| | 5/7/2025 | Ascendancy Investment Education Foundation; Coinbearer Inc.; Bitcoinbears.com | S-250373 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2025/20250507AscendancyInvestment.pdf | Unregistered Person, Unregistered Product, Fraud | Civil Penalty / Administrative Assessment, Restitution | | $64,600 | | $64,600 | |
| | 3/12/2025 | Arthur Espinoza | S-248322 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2025/20250312Espinoza.pdf | Unregistered Person, Prohibited Practice, Fraud | Restitution, Disgorgement | 1344849 | | $17,861.57 | $13,397.40 | |
| | 3/10/2025 | Vanguard Marketing Corporation; The Vanguard Group, Inc. | S-245138 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2025/20250310Vanguard.pdf | Fraud | | 7452 Vanguard Marketing Corporation; 105958 The Vanguard Group, Inc. | | | | |
| | 2/4/2025 | Jeremy Todd Lunn | S-246889 (EX) | Final Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2025/20250204Lunn.pdf | Unregistered Person | Restitution | | | | $4,860.50 | |
| | 1/24/2025 | Adam J. Ausloos; Adviceworks Wealth Advisors | S-246612 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2025/20250124AusloosAdviceworks.pdf | Prohibited Practice | Disgorgement | 5963691 Adam J. Ausloos; 284674 Adviceworks Wealth Advisors | | $4,479.29 | | |
| | 12/30/2024 | Edward D. Jones & Co., L.P. | S-248377 (LX) | Settlement Agreement | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2024/20241230EdwardDJonesCo.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment, Settlement | 250 | $15,000 | | | $320,754.72 |
| | 12/26/2024 | Ahavani.com | S-249722 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2024/20241226Ahavani.pdf | Unregistered Person, Fraud | | | | | | |
| | 12/26/2024 | Elite Portfolio Partners | S-249812 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2024/20241226ElitePortfolioPartners.pdf | Unregistered Person, Fraud | | | | | | |
| | 7/16/2024 | Daniel Flesch | S-248564 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2024/20240716Flesch.pdf | Unregistered Person | | 209818 | | | | |
| | 6/13/2024 | Robert C. Starnes | S-248141 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2024/20240613Starnes.pdf | Prohibited Practice | | 1429794 | | | | |
| | 5/28/2024 | Midas Alpha, LLC dba Midas Investments; Iakov Levin aka Trevor Levin | S-246645 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2024/20240528MidasAlphaIakovLevin.pdf | Unregistered Product, Fraud | Civil Penalty / Administrative Assessment, Restitution | | $25,000 | | $88,000 | |
| | 5/23/2024 | Thomas Vaughn Demergian; Insight Wealth Management | S-246765 (LX) | Final Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2024/20240523DemergianInsightWealth.pdf | Prohibited Practice, Fraud | Civil Penalty / Administrative Assessment, Restitution | 2347302 Thomas Vaughn Demergian; 172897 Insight Wealth Management | $25,000 | | $1,422,000.53 | |
| | 4/16/2024 | Blessing K. Egbon | S-240516 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2024/20240416Egbon.pdf | Fraud | Civil Penalty / Administrative Assessment, Restitution | | $50,000 | | $3,054,998.91 | |
| | 1/30/2024 | Exchangehouse, LLC | S-249023 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2024/20240130ExchangeHouse.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 1/4/2024 | TradeStation Crypto, Inc. | S-248080 (EX) | Settlement Agreement | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2024/20240104TradeStationCrypto.pdf | Unregistered Product | Settlement | | | | | $29,411.76 |
| | 11/27/2023 | Actuary Forex Global Limited dba Actuary Forex; Minggang Song; UK Sinosia Business Limited; Lix Xiaohu aka Xiaoho; Han Luchen | S-244555 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20231127ActuaryForexGlobal.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 11/27/2023 | Athenaplace Finance, Ltd; Qiuwei Zhang; James M. Rambadt | S-245158 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20231127AthenaplaceFinance.pdf | Unregistered Person, Fraud | | | | | | |
| | 11/27/2023 | Etalbit dba Etalbit.com; Lin Sen Luo | S-244561 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20231127Etalbit.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 11/21/2023 | Michael J. McDermott | S-239870 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20231121McDermott.pdf | Unregistered Person, Fraud | Civil Penalty / Administrative Assessment | 855162 | $5,000 | | | |
| | 11/16/2023 | GSB Gold Standard Bank Ltd. dba GSPartners, GSP, and Gold Standard Partners | S-246723 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20231116GSBGoldStandardBankLtd.pdf | Unregistered Person, Unregistered Product, Fraud | Civil Penalty / Administrative Assessment | | $100,000 | | | |
