (“Consent Order”). Ms. Herbst (CRD # 847172) was a registered securities salesperson at Edward Jones from May 2002 to October 2015. The Consent Order states that Ms. Herbst was terminated from Edward Jones after it was discovered that she entered trades contrary to Edward Jones’ policy prohibiting discretionary orders, provided inaccurate information to the firm, and entered inaccurate information into the firm’s notes system. The Consent Order further states that Ms. Herbst provided inaccurate information to the Securities Division during its investigation of this matter. The Consent Order further states that these acts violated RCW 21.20.110(1) and WAC 460-22B-090. The Consent Order includes a $30,000 fine and costs of $5,000. The Securities Division and Ms. Herbst also agreed that Ms. Herbst will obtain a passing score on the series 66 examination within one year of the entry of the Consent Order; Ms. Herbst obtain and document specific client trade authorization information for each trade; and Ms. Herbst will be subject to a special plan of supervision for at least six months. Ms. Herbst waived her right to request judicial review of the matter.

Kevin Bonner – S-17-2117-17-SC01 - Statement of Charges

On March 10, 2017, the Securities Division (“Division”) entered a Statement of Charges and Notice of Intent to Enter Order to Deny Future Registrations, to Cease and Desist, to Impose a Fine, and to Charge Costs against Kevin Bonner (“Respondent”). The Statement of Charges alleges that Respondent engaged in dishonest or unethical business practices when he borrowed money from a securities client and when he misrepresented to his firm that he had not borrowed money from a securities client. The Statement of Charges further alleges that Respondent misrepresented his regulatory disciplinary history to the Division and failed to inform the Division of his regulatory disciplinary history within thirty days of the disciplinary action. The Statement of Charges gives notice to Respondent of the Division’s intent to enter a permanent order against Respondent to deny him future securities registration applications, to order him to cease and desist from violating the Securities Act of Washington, to impose upon him a fine, and to charge him costs. Respondent has a right to request a hearing on the Statement of Charges.

A Consent Order was entered regarding this matter on July 5, 2017.

Regal Energy, L.L.C.; Regal Blessing #1 Joint Venture; Regal Boonsville #2 Joint Venture; Regal Waggoner #1 Joint Venture; Regal Waggoner #2 Joint Venture; Regal Cosper #1 Joint Venture; Regal Pierce #1 Joint Venture - S-14-1508-17-CO01 - Consent Order

On March 7, 2017, the Securities Division entered into a Consent Order with Regal Energy, L.L.C.; Regal Blessing #1 Joint Venture; Regal Boonsville #2 Joint Venture; Regal Waggoner #1 Joint Venture; Regal Waggoner #2 Joint Venture; Regal Cosper #1 Joint Venture; and Regal Pierce #1 Joint Venture (collectively “Respondents”). The Securities Division previously entered a Statement of Charges and Notice of Intent to Issue an Order to Cease and Desist, Impose Fines, and Charge Costs against the Respondents. The Statement of Charges alleges that the Respondents raised approximately $661,978 from five Washington residents by offering and selling interests in six oil and gas drilling projects located in Texas. The Respondents neither admitted nor denied the allegations, but agreed to cease and desist from violating the Securities Act of Washington. The Respondents waived their right to a hearing and to judicial review of the matter.

Purple Forte, LLC d/b/a Maids by Trade - S-16-2064-17-CO01 - Consent Order

On March 7, 2017, the Securities Division entered into a Consent Order with Purple Forte, LLC, which does business as Maids by Trade. The Securities Division alleged that Purple Forte violated the registration provision of the Franchise Investment Protection Act of Washington. Without admitting or denying the Securities Division’s allegations, Purple Forte agreed to cease and desist from violations of the Franchise Investment Protection Act of Washington. Purple Forte further agreed to pay $625 in investigative costs and waived its right to a hearing and judicial review of the matter.

