Orders From Other Years

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J1S Energy, LLC, Kirk D Jones, Josh Childress - S-19-2622-21-SC01 - Statement of Charges

On April 16, 2021, 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 J1S Energy, LLC, Kirk D Jones, and Josh Childress. The Statement of Charges alleged that Childress cold-called an elderly resident of Chelan County, Washington and offered him unregistered oil and gas investments in J1S Energy, LLC. Respondents then sold the Washington investor three investments totaling about $198,000. Respondents failed to provide the investor with material information about the investments. The Statement of Charges alleged that Respondents violated the securities registration, securities salesperson registration, and anti-fraud provisions of the Securities Act of Washington. The Statement of Charges gave notice of the Securities Division’s intent to order Respondents to cease and desist from violating the Securities Act of Washington, and to order the payment of fines and costs. Respondents have a right to request a hearing on the Statement of Charges.


KickHouse Fitness Licensing, LLC - S-20-3022-21-CO01 - Consent Order

On April 16, 2021, the Securities Division entered into a Consent Order with KickHouse Fitness Licensing, LLC (“KickHouse”), a Texas-based business that is an affiliate of KickHouse Fitness, LLC which is in the business of providing kick boxing-based exercise programs along with related services such as nutrition programming and motivational coaching. In the Consent Order, the Division alleged that KickHouse provided a Washington resident with a “Trade Mark License Agreement” that would have allowed the Washington resident to operate a KickHouse-branded business. The Division further alleged that, in doing so, KickHouse violated Washington’s Franchise Investment Protection Act (the “Act”). By entering into the Consent Order, KickHouse neither admits nor denies the Division’s allegations made in the Consent Order, and agrees to cease and desist from violating the Act. KickHouse also waived its right to an administrative hearing on and judicial review of this matter.


Scott Rahn - S-20-2966-21-CO01 - Consent Order

On April 6, 2021, the Securities Division entered into Consent Order S-20-2966-21-CO01 (“Consent Order”) with respondent Scott Rahn (CRD 1959522), conditioning the investment adviser registration of any investment adviser controlled by Respondent. The Consent Order states that, as a securities salesperson of LPL Financial, Respondent made unsuitable recommendations to customers in violation of RCW 21.20.702 and WAC 460-22B-090(7), the suitability provisions of the Securities Act of Washington. The Consent Order requires retention of an independent compliance firm for a period of two years. Respondent waived his right to judicial review of the matter.


Svaram Group, Inc., Svaram Global, LLC, and Murali K. Kuppa - S-18-2565-20-CO01 - Consent Order

On April 5, 2021, the Securities Division entered into a Consent Order with Svaram Group, Inc., Svaram Global, LLC, and Murali K. Kuppa (collectively “Respondents”). 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 Charge Costs against the Respondents. The Securities Division alleged that Svaram Group was a start-up private equity fund operating from the greater Seattle area. In 2017, Kuppa solicited two Washington residents to invest a total of $150,000 with him in the organization and formation stage of the fund, in return for equity positions in Svaram Group and Svaram Global. The Securities Division alleged that the Respondents violated the anti-fraud provision of the Securities Act of Washington. The Respondents neither admitted nor denied the allegations, but agreed to cease and desist from violating the Securities Act of Washington, and to pay a fine of $3,000 and investigative costs of $3,000. The Respondents waived their right to a hearing and to judicial review of the matter.


Blake E. Robbins - S-17-2256-21-FO01 - Final Order

On April 5, 2021, the Director of the Washington State Department of Financial Institutions entered a Final Order against Blake E. Robbins. The Securities Division previously entered a Statement of Charges against the Respondent Robbins and Overlake Capital, LLC, Overlake Capital Real Estate Fund I, LLLP, Overlake Capital Real Estate Fund II, LLLP, Overlake Capital Absolute Fund I, LLLP, Overlake Capital REO 122, LLC, Overlake Capital REO 123, LLC, Overlake Capital REO 124, LLC, Overlake Capital REO 127, LLC, Overlake Capital REO 128, LLC, Seattle R/E Investments 61, LLC, Beaumont 23, LLC, Caraway Run, LLC, Paradise Harbour, LLC, 817 32nd Ave, LLC, and Paul T. Thacker on December 12, 2018. The Final Order found that Respondent Robbins violated RCW 21.20.040 and RCW 21.20.010, and ordered Respondent Robbins to cease and desist from further violations of the Securities Act. The Final Order ordered Respondent Robbins to pay a fine of $20,000 and costs of $10,000. Respondent Robbins has the right to petition the superior court for judicial review of the Final Order.