| | 11/9/2023 | Eric Stephen Lewandowski | S-246898 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20231109Lewandowski.pdf | Unregistered Product, Fraud | Civil Penalty / Administrative Assessment, Restitution | | | | $20,000 | |
| | 10/20/2023 | Safeguard Metals LLC; Jeffrey Ikahn aka Jeffrey S Santulan & Jeff Hill | S-242309 (EX); Civil No.: 2:22-cv-00691-JFW-SKx | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20231020SafeguardMetals.pdf | Fraud | | | | | | |
| | 10/18/2023 | Raymond James & Associates, Inc.; Raymond James Financial Services, Inc. | S-248331 (LX) | Settlement Agreement | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20231018RaymondJamesAssociates.pdf | Prohibited Practice | Restitution, Settlement | | | | $8,492,177.23 | $75,000 |
| | 10/5/2023 | SpreadExFx.com; SpreadEx Exchange, Inc. | S-248155 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20231005SpreadExFx.comSpreadEx.pdf | Unregistered Person, Prohibited Practice | | | | | | |
| | 9/15/2023 | True Bullion, LLC dba Gold Silver International Exchange dba GSI Exchange; Anthony Allen Anderson | S-243751 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20230915TrueBullionAnderson.pdf | Unregistered Person, Fraud | Settlement | | | | | $2,600,000 |
| | 9/6/2023 | The Hideaways | S-246613 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20230906Hideaways.pdf | Unregistered Product, Fraud | | | | | | |
| | 8/3/2023 | Teddy Bear Mobile, Inc. | S-246870 (FX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20230803TeddyBearMobile.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | | $5,000 | | | |
| | 7/31/2023 | Robinhood Financial LLC | S-246985 (LX) | Settlement Agreement | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20230731RobinhoodFinancial.pdf | Prohibited Practice | Settlement | | | | | $200,000 |
| | 6/20/2023 | Plutus Financial, Inc. dba Abra; Plutus Lending, LLC; Abra Boost, LLC | S-248103 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20230620PlutusFinancialAbra.pdf | Unregistered Product, Fraud | | | | | | |
| | 6/6/2023 | Coinbase, Inc.; Coinbase Global, Inc. | S-246912 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20230606CoinbaseCoinbaseGlobal.pdf | Unregistered Product | Civil Penalty / Administrative Assessment | | $500,000 | | | |
| | 6/6/2023 | Vantus Technology Corporation; James R. Schroeder | S-244370 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20230606VantusTechnology.pdf | Fraud | | | | | | |
| | 4/4/2023 | Nova Tech Ltd. aka Nova Tech FX; Cynthia Petion; Eddie Petion | S-246552 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20230404NovaTechFXPetion.pdf | Fraud | Civil Penalty / Administrative Assessment, Restitution | | $50,000 | | | |
| | 3/10/2023 | Thomas Vaughn Demergian; Insight Wealth Management | S-246765 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20230310DemergianInsightWealth.pdf | Prohibited Practice, Fraud | | 2347302Thomas Vaughn Demergian; 172897 Insight Wealth Management | | | | |
| | 2/24/2023 | Petron-Pay | S-246454 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20230224PetronPay.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 2/22/2023 | Robert J. Boschke | S-245130 (LX) | Final Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20230222Boschke.pdf | Unregistered Person, Fraud | Civil Penalty / Administrative Assessment | | $5,000 | | | |
| | 2/14/2023 | Coin Netic Invest, Inc. dba Coineticx | S-245100 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20230214CoinNeticInvest.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 1/26/2023 | Nexo Inc.; Nexo Capital Inc. | S-245199 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2023/20230126NexoNexoCapital.pdf | Unregistered Product | Civil Penalty / Administrative Assessment | | $424,528.30 | | | |
| | 12/20/2022 | David O. Braeger; Braeger Finance LLC fka Braeger Auto Finance Group LLC aka BFG LLC | S-229740 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20221220BraegerBraegerFinance.pdf | Fraud | Civil Penalty / Administrative Assessment, Restitution | 2137240 David O. Braeger | $25,000 | | $16,336,902.45 | |
| | 12/6/2022 | Julie Minuskin | S-243722 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20221206Minuskin.pdf | Unregistered Person, Unregistered Product, Fraud | Civil Penalty / Administrative Assessment, Restitution, Disgorgement | | $50,000 | | | |
| | 12/6/2022 | Retire Happy, LLC | S-243722 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20221206RetireHappy.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 12/6/2022 | Joshua Stoll | S-243722 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20221206Stoll.pdf | Unregistered Person, Unregistered Product, Fraud | Civil Penalty / Administrative Assessment, Disgorgement | | $50,000 | | | |