UCI Wealth Advisors, LLC; Travis Higgins - S-16-2049-16-CO01 - Consent Order

On March 3, 2017 the Securities Division entered into Consent Order S-16-2046-16-CO01 with UCI Wealth Advisors, LLC (CRD # 0154884) (UCI) and Travis Higgins (CRD # 04460566) wherein Respondent UCI’s investment adviser registration was revoked. Respondent Higgins withdrew his registration as an investment adviser representative in lieu of revocation and agreed to not apply for registration as an investment adviser representative or securities salesperson for 2 years. Higgins also agreed to not apply for registration as an investment adviser or broker-dealer for 5 years. Respondents paid costs of $750 and waived their right to request a hearing in the matter.

SoloMatrix, Inc.; Robert Solomon - S-15-1672-16-CO01 - Consent Order

On March 3, 2017, the Securities Division entered into a Consent Order with SoloMatrix, Inc. and Robert Solomon. 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 Charge Costs against SoloMatrix, Inc.; Robert Solomon, and James Lisowsky (collectively Respondents) on August 1, 2016. The Securities Division alleged that the Respondents raised over $600,000 for SoloMatrix, Inc., a cell phone accessory company, through the sale of various unregistered debt instruments and common stock. The Securities Division further alleged that SoloMatrix used an unregistered salesperson to solicit some of the investments and that the Respondents made material misrepresentations or omissions in the offer and sale of the securities. Without admitting or denying the Securities Divisions allegations, SoloMatrix, Inc. and Robert Solomon have agreed to cease and desist from violating the Securities Act of Washington. SoloMatrix, Inc. and Robert Solomon waived their right to a hearing and judicial review of this matter.

Northwest Crest, LLC; NW Crest Capital, LLC; Scot Reynolds - S-14-1528-16-CO01 - Consent Order

On March 3, 2017, the Securities Division entered into a Consent Order with Northwest Crest, LLC; Northwest Crest Capital, LLC; and Scot R. Reynolds (“Respondents”). The Securities Division had previously entered a Statement of Charges against Respondents on May 4, 2016. The Securities Division alleged that Respondents offered and sold approximately $650,000 of investments to fifteen investors in violation of the registration provisions of the Securities Act of Washington (“the Act”). The Division also alleged that Respondents violated the anti-fraud provision of the Act when they failed to disclose material information to the investors, including that Respondents would use new investor funds to repay prior investors. Without admitting or denying the Division’s allegations, Respondents agreed to cease and desist from violating the Securities Act of Washington, and to pay administrative fines and costs totaling $10,000. Respondents waived their right to a hearing and judicial review of this matter.

David Barr - S-14-1603-16-CO09 - Consent Order

On March 2, 2017, the Securities Division entered into a Consent Order with Respondent David Barr. The Securities Division previously entered a Statement of Charges against Barr and various other respondents on March 7, 2016.

In the Statement of Charges, the Securities Division alleged that Barr violated the securities registration, securities salesperson, and antifraud provisions of the Securities Act of Washington in the offer and sale of Life Partners, Inc. life settlements. Without admitting or denying the Securities Division’s allegations, Barr agreed to cease and desist from violating the Securities Act of Washington, to pay a fine of $2,500, and to pay investigative costs of $500. Barr waived his right to a hearing and judicial review of this matter.

Big Spring Gold, LLC - S-16-2078-17-CO01 - Consent Order

On March 2, 2017, the Securities Division entered into a Consent Order with Big Spring Gold, LLC (“Big Spring”). The Securities Division had previously entered a Statement of Charges against Big Spring. The Statement of Charges alleged that Big Spring had offered and sold unregistered securities and violated the anti-fraud provision of the Securities Act of Washington. Big Spring neither admitted nor denied the allegations, but agreed to cease and desist from violating the Securities Act of Washington. Big Spring waived its right to a hearing and to judicial review of the matter.

