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-2015-00020 Other Order Daryl Gene Bank And Raeann Ann Gibson 3/26/2024
SEC-2017-00032 Final Order Wings To Go, Inc. 4/17/2024
SEC-2017-00043 Final Order Sugar Shack Donuts, LLC And Ian Kelley 4/17/2024
SEC-2019-00005 Final Order Charles B. Brinkman And Integrity Investing, Inc. 4/l7/2024
SEC-2019-00060 Final Order Best Western International, Inc. 4/17/2024
SEC-2020-00009 Final Order Metropolitan Capital Strategies, LLC, Sharon Snow, David 4/17/2024
SEC-2020-00011 Final Order Yoon Za Kim 4/17/2024
SEC-2020-00033 Settlement Order Raymond Willis Jr. & Heritage Development Partners, LLC 5/13/2024
SEC-2021-00036 Final Order N & B Associates LLC D/B/A Prosperity Wealth 7/19/2024
SEC-2021-00044 Final Order Kairos Investing, LLC And David Clark Taylor 4/17/2024
SEC-2022-00001 Final Order Michael Robert Finnie 4/17/2024
SEC-2022-00015 Final Order Independent Financial Planning 4/17/2024
SEC-2022-00035 Final Order Overtime Franchise, LLC 7/11/2024
SEC-2022-00036 Final Order Corey Taylor 7/25/2024
SEC-2023-00004 Final Order Nexo Capital Inc. 8/30/2024
SEC-2023-00021 Final Order Celebration Title Franchising, LLC 4/17/2024
SEC-2023-00038 Final Order Ingalls & Snyder LLC 9/12/2024
SEC-2023-00038 Settlement Order Ingalls & Snyder LLC 8/21/2024
SEC-2023-00039 Settlement Order Edward Lee Pinney, Jr. 7/19/2024
SEC-2024-00014 Settlement Order Barksuds, Inc. 8/6/2024
SEC-2024-00017 Settlement Order Frankline Mbunu And Frank Dedicated Services, LLC 8/1/2024
SEC-2024-00020 Settlement Order Ferris S.J. Ahn 7/26/2024
SEC-2024-00026 Settlement Order Pnc Investment LLC 9/23/2024
SEC-2024-00029 Settlement Order Federal Injury Centers, LLC 9/30/2024
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-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.