| | 11/21/2022 | Cryptbitx | S-244876 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20221121Cryptbitx.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 11/8/2022 | Tyler Morrow; Morrow Capital, LLC; More Solar, LLC | S-244156 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20221108MorrowMorrowCapital.pdf | Unregistered Person, Unregistered Product, Fraud | Civil Penalty / Administrative Assessment, Restitution | | $9,000 | | $135,000 | |
| | 11/3/2022 | Nexo, Inc.; Nexo Capital, Inc. | S-245199 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20221103NexoNexoCapital.pdf | Unregistered Product, Fraud | Civil Penalty / Administrative Assessment | | $25,000 | | | |
| | 9/15/2022 | James R. Strauss fka James Robert Straus | S-240491 (EX) | Final Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20220915StraussStraus.pdf | Fraud | Civil Penalty / Administrative Assessment, Restitution | 1565716 James Strauss | $50,000 | | $72,646.66 | |
| | 9/13/2022 | James R. Strauss fka James Robert Straus | S-240491 (EX) | Final Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20220913StraussStraus.pdf | Fraud | Civil Penalty / Administrative Assessment, Restitution | 1565716 James Strauss | $50,000 | | $72,646.66 | |
| | 8/16/2022 | Andrew M. Johnson; Ocooch Mountain Management, Co. | S-243987 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20220816JohnsonOcoochMountain.pdf | Fraud | | | | | | |
| | 8/16/2022 | Christopher L. Leach; Daniel Cunningham; PV Wealth Advisors | S-238505 (EX) | Final Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20220816LeachCunninghamPV.pdf | Unregistered Person, Fraud | Civil Penalty / Administrative Assessment, Restitution | 5604046 Christopher L. Leach | $17,500 | | $176,599.98 | |
| | 8/4/2022 | Anthony B. Liddle; Prosper Wealth Management, LLC | S-244949 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20220804LiddleProsperWealth.pdf | Prohibited Practice, Fraud | Civil Penalty / Administrative Assessment, Restitution | 5478479 Anthony B. Liddle; 166152 Prosper WealthManagement, LLC | $25,000 | | $1,683,727.78 | |
| | 6/22/2022 | Craig F. Wollenburg; Diversified Energy Resources, LLC | S-244562 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20220622Wollenburg.pdf | Fraud | | 1864315 Craig F. Wollenburg | | | | |
| | 6/8/2022 | Anthony B. Liddle; Prosper Wealth Management, LLC | S-244949 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20220608LiddleProsperWealth.pdf | Prohibited Practice, Fraud | | 5478479 Anthony B. Liddle; 166152 Prosper WealthManagement, LLC | | | | |
| | 5/25/2022 | Steven L. Dewitt aka Trevor Bloom dba The Authentic Trader | S-240680 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20220525DewittBloom.pdf | Unregistered Person, Fraud | | | | | | |
| | 5/25/2022 | James R. Strauss fka James Robert Straus | S-240491 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20220525StraussStraus.pdf | Fraud | Civil Penalty / Administrative Assessment, Restitution | 1565716 James Strauss | $50,000 | | $72,646.66 | |
| | 5/11/2022 | Flamingo Casino Club | S-244933 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20220511FlamingoCasinoClub.pdf | Unregistered Product, Fraud | | | | | | |
| | 4/27/2022 | James J. Scofield | S-244208 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20220427Scofield.pdf | Unregistered Person, Fraud | | | | | | |
| | 3/15/2022 | Stephen Byrne | S-239572 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20220315Byrne.pdf | Unregistered Product, Fraud | | | | | | |
| | 3/7/2022 | Theresa M. Lasee | S-244188 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20220307Lasee.pdf | Fraud | Civil Penalty / Administrative Assessment, Restitution | | $10,000 | | $23,674 | |
| | 2/28/2022 | Anthony M. Hernandez; Oi2Go Media Technologies, Inc.; Oi2Go, LLC | S-240061 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20220228HernandezOi2Go.pdf | Unregistered Person, Unregistered Product, Fraud | Civil Penalty / Administrative Assessment, Restitution | | $10,000 | | $4,000 | |
| | 2/17/2022 | Cryptonxt.io; Cryptonext; Best Media, LLC, Jacob Visser; James Hamilton; Dan Lucas; Snezhana Nedkova Nedkova | S-243945 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20220217CryptoNXT.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 2/8/2022 | Michael Wayne Hoeft | S-243936 (EX); S-244412 (EX); S-244578 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20220208Hoeft.pdf | Unregistered Person | | | | | | |
| | 1/18/2022 | Xtreme Clean of the Fox Cities, Inc. | S-244553 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20220118XtremeClean.pdf | Prohibited Practice | | | | | | |
| | 1/9/2022 | Danny L. Van Houten | S-236002 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2022/20220110VanHouten.pdf | Unregistered Person | Civil Penalty / Administrative Assessment | | $5,000 | | | |
