S-12-0077 - State of Oregon

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Final Order Denying Use of Exemptions to the Securities Registration Requirements
21. The Director, pursuant to the authority under ORS 59.045, hereby
PERMANENTLY DENIES Respondent JONES’s ability, and the ability of any affiliated
and/or successor person, business or corporation, to rely on the exemptions to the
securities registration requirements allowed by ORS 59.025 and ORS 59.035.
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Division of Finance and Corporate Securities
Labor and Industries Building
350 Winter Street NE, Suite 410
Salem, OR 97301-3881
Telephone: (503) 378-4387
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Final Order Assessing Civil Penalties
22. Pursuant to the authority of ORS 59.995, the Director hereby ORDERS the
assessment of a CIVIL PENALTY against Respondent JONES in the amount of $80,000
as follows:
A. For offering or selling unregistered securities in the State of Oregon in
violation of ORS 59.055, the Director ORDERS Respondent JONES be assessed a
CIVIL PENALTY of $20,000.
B. For transacting business in Oregon as a securities salesperson without a
license in violation ORS 59.165, the Director ORDERS that Respondent JONES be
assessed a CIVIL PENALTY of $20,000.
C. For making untrue statements of material fact in violation of ORS 59.135(2),
the Director ORDERS that Respondent JONES be assessed a CIVIL PENALTY of
$20,000.
D. For engaging in an act, practice or course of business which operated as a
fraud or deceit upon an Oregon investor in violation of ORS 59.135(3), the Director
ORDERS that Respondent JONES be assessed a CIVIL PENALTY of $20,000.
23. Entry of this Order in no way limits or prevents further remedies, sanctions, or
actions which may be available to the Director under Oregon law to enforce this Order,
for violations of this Order, for conduct or actions of the Respondent that are not covered
by this Order, or against any party not covered by this Order.
Page 6 of 7—FINAL ORDER BY DEFAULT / Brendan Thomas Jones (S-12-0077)