Louis A. Christensen – S-16-2078-17-CO02 - Consent Order

On March 2, 2017, the Securities Division entered into a Consent Order with Louis A. Christensen (“Christensen”). The Securities Division had previously entered a Statement of Charges against Christensen. The Statement of Charges alleged that Christensen had offered and sold unregistered securities, had been an unregistered securities salesperson, and had violated the anti-fraud provision of the Securities Act of Washington. Christensen neither admitted nor denied the allegations, but agreed to cease and desist from violating the Securities Act of Washington. Christensen waived his right to a hearing and to judicial review of the matter.

Community Impact Technologies, Inc. d/b/a Semble – S-16-2073-17-SC01 - Statement of Charges

On 2/27/2017, the Securities Division entered a Statement of Charges and Notice of Intent to Order Cease and Desist, to Impose Fines, and to Charge Costs (“Statement of Charges”) against Respondent Community Impact Technologies, Inc. d/b/a Semble (“the Respondent”). In the Statement of Charges, the Securities Division alleges that, since approximately the beginning of 2012, the Respondent has engaged in the business of effecting transactions in securities for the account of others, without being registered as a broker-dealer. The Statement of Charges gives notice of the Securities Division’s intent to order the Respondent to cease and desist from violations of the broker-dealer registration provision of the Securities Act of Washington, to impose a fine, and to 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 February 21, 2018.

InvestingCI, LLC – S-16-1925-16-SC01 – Statement of Charges

On February 27, 2017 The Securities Division entered a Statement of Charges against InvestingCI, LLC. The Statement of Charges alleges that InvestingCI, LLC sold over $200,000 of binary options to Washington residents. The Statement of Charges alleges that, in doing so, InvestingCI, LLC violated the anti-fraud provision of the Washington State Securities Act. The Statement of Charges gives notice of the Division’s intent to order InvestingCI, LLC to cease and desist, to pay a fine, and to reimburse the Division’s investigative costs. InvestingCI, LLC may request an administrative hearing on this matter.

A Final Order was entered regarding this matter on May 23, 2017.

Gary Cassill – S-14-1603-16-CO07 – Consent Order

On February 27, 2017, the Securities Division entered into a Consent Order with Respondent Gary Cassill. The Securities Division previously entered a Statement of Charges against Cassill and various other respondents on March 7, 2016.

In the Statement of Charges, the Securities Division alleged that Cassill violated the securities registration, securities salesperson, and antifraud provisions of the Securities Act of Washington in the offer and sale of Life Partners, Inc. life settlements. Without admitting or denying the Securities Division’s allegations, Cassill agreed to cease and desist from violating the Securities Act of Washington, to pay a fine of $500, and to pay investigative costs of $500. Cassill waived his right to a hearing and judicial review of this matter.

Creative Money and Mindy Crary - S-16-1931-17-CO01 - Consent Order

On February 16, 2017, the Securities Division entered into a Consent Order with Respondents Creative Money LLC and Melinda Janelle Crary, a.k.a. Mindy Crary. In the Consent Order, the Securities Division alleged that Creative Money and Crary violated the Securities Act by acting as an investment adviser and/or an investment adviser representative while not registered to do so. Without admitting or denying the Securities Division’s allegations, Respondent agreed to cease and desist from violations of RCW 21.20.040, the registration provisions of the Securities Act. Respondents Creative Money and Crary agreed to pay a fine of $10,000 and investigative costs of $5,000. Respondents Creative Money and Crary waived their right to a hearing and judicial review of the matter.

R. Scott Peden – S-14-1603-16-CO05 – Consent Order

On February 8, 2017, the Securities Division entered into a Consent Order with Respondent R. Scott Peden (“Peden”). The Securities Division previously entered a Statement of Charges against Peden and various other respondents on March 7, 2016.