Chalice Investments, Inc. et al - S-18-2534-20-CO01 - Consent Order

On April 2, 2021, the Securities Division entered into a Consent Order with Jeffray Lewis (“Lewis”) and several entities under his control (Chalice Investments, LLC; Haystack 4Life, LLC; Haystack Caps, LLC) (collectively, “Respondents”) to settle allegations made by the Division in an earlier Statement of Charges that the Respondents had violated the Washington State Securities Act (the “Act”). The Division alleged that Lewis, through his entities, sold $60,000 of limited company interests to a Washington couple to ostensibly support Lewis’s marijuana businesses. The Statement of Charges further alleged that, in doing so, the Respondents violated the Act’s anti-fraud and securities registration provisions. The Division also alleged that Lewis violated the Act’s securities salesperson registration section. In settling this matter, the Respondents neither admitted or denied the Division’s allegations, and agreed to cease and desist from all violations of the Act. Lewis further agreed to pay the Division $500 for its investigative costs, and a fine of $500. The Respondents waived their rights to an administrative hearing and judicial review of this matter.


Mobile Workforce, Inc. and David Weir - S-20-2837-21-SC01 - Statement of Charges

On April 2, 2021, the Securities Division entered a Statement of Charges and Notice of Intent to Issue an Order to Cease and Desist, Impose Fines, and Charge Costs against Mobile Workforce, Inc. and David Weir (Respondents). Mobile Workforce Inc. is a medical supply chain management business operating out of Port Orchard, Washington. In September 2018, Respondents sold $41,000 worth of Mobile Workforce, Inc. stock to three investors, $21,000 of which was to two Washington residents. The Securities Division alleges that Respondents violated the anti-fraud provision of the Securities Act of Washington when it sold the Mobile Workforce Inc. stock. The Securities Division ordered Respondents to cease and desist from violating the Securities Act of Washington. The Securities Division gave notice of its intent to collect fines and charge costs. Respondent have a right to request a hearing on the Statement of Charges.


Cape Point Wealth & Tax Management, LLC and Michael Glick - S-20-2944-21-FO01 - Final Order

On April 1, 2021, the Securities Division entered Final Order S-20-2944-21-FO01 (“Final Order”), against investment adviser Cape Point Wealth & Tax Management, LLC (“Cape Point”, CRD #305344) and its owner and investment adviser representative Michael Glick (CRD #4798927) (collectively, “Respondents”). The Securities Division issued a Statement of Charges against Respondents on December 31, 2020. The Statement of Charges alleged that Respondents failed to file Cape Point’s annual updating amendment to its Form ADV in violation of WAC 460-24A-205 and failed to timely file its year-end balance sheet in violation of WAC 460-24A-060. The Final Order revokes Respondents’ registrations, imposes fines, and charges costs. Respondents have the right to request judicial review of the Final Order.


Omega Capital Advisor LLC and Terry Laxton - S-20-2987-21-SC01 - Statement of Charges

On March 26, 2021, the Securities Division entered Statement of Charges and Notice of Intent to Enter an Order to Revoke Registration, Deny Future Registration, Cease and Desist, Impose a Fine, and Charge Costs (“Statement of Charges”) against respondents Omega Capital Advisor LLC (“Omega”, CRD #143303) and its owner Terry Laxton (CRD #1197756). In the Statement of Charges, the Securities Division alleges that after Omega failed to renew Mr. Laxton’s investment adviser representative registration over six years ago, Omega has failed to have a registered investment adviser representative in violation of WAC 460-24A-050(4). The Securities Division additionally alleges that after his registration failed to renew, Mr. Laxton has continued to hold himself out to the public as an investment adviser representative in violation of RCW 21.20.040(4). The Statement of Charges gives notice of the Securities Division’s intent to revoke the investment adviser registration of Omega; to deny future registrations of Mr. Laxton for one year; to order Mr. Laxton to cease and desist from violations of RCW 21.20.040(4); to impose an administrative fine; and to charge investigative costs. Respondents have a right to request a hearing on the Statement of Charges.


