frontier_solutions_llc.pdf

BEFORE THE DIVISION OF INSURANCE DEPARTMENT OF LABOR AND REGULATION STATE OF SOUTH DAKOTA INS 26-30886 IN THE MATTER OF FRONTIER SOLUTIONS, LLC ORDER REVOKING CRD # 136102 REGISTRATION TO: Frontier Solutions, LLC, CRD # 136102 9 East Franklin St. Richmond, VA 23219 Larry Deiter, the Director of the South Dakota Division oflnsurance, ("Director") has determined the following: 1. FRONTIER SOLUTIONS, LLC ("Respondent") whose last known address is shown above, is an registered broker-dealer in the State of South Dakota; 2. In April ·2025, the Division conducted an audit of broker-dealer firms and their registered supervisors in the state; 3. The Respondent failed to respond to the Division Audit and inquires directed to the Respondent; 4. Pursuant to SDCL 47-3 lB-602, the Director may conduct investigations which the Director considers necessary or appropriate to determine whether a person has violated, is violating, or is about to violate SDCL Chapter 47 -31B , or to aid in the enforcement of the chapter; 5. Pursuant to SDCL 47-3 lB-604, if the director determines that a person has violated Chapter 47-3 lB, the director may issue an order revoking a broker-dealers registration in this state; 6. That the director finds that the Respondent has violated SDCL 47-3 lB-602, ARSD 20:08:03:01, and FINRA rule 3310; 7. The above findings provide sufficient grounds for issuance of an order revoking the Broker Dealer Registration of FRONTIER SOLUTIONS, LLC, in accordance with the provisions ofS DCL 47-3 lB-604 A person who is not an original party to a contested case and whose pecuniary interests would be directly affected by the Division's Order, may become a party to a hearing, if requested, by intervention if timely application therefore is made to the Division, pursuant to SDCL 1-26-17 .1. 11 Dated at Pierre, South Dakota this 2 / day of April, 2026. �eL South Dakota Division of Insurance CERTIFICATE OF SERVICE I, the undersigned attorney, do hereby certify that on the date shown below, a true and correct copy of the Order Revoking Registration with respect to the above-entitled action was sent U.S. Certified Mail and U.S. first class mail thereon, to the following: Frontier Solutions, LLC, CRD # 136102 9 East Franklin St. Richmond, VA 23219 Dated this _21st__ day of April, 2026. ISi Clayton Grueb Clayton Grueb, Legal Counsel Division of Insurance South Dakota Dept. of Labor and Regulation 2330 N. Maple Ave, Suite 1 Rapid City, SD 57701 Phone (605) 773-3563 3 BEFORE THE DIVISION OF INSURANCE DEPARTMENT OF LABOR AND REGULATION ST AT E OF SOUTH DAKOTA INS 26-30886 IN THE MATTER OF NOTICE OF ENTRY OF ORDER FRONTIER SOLUTIONS, LLC REVOKING REGISTRATION CRD # 136102 NOTICE IS HEREBY GIVEN, that attached hereto, is a true and correct copy of the Order Revoking Registration entered by Larry Deiter, Director of the South Dakota Division of Insurance, on the 21ST day April, 2026. Dated this_ 21ST_ day of April, 2026. ISi Clayton Grueb Clayton Grueb, Legal Counsel Division of Insurance South Dakota Dept. of Labor and Regulation 2330 N. Maple Ave, Suite 1 Rapid City, SD 57701 Phone (605) 773-3563 4