In the Statement of Charges, the Securities Division alleged that Peden violated the securities registration and antifraud provisions of the Securities Act of Washington in the offer and sale of Life Partners, Inc. life settlements. Without admitting or denying the Securities Division’s allegations, Peden agreed to cease and desist from violating the Securities Act of Washington, to pay a fine of $6,250, and to pay investigative costs of $3,750. Peden waived his right to a hearing and judicial review of this matter.

Gary Meier – S-15-1759-16-SC01 – Statement of Charges

On February 3, 2017 the Securities Division issued a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Revoke Registration, to Impose Fines, and to Charge Costs (Statement of Charges) against Gary Meier.

The Statement of Charges alleges that Gary Meier engaged in the following unethical business practices as an investment adviser representative in Washington: executing transactions in client accounts without obtaining prior authority to do so; making unsuitable investment recommendations through the purchase of speculative penny stock in client accounts; misrepresenting to clients the future value of their penny stock holdings; and engaging in unregistered investment advisor activity.

The Securities Division intends to order Gary Meier to cease and desist from violating the Securities Act of Washington, to revoke his registration as an investment adviser representative, and to assess him fines and costs. Gary Meier has a right to request a hearing on the Statement of Charges

Ecocruise Electric Transportation, Inc. and Steven D. Leighty - S-16-1945-17-CO01 - Consent Order

On February 2, 2017 the Securities Division entered into a Consent Order with Respondents, Ecocruise Electric Transportation, Inc. (“Ecocruise”) and Steven D. Leighty (“Leighty”). The Securities Division alleged that Ecocruise and Leighty had violated RCW 21.20.010 and RCW 21.20.140 and that Leighty had violated RCW 21.20.040. Without admitting or denying the Securities Division’s allegations, the Respondents both agreed to cease and desist from violating the Securities Act of Washington. Leighty agreed to pay a fine of $1,000 and costs of $2,000. The Respondents waived their right to a hearing and to judicial review of this matter.

EquipLinx Sales & Service, LLC; Kirk Frankish – S-17-2116-17-CO01 – Consent Order

On January 31, 2017, the Securities Division entered Consent Order S-17-2116-17-CO01 with EquipLinx Sales & Service, LLC and Kirk Frankish (collectively “the Respondents”). In the Consent Order, the Securities Division alleged that the Respondents had violated the Franchise Act of Washington by offering franchises to Washington residents without being registered to do so. Without admitting or denying the Securities Division’s allegations, the Respondents agreed to cease and desist from violating the Franchise Act and to pay $500 in investigative costs. The Respondents agreed to waive their right to a hearing and judicial review of the matter.

James Brian Hill and Sound Leasing Corporation – S-13-1192-16-CO01 – Consent Order

On January 31, 2017, the Securities Division entered a Consent Order with James Brian Hill and Sound Leasing Corporation (collectively, “Respondents”). In this Consent Order, the Securities Division alleged that Respondents raised approximately $2 million through the sale of promissory notes from twenty-five investors to fund an equipment leasing business. The Securities Division alleged that Respondents sold unregistered securities in violation of RCW 21.20.140. The Securities Division also alleged that Respondents violated RCW 21.20.010, the anti-fraud provision of the Securities Act of Washington. Further, the Securities Division alleged that James Brian Hill violated 21.20.040 by offering or selling securities while not registered as a securities salesperson or broker-dealer in the state of Washington. Without admitting or denying the Securities Division’s allegations, Respondents have agreed to cease and desist from violating the Securities Act of Washington. Respondents also agreed to pay a fine of $1,500. Respondents waived their rights to a hearing and judicial review of this matter.

Champs Chicken Franchising LLC - S-16-2008-17-CO01 - Consent Order

On January 25, 2017, the Securities Division entered into a Consent Order with Respondent Champs Chicken Franchising LLC of Holts Summit, Missouri. In the Consent Order, the Securities Division alleged that Champs Chicken violated the Franchise Investment Protection Act by offering and selling franchises to two state residents while not registered to do so and failed to provide prospective franchisees with a franchise disclosure document with current material information about the franchise offering. Without admitting or denying the Securities Division’s allegations, Respondent agreed to cease and desist from violations of RCW 19.100.020 and RCW 19.100.080, the registration and disclosure document portions of the Franchise Investment Protection Act. Respondent Champs Chicken Franchising LLC agreed to pay investigative costs of $3,000 and waived its right to a hearing and judicial review of the matter.