Wesley J. Evans – S-20-3019-21-FO01 - Final Order

On March 25, 2021, the Securities Division entered a Final Order to Deny Future Registrations, Impose a Fine, and Charge Costs (Final Order) against Wesley J. Evans (CRD No. 6617516) (Evans), a Seattle resident and former securities salesperson for J.P. Morgan Securities LLC (CRD No. 79). The Securities Division previously issued a Statement of Charges against Respondent Evans on January 22, 2021. This action stemmed from a Letter of Acceptance, Waiver, and Consent agreed to by Respondent Evans and the Financial Industry Regulatory Authority (FINRA) in July 2020, in which he neither admitted nor denied the findings and agreed to be barred from associating with any FINRA member in any capacity. The Securities Division finds that Respondent Evans violated the dishonest and unethical business practices section of the Securities Act of Washington and its associated regulations by misappropriating $14,740.00 from two elderly clients to his personal credit cards while working as a private client banker at JPMorgan Chase Bank, N.A., and by refusing to comply with a FINRA information request about this conduct after he was terminated by the bank. The Securities Division orders the denial of any future securities registration application by Respondent Evans, and imposes a fine of $1,000.00 and cost recovery of $1,750.00. Respondent Evans has a right to request judicial review of the Final Order.


Sun Asset Management, Inc. and Kevin Liu - S-20-3011-21-FO01 - Final Order

On March 24, 2021, the Securities Division entered Final Order S-20-3011-21-FO01 (“Final Order”), against Sun Asset Management, Inc. (CRD 140435) and Kevin Liu (CRD 4394803) (collectively, “Respondents”). The Securities Division previously issued a Summary Order against Respondents, summarily suspending the investment adviser registration of Sun Asset Management and the investment adviser representative registration of Mr. Liu. In the Final Order, the Securities Division found that Respondents failed to make Sun Asset Management’s books and records available for examination by the Securities Division in violation of RCW 21.20.100(4). The Final Order revoked Respondents’ registrations, imposed fines, and charged costs. Respondents have the right to request judicial review of the Final Order.


Donald Logan - S-19-2632-20-CO01 - Consent Order

On March 17, 2021 the Securities Division entered into a Consent Order with Donald Logan (“Logan”) (CRD no. 5537486) to settle a Statement of Charges the Division had entered against Logan, who was registered with the Division as a securities salesperson and investment adviser representative of two firms from 2008 to 2018. Logan is not currently registered with the Division. In the Statement of Charges, The Division alleged that Logan engaged in unethical conduct by exercising unauthorized discretion over clients’ accounts, and by misusing client forms. The Division also alleged that Logan failed to make required updates of his Form U4, and that he made false filings with the Division by submitting Forms U4 that did not disclose a civil judgment against him. The Division further alleged that Logan acted unethically when he did not disclose his financial interest in recommendations that he made to a client. In settling this matter, Logan agreed to pay a fine of $5,000 upon applying for registration with the Division as a broker-dealer, securities salesperson, investment adviser, or investment adviser representative, investigative costs of $2,000, and to cease and desist from violating the Washington State Securities Act. The Consent Order also provides that any investment adviser, investment adviser representative, broker-dealer, and securities salesperson registrations that Logan may seek in the four months following the entry of the Consent Order shall be denied. After that period, any registration as a broker-dealer, securities salesperson, investment adviser, and investment adviser representative shall be conditioned upon Logan’s sponsoring firm submitting a plan of heightened supervision that will last a minimum of two years. By entering into the Consent Order, Logan waived his right to a hearing on and to judicial review of this matter.


