Consent Order WA · Washington State Department of Financial Institutions, Securities Division (DFI)
Order date Oct 20, 2010 · Regulator: Washington State Department of Financial Institutions, Securities Division (DFI) · S-10-250-10-CO03 · Parties (regulator's caption): Gary Brown and Dennis Shay · Order entered with/against: Gary Brown and Dennis Shay
As listed by the regulator:
On October 20, 2010, the Securities Division entered into a Consent Order with Gary Brown and Dennis Shay. … Without admitting or denying the allegations, Brown and Shay agreed to cease and desist from violating the Securities Act of Washington.
Order / docket ↗ Regulator's list ↗same full name in the order; 6 people with this name in Form D filings; regulator in the person's filing state (WA)
Statement of Charges WA · Washington State Department of Financial Institutions, Securities Division (DFI)
Order date Sep 10, 2010 · Regulator: Washington State Department of Financial Institutions, Securities Division (DFI) · S-10-250-10-SC01 · Parties (regulator's caption): Meridian Mortgage Investors Fund V, LLC, Meridian Mortgage Investors Fund VI, LLC, Meridian Mortgage Investors Fund VII, LLC, Meridian Mortgage Investors Fund VIII, LLC, Meridian Mortgage Investors Fund IX, LLC, Meridian Mortgage Investors Fund X, LLC, Meridian Real Estate Opportunity Fund I, LLC, Meridian Partnership Management, Inc.; MPM Investor Services, Inc.; CS Note Holdco, LLC, F. Darren Berg, Gary Brown, Dennis Shay · Order entered with/against: Meridian Mortgage Investors Fund V, LLC, Meridian Mortgage Investors Fund VI, LLC, Meridian Mortgage Investors Fund VII, LLC, Meridian Mortgage Investors Fund VIII, LLC, Meridian Mortgage Investors Fund IX, LLC, Meridian Mortgage Investors Fund X, LLC, Meridian Real Estate Opportunity Fund I, LLC, Meridian Partnership Management, Inc., MPM Investor Services, Inc., CS Note Holdco, LLC, F. Darren Berg (Berg), Gary Brown, Dennis Shay
As listed by the regulator:
On September 10, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Recover Costs and to Impose Fines against Meridian Mortgage Investors Fund V, LLC, Meridian Mortgage Investors Fund VI, LLC, Meridian Mortgage Investors Fund VII, LLC, Meridian Mortgage Investors Fund VIII, LLC, Meridian Mortgage Investors Fund IX, LLC, Meridian Mortgage Investors Fund X, LLC, Meridian Real Estate Opportunity Fund I, LLC, Meridian Partnership Management, Inc., MPM Investor Services, Inc., CS Note Holdco, LLC, F. Darren Berg (Berg), Gary Brown, Dennis Shay (collectively, Respondents). … The Securities Division intends to order the Respondents to cease and desist from violating the Securities Act of Washington and gives notice of its intent to impose fines and recover costs.
Order / docket ↗ Regulator's list ↗same full name in the order; 6 people with this name in Form D filings; regulator in the person's filing state (WA); co-listed entity "meridian real estate opportunity fund i" is an issuer this person is named on