Regulatory Activity

As part of its responsibility, the Virginia Division of Securities and Retail Franchising answers inquiries, provides investor education programs, handles complaints, performs audits, and conducts investigations regarding code violations relating to securities and retail franchising.

Investigations are, by law, confidential unless and until formal action by the Commission is undertaken. The list below includes cases for which the SCC issued a Rule to Show Cause (a request for an explanation as to why certain activity should not be considered a violation of rules or laws); Settlement Orders, which are Commission orders - acknowledged by a regulated company or individual - alleging that penalties are warranted for certain activity; and Consent Orders, in which a company or individual agrees to certain findings and conditions which become legally binding. These Orders may or may not include any admission of wrongdoing.

This information is just a portion of what consumers should consider when assessing the credibility of investment or franchise offerings.

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Case Number Description Order Date
Regulatory Actions

SEC-2019-00030 Final Order

Glenn Barton Fischer And Fischer Wealth Advisors, Llc 12/13/2023
SEC-2022-00009 Final Order Mochinut, Inc. 11/2/2023
SEC-2022-00010 Final Order Skyism, Llc 11/2/2023
SEC-2018-00016 Final Order Daniel J. Anglin, Jr. And Prince Henry Management, Llc 10/23/2023
SEC-2022-00034 Final Order Fatburger North America, Inc. 10/23/2023
SEC-2023-00027 Settlement Order Teddy Bear Mobile, Inc. 10/23/2023
SEC-2022-00002 Final Order Permanens Capital L.P. 10/11/2023
SEC-2023-00019 Final Order Brian Cekada 10/4/2023
SEC-2023-00021 Settlement Order Celebration Title Franchising, Llc 10/4/2023
SEC-2018-00016 Settlement Order Daniel J. Anglin, Jr., And Prince Henry Management, Llc 7/31/2023
SEC-2022-00026 Settlement Order Selfie Wrld, Llc 7/18/2023
SEC-2022-00034 Settlement Order Fatburger North America, Inc. 7/12/2023
SEC-2022-00038 Settlement Order King Lombardi Acquisitions, Inc., D/B/A Vr Business Brokers 7/12/2023
SEC-2023-00019 Settlement Order Brian Cekada 7/11/2023
SEC-2023-00009 Settlement Order Rbc Capital Markets, Llc 5/26/2023
SEC-2023-00004 Consent Order Nexo Capital Inc. 4/28/2023
SEC-2022-00021 Final Order G. C. Franchising Systems, Inc. D/B/A The Growth Coach 3/24/2023
SEC-2022-00031 Final Order Jeffrey Bruce 3/24/2023
SEC-2022-00035 Settlement Order Overtime Franchise Llc 3/14/2023
SEC-2021-00044 Settlement Order Kairos Investing, Llc And David Clark Taylor 3/9/2023
SEC-2018-00002 Final Order Liberty Roe Capital, Llc And Kwesi Robotham 3/7/2023
SEC-2022-00036 Settlement Order Corey Taylor 3/1/2023
SEC-2020-00009 Settlement Order Metropolitan Capital Strategies, Llc, Et Al. 2/14/2023
SEC-2018-00026 Settlement Order Thomas Gregory Cook 2/13/2023
SEC-2022-00001 Settlement Order Michael Robert Finnie 1/26/2023
SEC-2022-00031 Settlement Order Jeffrey Bruce 12/9/2022
SEC-2022-00024 Settlement Order Michael Alan Florin Todd And Onpoint Financial Management, Llc (F/K/A Onpoint Financial Retirement, Llc) 12/9/2022
SEC-2017-00005 Final Order Bridgetown Fragrances, Inc. And Gerald K. Waters 12/8/2022
SEC-2022-00009 Settlement Order Mochinut, Inc. 12/1/2022
SEC-2022-00010 Settlement Order Skyism, Llc 12/1/2022
SEC-2022-00002 Settlement Order Permanens Capital L.P. 11/29/2022
SEC-2021-00010 Final Order Oyo Hotels, Inc. 10/14/2022
SEC-2022-00022 Settlement Order The Money Advantage, Llc 8/29/2022
SEC-2022-00021 Settlement Order G. C. Franchising Systems, Inc. D/B/A The Growth Coach 8/11/2022
SEC-2022-00015 Settlement Order Independent Financial Planning, Llc 7/15/2022
SEC-2018-00046 Final Order Wealthforge Securities, Llc And Wealthforge Holdings, Inc. 7/15/2022
SEC-2019-00058 Final Order Healthsource Chiropractic, Inc., And Bernard Brozek 7/11/2022
SEC-2019-00040 Final Order Daryl Blackmon 6/15/2022
SEC-2019-00037 Final Order Peter Holler 6/15/2022
SEC-2020-00049 Final Order Cornerstone Asset Management, Inc. 5/27/2022
SEC-2021-00026 Final Order Yorcmo Franchising, Llc 5/27/2022
SEC-2019-00007 Final Order Howard L. Weinstock And Life.Markers, Llc 5/25/2022
SEC-2022-00007 Settlement Order Eagle Strategies, Llc 5/18/2022
SEC-2021-00035 Final Order Kickhouse Fitness, Llc 5/11/2022
SEC-2021-00029 Final Order U.S. Data Mining Group, Inc. 5/11/2022
SEC-2018-00040 Final Order Jon Mark Dabareiner 4/28/2022
SEC-2021-00017 Settlement Order Mehdi Tabdiliazar, R2 Advisors, P.C. And M2 Advisors, Inc. 4/27/2022
SEC-2020-00013 Final Order Skrimp Shack, Llc 4/15/2022
SEC-2021-00041 Settlement Order Aptus Financial, Llc 1/24/2022
SEC-2021-00021 Settlement Order Eight Usa, Inc. 1/24/2022
SEC-2021-00026 Settlement Order Yorcmo Franchising, Llc 1/24/2022
SEC-2021-00035 Settlement Order Kickhouse Fitness, Llc 1/6/2022

SEC-2020-00014 Settlement Order

Rede Wealth, Llc 11/30/2023

SEC-2023-00035 Settlement Order

Equitas Capital Advisors, Llc 11/27/2023

SEC-2023-00006 Settlement Order

Jennifer Wappaus 11/20/2023

Note: Any additional information available on cases listed may be accessed from the SCC's Docket Search system. Search by case number by entering it in the labeled field.