Lasting Connections, LLC; Lasting Connections Matchmaking App LLC; Sameera Sullivan - S-20-3041-21-CO01 - Consent Order

On March 17, 2021, the Securities Division entered into a Consent Order with Lasting Connections, LLC; Lasting Connections Matchmaking App LLC; and Sameera Sullivan (Respondents). In the Consent Order, the Securities Division alleged that the Respondents operated a matchmaking business based in Portland, Oregon and raised $50,000 through the sale of unregistered securities to two Washington investors in Bellingham, Washington. In settling the matter, the Respondents neither admitted nor denied the allegations, but agreed to cease and design from violating the Securities Act. The Consent Order requires the Respondents to pay a fine of $1,500 and investigative costs of $3,500.


New Vision Properties, LLC and Jimi Ward – S-20-3048-21-FO01 - Final Order

On March 3, 2021 the Securities Division entered a Final Order against New Vision Properties, LLC and Jimi Ward (collectively, “Respondents”). The Securities Division previously entered a Statement of Charges alleging that the Respondents violated the registration and anti-fraud provisions of the Securities Act of Washington through the sale of approximately $100,000 of investments that were sold to investors in Washington and Oregon. The Final Order orders the Respondents to cease and desist from violating the Securities Act of Washington, orders New Vision Properties, LLC and Jimi Ward to each pay a fine of $10,000, and to pay $2,500 in investigative costs. The Respondents each have a right to seek judicial review of the Final Order.


Anderson, Douglas - S-18-2410-20-CO01 - Consent Order

On March 3, 2021, the Securities Division entered into a Consent Order with Respondent Douglas Charles Anderson (“Anderson”). The Securities Division had previously issued a Statement of Charges against Anderson and another Respondent, Jonathan Davis, in connection with the offer and sale of interests in a marijuana retail entity, Diego Pellicer Inc., and a related publicly traded company, Diego Pellicer Worldwide Inc. In the Consent Order, Anderson neither admitted nor denied the Securities Division’s Findings of Fact and Conclusions of Law, but agreed to cease and desist from violating the registration and antifraud provisions of the Securities Act of Washington. Anderson further agreed to pay a fine of $4,000 and investigative costs of $1,000. Anderson waived his right to a hearing and to judicial review of this matter.


Michael Pace, CFP (CRD #113986) – S-20-3033-21-FO01 - Final Order

On March 3, 2021, the Securities Division entered a Final Order to Revoke Registration against Respondent Michael Pace, CFP (Pace CFP). In the Final Order the Securities Division found that Pace CFP failed to maintain a compliant business continuity and succession plan as required of registered investment advisers. As a result, when the owner of Pace CFP died, Pace CFP did not have a complete set of books and records of the investment adviser nor any qualified person in place to carry out the investment adviser’s business. The Securities Division revoked the investment adviser registration of Pace CFP. Pace CFP has the right to request judicial review of the Final Order.


Charles Winn, LLC - S-20-3038-21-FO01 - Final Order

On February 23, 2021, the Securities Division entered a Final Order to Cease and Desist, Impose Fines, and Charge Costs against Charles Winn, LLC. The Securities Division previously entered a Statement of Charges against the Respondent on January 7, 2021. The Statement of Charges alleged that Charles Winn and its sales agents engaged in a cold-calling scheme to target investors throughout the United States, including Washington, to invest in its wine brokerage program. Between 2018 and 2020, four Washington residents invested approximately $68,000 in Charles Winn’s wine brokerage program. The Securities Division further alleged that the Respondent sold unregistered securities, acted as an unregistered broker-dealer, and violated the anti-fraud provision of the Securities Act of Washington. 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.


Symboli Blockchain, LLC and Robert Bevan Brian. - S-19-2822-21-SC01 - Statement of Charges

On February 19, 2021, the Securities Division entered a Statement of Charges and Notice of Intent to Issue an Order to Cease and Desist, Impose Fines, and Charge Costs against Symboli Blockchain LLC and Robert Bevan Brian (collectively “Respondents”). In approximately June 2018, Brian solicited an investor to invest $35,000 in pre-ICO Symboli tokens that Brian represented that he personally owned and held in his crypto wallet, and that the investor could sell in approximately one month for a significant profit. In fact, Brian never held any Symboli tokens, as they never finished development. Subsequently, in December 2018, the Symboli token offering was advertised via general solicitation on the internet, including to Washington residents. The Securities Division alleges that the Respondents offered unregistered securities and violated the anti-fraud provision of the Securities Act of Washington. The Securities Division ordered the Respondents to cease and desist from violating the Securities Act of Washington. The Securities Division gave notice of its intent to collect fines and charge costs. Respondents have a right to request a hearing on the Statement of Charges.


