Notice of Intention To Cancel Registration of Certain Municipal Advisors Pursuant to Section 15b(c)(3) of the Securities Exchange Act of 1934, 42957 [2021-16673]

Download as PDF Federal Register / Vol. 86, No. 148 / Thursday, August 5, 2021 / Notices SECURITIES AND EXCHANGE COMMISSION [Release No. 34–92530] Notice of Intention To Cancel Registration of Certain Municipal Advisors Pursuant to Section 15b(c)(3) of the Securities Exchange Act of 1934 July 30, 2021. Notice is given that the Securities and Exchange Commission (the ‘‘Commission’’) intends to issue an order or orders, pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934 (the ‘‘Act’’), cancelling the registrations of the municipal advisors whose names appear in the attached Appendix (hereinafter referred to as the ‘‘registrants’’). Section 15B(c)(3) of the Act provides, in pertinent part, that if the Commission finds that any municipal advisor registered under Section 15B is no longer in existence or has ceased to do business as a municipal advisor, the Commission, by order, shall cancel the registration of such municipal advisor. The Commission finds that each registrant listed in the attached Appendix: (i) has not filed any municipal advisor form submissions with the Commission through the Commission’s Electronic Data Gathering and Retrieval (‘‘EDGAR’’) system since January 1, 2019 (including but not limited to the annual amendments (form MA–A) required by 17 CFR 240.15Ba1– 5(a)(1)); and (ii) based on information available from the Municipal Securities Rulemaking Board (the ‘‘MSRB’’), (a) is not registered as a municipal advisor with the MSRB under MSRB Rule A– 12(a) and/or (b) does not have an associated person who is qualified as a municipal advisor representative under MSRB Rule G– 3(d) and for whom there is a Form MA–I required by 17 CFR 240.15Ba1–2(b) available on EDGAR, and/or (c) has not, since January 1, 2019, filed with the MSRB any Form A– 12 annual affirmation as required by MSRB Rule A–12(k). Accordingly, the Commission finds that each of the registrants listed in the attached Appendix either is no longer in existence or has ceased to do business as a municipal advisor. Notice is also given that any interested person may, by August 30, 2021, at 5:30 p.m. Eastern Time, submit to the Commission in writing a request for a hearing on the cancellation of the registration of any registrant listed in the attached Appendix, accompanied by a statement as to the nature of such person’s interest, the reason for such request, and the issues, if any, of fact or law proposed to be controverted, and such person may request to be notified if the Commission should order a hearing thereon. Any such communication should be addressed to the Commission’s Secretary at the address below. At any time after August 30, 2021, the Commission may issue an order or orders cancelling the registrations of any or all of the registrants listed in the attached Appendix, upon the basis of the information stated above, unless an order or orders for a hearing on the cancellation shall be issued upon request or upon the Commission’s own motion. Persons who requested a hearing, or to be advised as to whether a hearing is ordered, will receive any notices and orders issued in this matter, including the date of the hearing (if ordered) and any postponements thereof. Any registrant whose registration is cancelled under delegated authority may appeal that decision directly to the Commission in accordance with Rules 430 and 431 of the Commission’s rules of practice (17 CFR 201.430 and 431). ADDRESSES: Secretary, U.S. Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549. FOR FURTHER INFORMATION CONTACT: Ernesto Lanza, Senior Counsel to the Director, Office of Municipal Securities, 100 F Street NE, Washington, DC 20549, or at (202) 551–5680. For the Commission, by the Office of Municipal Securities, pursuant to delegated authority.1 J. Matthew DeLesDernier, Assistant Secretary. Appendix Registrant name SEC ID No. khammond on DSKJM1Z7X2PROD with NOTICES All American Municipal Advisors LLC ................................................................................................................................................. ARGENT TRUST Co ........................................................................................................................................................................... Black Holocaust Inc., d/b/a Black holocaust Mutual ........................................................................................................................... Brock Steven Kyle d/b/a Thurber Brock & Associates ........................................................................................................................ Burke Richard Stephen ....................................................................................................................................................................... C.A. WHITTAKER & ASSOCIATES, LLC, d/b/a Whittaker & Company, PLLC ................................................................................. D B & Co ............................................................................................................................................................................................. DAMON ROCQUE SECURITIES CORP\/BD ..................................................................................................................................... Financing Ideas Inc ............................................................................................................................................................................. First Midwest Municipal Lease Corp., d/b/a Midwest Healthcare Capital (MHC) ............................................................................... Friedman, Luzzatto & Co ..................................................................................................................................................................... Garffer Jerome L., d/b/a G Capital Investments ................................................................................................................................. Grant Financial Advisors, LLC ............................................................................................................................................................. IFS Planning, INC ................................................................................................................................................................................ Ironwood Advisors ............................................................................................................................................................................... Laube Capital Advisors, LLC ............................................................................................................................................................... Muni Funding Solutions LLC ............................................................................................................................................................... Ross Infrastructure Development LLC ................................................................................................................................................ Shift 4 Consulting, L.L.C ...................................................................................................................................................................... [FR Doc. 2021–16673 Filed 8–4–21; 8:45 am] BILLING CODE 8011–01–P 1 17 CFR 200.30–3a(a)(1)(ii). VerDate Sep<11>2014 17:07 Aug 04, 2021 Jkt 253001 PO 00000 Frm 00182 Fmt 4703 42957 Sfmt 4703 E:\FR\FM\05AUN1.SGM 05AUN1 867–02070 867–01984 867–02224 867–01746 867–02031 867–01736 867–02211 867–01305 867–01649 867–02287 867–00536 867–01885 867–01818 867–02298 867–01112 867–02023 867–02292 867–02344 867–01960

