Document ID: SEC-2021-1057-0001
Agency: sec
Document Type: Notice
Title: Intention to Cancel Registration of Certain Municipal Advisors
Posted Date: 2021-08-05T04:00Z

[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).
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J. Matthew DeLesDernier,
Assistant Secretary.

Appendix

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                     Registrant name                        SEC ID No.
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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