Soak LLC - S-20-2864-20-SC01 - Statement of Charges

On February 16, 2021, the Securities Division entered Statement of Charges and Notice of Intent to Enter an Order to Cease and Desist, order number S-20-2864-20-SC01, (the “order”) against Soak LLC (“Soak”), a business that owns and operates the Soak on the Sound bathhouse in Port Townsend, Washington. The order alleges that Soak invited visitors to its website, which is accessible to the general public, to apply for the opportunity to open Soak-branded bathhouses in their communities. The order also alleges that Soak directly offered its franchise to a Burlington, Washington resident in early 2020. In doing so, the order alleges that Soak violated the Washington Franchise Investment Protection Act (the “Act”) by conducting an unregistered franchise offering. The order gives notice of the Securities Division’s Intent to order Soak to cease and desist from violating the Act. Soak may request an administrative hearing on the order.


Geoffrey Thompson - S-18-2484-20-FO02 - Final Order

On February 12, 2021, the Securities Division entered a 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 Geoffrey Thompson (Respondent). From October 2017 to November 2017, Thompson raised $2,100 from three Washington State investors through the sale of Doyen Elements common stock. Doyen Elements was in the business of providing ancillary services to the legal cannabis industry. In the Final Order, the Securities Division concluded that Respondent violated the antifraud provision of the Securities Act of Washington by failing to disclose material information to investors in its Regulation A – Tier 2 offering. Respondent has the right to request judicial review of the Final Order.


Wesleyan Investment Foundation - S-20-3055-21-CO01 - Consent Order

On February 9, 2021, the Securities Division entered into a Consent Order with Wesleyan Investment Foundation (“Respondent”). The Securities Division alleged that the alleged that the Respondents conducted an unregistered offering of “deposit investments” between at least 2004 and 2017. In settling the matter, the Respondents neither admitted nor denied the allegations, but agreed to cease and desist from violating the Securities Act. The Respondent further agreed to pay a fine of $10,000 and reimburse the Securities Division $1,500 for its costs of investigation. The Respondent waived his right to a hearing and to judicial review of the matter.


Baker & Associates, LLC; David Baker - S-19-2645-20-CO01 - Consent Order

On February 9, 2021, the Securities Division entered into a consent order (“Consent Order”) with Baker & Associates, LLC (CRD 305284) and David Baker (CRD 809683) (collectively, “Respondents”). The Securities Division previously entered a Statement of Charges and Notice of Intent to Enter an Order to Cease and Desist, Impose Fines, and Charge Costs against Respondents. The Consent Order states that Respondents violated the Securities Act of Washington by holding themselves out as an “IRA investment advisor,” a “financial advisor,” and a financial planner while not registered as an investment adviser or investment adviser representative in Washington in violation of RCW 21.20.040(4). Respondents modified their website and agreed to cease and desist from any further violations of RCW 21.20.040(4). Respondents agreed to pay a fine and costs. The fine and costs were reduced due to their financial condition. Respondents waived their right to a hearing and judicial review of the matter.


Mattress Today USA Inc. - S-20-3044-21-CO01 - Consent Order

On February 2, 2021, the Securities Division entered into a Consent Order with Mattress Today USA Inc. (Respondent), which is headquartered in Mount Vernon, Washington. In the Consent Order, the Securities Division alleged that the Respondent violated the Franchise Investment Protection Act by offering and selling franchises in Washington and other states while not registered to do so and by failing to provide franchisees with a franchise disclosure document. Without admitting or denying the Securities Division’s allegations, the Respondent agreed to cease and desist from violating the franchise registration and franchise disclosure document sections of the Franchise Investment Protection Act. The Respondent agreed to pay investigative costs of $1,500 and waived its right to a hearing and judicial review of the matter.


