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.
Case Number | Description | Order Date |
---|---|---|
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.