Troy Van Sickle – S-14-1550-16-CO02 – Consent Order

On January 25, 2017, the Securities Division entered a Consent Order with Troy Van Sickle ("Respondent"). The Securities 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 Respondent and others on January 7, 2016 in connection with the offer and sale of investments in investment contracts and evidence of indebtedness. The Securities Division alleged that Respondent violated RCW 21.20.010, the anti-fraud provision of the Securities Act of Washington. The Securities Division alleged that Respondent offered or sold unregistered securities in violation of RCW 21.20.140. The Securities Division alleged that Van Sickle violated RCW 21.20.040 by acting as an unregistered broker-dealer and/or securities salesperson. 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 a fine of $20,000 and investigative costs of $10,000. Respondent waived his right to a hearing and judicial review of this matter.

MiniHYA Corporation; Raymond Willis - S-15-1624-17-FO02 - Order Denying Petition for Reconsideration and Affirmation of Final Order Dated November 16, 2016

On January 12, 2017, the Acting Director of the Washington State Department of Financial Institutions entered an Order Denying Petition for Reconsideration and Affirmation of Final Order Dated November 16, 2016 (“Order Denying Petition for Reconsideration”) against MiniHYA Corporation and Raymond Willis (collectively, “Respondents”). Respondents had filed a Petition for Reconsideration requesting that the Acting Director reconsider the Final Order entered against Respondents on November 16, 2016. The Order Denying Petition for Reconsideration affirmed the Final Order’s findings that Respondents violated the Securities Act of Washington (“Act”) in connection with the offer and sale of stock, and the Acting Director’s order that the Respondents to cease and desist from further violations of the Act. The Order Denying Petition for Reconsideration also affirmed the assessment of fines and costs against Respondents. Respondents have the right to petition the superior court for judicial review of the Order Denying Petition for Reconsideration.

Lodge at McKenzie Meadow Village, LLC; Pinnacle Alliance Group LLC; Mark Adolf; Anita Adolf – S-15-1669-16-CO01 – Consent Order

On January 11, 2017 the Securities Division entered Consent Order S-15-1669-16-CO01 with Lodge at McKenzie Meadow Village, LLC; Pinnacle Alliance Group LLC; Mark Adolf; and Anita Adolf (collectively “the Respondents”). In the Consent Order, the Securities Division alleged that the Respondents violated the antifraud section of the Securities Act of Washington by misrepresenting or failing to disclose material information in connection with the offer and sale of investments in a proposed senior housing facility, and violated the securities registration section of the Securities Act of Washington by offering and selling unregistered securities with no valid claim of exemption. The Securities Division further alleged that Respondents Pinnacle Alliance Group LLC, Mark Adolf, and Anita Adolf violated the Securities Act of Washington by offering and selling such investments while unregistered as a broker-dealer or securities salesperson in Washington. Without admitting or denying the Securities Division’s allegations, the Respondents agreed to cease and desist from violating the Securities Act and to pay $10,000 in fines and $5,000 in investigative costs. The Respondents agreed to waive their right to a hearing and judicial review of the matter.

FlikMedia, Inc.; Nicola “Nick” Bicanic; and Arben Kryeziu – S-15-1764-16-AG01 – Stipulation and Order of Dismissal

On January 5, 2017 after an adjudicative hearing, the Securities Division entered a Stipulation and Order of Dismissal with FlikMedia, Inc.; Flikdate, Inc.; Nicola “Nick” Bicanic; and Arben Kryeziu dismissing the charges in Statement of Charges S-15-1764-15-SC01.