New Vision Properties, LLC and Jimi Ward - S-20-3048-21-SC01 – Statement of Charges

On January 28, 2021, 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 New Vision Properties, LLC and Jimi Ward (collectively, “Respondents”). The Statement of Charges alleges that the Respondents violated the registration and anti-fraud provisions of the Securities Act of Washington through the sale of approximately $100,000 of investments to two investors. New Vision Properties was a business based in Walla Walla, Washington that was in the business of buying and renovating residential homes. 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. Respondents each have a right to request a hearing on the Statement of Charges.

A Final Order was entered regarding this matter on March 3, 2021.


Dragonchain, Inc. – S-18-2433-21-CO01 - Consent Order

On January 26, 2021, the Securities Division entered into a Consent Order with Dragonchain, Inc. (“Dragonchain”), which is headquartered in Bellevue, Washington. The Securities Division alleged that Dragonchain violated the registration provisions of the Securities Act of Washington by failing to register its Initial Coin Offering, which raised approximately $12.7 million from approximately 5,000 purchasers during October and November 2017 from the sale of Dragon tokens. The Securities Division alleged that Dragonchain violated the anti-fraud provisions of the Securities Act by misrepresenting or failing to disclose material information about the company, including its financial condition and the intended use of proceeds from the offering. Without admitting or denying the Securities Division’s allegations, Dragonchain agreed to cease and desist from any violation of the securities registration and anti-fraud provisions. Dragonchain also agreed to pay a $50,000 fine and $10,000 of investigative costs. Dragonchain waived its right to an administrative hearing and to judicial review of this matter.


Wesley J. Evans - S-20-3019-21-SC01 - Statement of Charges

On January 22, 2021, the Securities Division issued a Statement of Charges and Notice of Intent to Issue an Order to Deny Future Registrations, Impose Fines, and Charge Costs (Statement of Charges) against Wesley J. Evans (CRD No. 6617516) (Evans), a Seattle resident and former securities salesperson of J.P. Morgan Securities LLC (CRD No. 79). This Statement of Charges stems from a Letter of Acceptance, Waiver, and Consent agreed to by Evans and the Financial Industry Regulatory Authority (FINRA) in July 2020, in which Evans neither admitted nor denied the findings and agreed to be barred from associating with any FINRA member in any capacity.

The Securities Division alleges that Evans violated the dishonest and unethical business practices section of the Securities Act of Washington and its associated regulations by misappropriating $14,740.00 from two elderly clients to his personal credit cards while working as a private client banker at JPMorgan Chase Bank, N.A., and by refusing to comply with a FINRA information request about this conduct after he was terminated by the bank. In the Statement of Charges, the Securities Division gives notice of its intent to deny future registrations, collect a fine of $1,000.00, and charge costs of $1,750.00. The Respondent has a right to request a hearing on the Statement of Charges.

A Final Order was entered regarding this matter on March 25 2021.


Global Marine Exploration Inc., Robert Henry (“Bobby”) Pritchett III, Ronald R. Alber - S-20-2872-21-FO02 - Final Order

On January 21, 2021, the Securities Division entered a Final Order against Respondent Ronald R. Alber (“Alber”). The Final Order found that in January 2012, Alber violated the registration provisions of the Securities Act of Washington by offering and selling $27,700 worth of unregistered GME stock to a Washington investor. The Final Order also found that Alber violated the anti-fraud provision of the Securities Act by making untrue and misleading statements and by failing to disclose material information about the stock. The Final Order imposed a fine of $10,000 and costs of $1,500 against Alber. Alber has the right to request judicial review of the Final Order.


Charles Winn, LLC - S-20-3038-20-SC01 - Statement of Charges

On January 7, 2021, the Securities Division entered a Statement of Charges and Notice of Intent to Issue an Order to Cease and Desist, Impose Fines, and Charge Costs against Charles Winn, LLC. Charles Winn and its sales agents have engaged in a cold-calling scheme to target investors throughout the United States, including Washington, to invest in its wine brokerage program. Between 2018 and 2020, four Washington residents invested approximately $68,000 in Charles Winn’s wine brokerage program. The Securities Division alleges that the Respondent sold unregistered securities, acted as an unregistered broker-dealer, and violated the anti-fraud provision of the Securities Act of Washington. The Securities Division ordered the Respondent to cease and desist from violating the Securities Act of Washington. The Securities Division gave notice of its intent to collect 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 February 23, 2021.