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 86, Number 148 (Thursday, August 5, 2021)]
[Notices]
[Page 42957]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-16673]



[[Page 42957]]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-92530]


Notice of Intention To Cancel Registration of Certain Municipal 
Advisors Pursuant to Section 15b(c)(3) of the Securities Exchange Act 
of 1934

July 30, 2021.
    Notice is given that the Securities and Exchange Commission (the 
``Commission'') intends to issue an order or orders, pursuant to 
Section 15B(c)(3) of the Securities Exchange Act of 1934 (the ``Act''), 
cancelling the registrations of the municipal advisors whose names 
appear in the attached Appendix (hereinafter referred to as the 
``registrants'').
    Section 15B(c)(3) of the Act provides, in pertinent part, that if 
the Commission finds that any municipal advisor registered under 
Section 15B is no longer in existence or has ceased to do business as a 
municipal advisor, the Commission, by order, shall cancel the 
registration of such municipal advisor.
    The Commission finds that each registrant listed in the attached 
Appendix:

    (i) has not filed any municipal advisor form submissions with 
the Commission through the Commission's Electronic Data Gathering 
and Retrieval (``EDGAR'') system since January 1, 2019 (including 
but not limited to the annual amendments (form MA-A) required by 17 
CFR 240.15Ba1-5(a)(1)); and
    (ii) based on information available from the Municipal 
Securities Rulemaking Board (the ``MSRB''), (a) is not registered as 
a municipal advisor with the MSRB under MSRB Rule A-12(a) and/or (b) 
does not have an associated person who is qualified as a municipal 
advisor representative under MSRB Rule G-3(d) and for whom there is 
a Form MA-I required by 17 CFR 240.15Ba1-2(b) available on EDGAR, 
and/or (c) has not, since January 1, 2019, filed with the MSRB any 
Form A-12 annual affirmation as required by MSRB Rule A-12(k).

    Accordingly, the Commission finds that each of the registrants 
listed in the attached Appendix either is no longer in existence or has 
ceased to do business as a municipal advisor.
    Notice is also given that any interested person may, by August 30, 
2021, at 5:30 p.m. Eastern Time, submit to the Commission in writing a 
request for a hearing on the cancellation of the registration of any 
registrant listed in the attached Appendix, accompanied by a statement 
as to the nature of such person's interest, the reason for such 
request, and the issues, if any, of fact or law proposed to be 
controverted, and such person may request to be notified if the 
Commission should order a hearing thereon. Any such communication 
should be addressed to the Commission's Secretary at the address below.
    At any time after August 30, 2021, the Commission may issue an 
order or orders cancelling the registrations of any or all of the 
registrants listed in the attached Appendix, upon the basis of the 
information stated above, unless an order or orders for a hearing on 
the cancellation shall be issued upon request or upon the Commission's 
own motion. Persons who requested a hearing, or to be advised as to 
whether a hearing is ordered, will receive any notices and orders 
issued in this matter, including the date of the hearing (if ordered) 
and any postponements thereof. Any registrant whose registration is 
cancelled under delegated authority may appeal that decision directly 
to the Commission in accordance with Rules 430 and 431 of the 
Commission's rules of practice (17 CFR 201.430 and 431).

ADDRESSES: Secretary, U.S. Securities and Exchange Commission, 100 F 
Street NE, Washington, DC 20549.

FOR FURTHER INFORMATION CONTACT: Ernesto Lanza, Senior Counsel to the 
Director, Office of Municipal Securities, 100 F Street NE, Washington, 
DC 20549, or at (202) 551-5680.

    For the Commission, by the Office of Municipal Securities, 
pursuant to delegated authority.\1\
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    \1\ 17 CFR 200.30-3a(a)(1)(ii).
---------------------------------------------------------------------------

J. Matthew DeLesDernier,
Assistant Secretary.

Appendix

------------------------------------------------------------------------
                     Registrant name                        SEC ID No.
------------------------------------------------------------------------
All American Municipal Advisors LLC.....................       867-02070
ARGENT TRUST Co.........................................       867-01984
Black Holocaust Inc., d/b/a Black holocaust Mutual......       867-02224
Brock Steven Kyle d/b/a Thurber Brock & Associates......       867-01746
Burke Richard Stephen...................................       867-02031
C.A. WHITTAKER & ASSOCIATES, LLC, d/b/a Whittaker &            867-01736
 Company, PLLC..........................................
D B & Co................................................       867-02211
DAMON ROCQUE SECURITIES CORP\/BD........................       867-01305
Financing Ideas Inc.....................................       867-01649
First Midwest Municipal Lease Corp., d/b/a Midwest             867-02287
 Healthcare Capital (MHC)...............................
Friedman, Luzzatto & Co.................................       867-00536
Garffer Jerome L., d/b/a G Capital Investments..........       867-01885
Grant Financial Advisors, LLC...........................       867-01818
IFS Planning, INC.......................................       867-02298
Ironwood Advisors.......................................       867-01112
Laube Capital Advisors, LLC.............................       867-02023
Muni Funding Solutions LLC..............................       867-02292
Ross Infrastructure Development LLC.....................       867-02344
Shift 4 Consulting, L.L.C...............................       867-01960
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[FR Doc. 2021-16673 Filed 8-4-21; 8:45 am]
BILLING CODE 8011-01-P

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