Regulatory Alerts2020-05-29
Added · Updated
Bulletin 2936 - May 29, 2020
The Commissioner extends a no-action position regarding employees working from home due to COVID-19 until June 30, 2020. In the North American Drilling Corporation matter, the Commissioner makes cease and desist and restitution orders permanent, imposes a $500,000 aggregate fine, and requires $32,039.97 in restitution from the respondents. A consent order against Glenn Bradford Johnson, Annmarie Lucy Savona, and Jabez Financial, LLC mandates disgorgement of $123,082.43, bars Savona from licensed activities, restricts Johnson's advisory powers, and stays a $30,000 fine pending financial review. P-Square Investments LLC agrees to pay $5,000 to resolve allegations of employing an unregistered agent.
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