notices-orders.aspx

CFTC and States v. Safeguard Metals LLC - Securities Enforcement

The Commodity Futures Trading Commission (CFTC) and multiple states have reached a settlement with Safeguard Metals LLC and its principal, Jeffrey Ikahn. The settlement includes a $2.8 million civil penalty for alleged violations of the Commodity Exchange Act and state securities laws.

Pankaj Dayo Motwani Settles Securities Violations with Oregon DFR

The Oregon Division of Financial Regulation has issued a Consent Order against Pankaj Dayo Motwani for alleged securities violations. The order includes findings of fact, conclusions of law, and assesses civil penalties, denies use of exemptions, and bars Motwani from financial services business activities.

Oregon Division of Financial Regulation v. Quantum Corp. Technologies - Default Order

The Oregon Division of Financial Regulation has issued a default order against Quantum Corp. Technologies (QCT) and Jacqueline Hudson Parsons. The order includes a cease and desist, denial of exemptions, civil penalties, and restitution, entered by default against QCT due to failure to ratify a hearing request.