| | 12/22/2021 | Helen Frigates | S-243832 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20211222Frigates.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 12/13/2021 | Kaboom USA, LLC; Skearch, LLC; Philip E. Fraley | S-240381 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20211213KaboomUSASkearchFraley.pdf | Unregistered Product, Fraud | Civil Penalty / Administrative Assessment | | $5,000 | | | |
| | 11/9/2021 | Randy L. Mayer | S-242139 (EX) | Final Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20211109Mayer.pdf | Unregistered Person, Fraud | Civil Penalty / Administrative Assessment, Restitution | | $10,000 | | $13,658.87 | |
| | 11/9/2021 | Daniel L. Van Houten | S-236002 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20211109VanHouten.pdf | Unregistered Person | Civil Penalty / Administrative Assessment | | $10,000 | | | |
| | 11/4/2021 | Behuz Investment; Sabella Ozan | S-244039 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20211104BehuzInvestment.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 11/2/2021 | John F. Kornack | S-236002 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20211102Kornack.pdf | Unregistered Person | | | | | | |
| | 9/17/2021 | Darien J. Smiley; Joseph J. Gibbs | S-242116 (EX) | Final Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20210917SmileyGibbs.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 9/13/2021 | Capital Pelli SRL | S-244221 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20210913CapitalPelliSRL.pdf | Prohibited Practice | | | | | | |
| | 9/1/2021 | Randy L. Mayer | S-242139 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20210901Mayer.pdf | Unregistered Person, Fraud | Civil Penalty / Administrative Assessment, Restitution | | $10,000 | | $13,658.87 | |
| | 8/31/2021 | Matthew J. Wetzel | S-242295 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20210831Wetzel.pdf | Unregistered Product, Fraud | | | | | | |
| | 8/5/2021 | Darien J. Smiley; Joseph J. Gibbs | S-242116 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20210805SmileyGibbs.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 7/28/2021 | Charles Winn, LLC; Charlie Jake Smith | S-242235 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20210728WinnSmith.pdf | Unregistered Person, Unregistered Product, Fraud | Civil Penalty / Administrative Assessment, Restitution | | $20,000 | | $11,900 | |
| | 7/14/2021 | Ronald R. Shepard | S-243881 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20210714Shepard.pdf | Unregistered Product, Fraud | | | | | | |
| | 6/15/2021 | BoomFX Trades.Online; Alfred Brent | S-242135 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20210615BoomFXTradesOnline.pdf | Unregistered Person, Unregistered Product, Fraud | Civil Penalty / Administrative Assessment, Restitution | | $20,000 | | $5,000 | |
| | 6/11/2021 | John M. Stevens; Service Financial, LLC | S-240800 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20210611Stevens.pdf | Unregistered Person, Fraud | | 1865161 John M. Stevens | | | | |
| | 5/26/2021 | John L. Adkins | S-243677 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20210526Adkins.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 5/5/2021 | American Shaman Franchise System, LLC | S-242323 (FX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20210505AmericanShaman.pdf | Prohibited Practice, Fraud | | | | | | |
| | 4/21/2021 | Daniel C. Cunningham; PV Wealth Advisors, LLC | S-238505 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20210421CunninghamPVWealth.pdf | Fraud | Civil Penalty / Administrative Assessment, Restitution | | $10,000 | | $194,737.37 | |
| | 4/21/2021 | Christopher L. Leach | S-238505 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20210421Leach.pdf | Fraud | Civil Penalty / Administrative Assessment, Restitution | 5604046 Dr. Christopher L. Leach | $10,000 | | $194,737.37 | |
| | 4/21/2021 | Laurent Perron | S-242060 (FX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20210421Perron.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | | $5,000 | | | |
| | 3/18/2021 | Christoper Soulier | S-236002 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20210318Soulier.pdf | Unregistered Person, Fraud | Civil Penalty / Administrative Assessment | | $10,000 | | | |
| | 2/10/2021 | Daniel C. Cunningham; PV Wealth Advisors, LLC | S-238505 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20210210CunninghamPVWealth.pdf | Fraud | Civil Penalty / Administrative Assessment, Restitution | | $10,000 | | $194,737.37 | |
| | 2/10/2021 | Christopher L. Leach | S-238505 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20210210Leach.pdf | Fraud | Civil Penalty / Administrative Assessment, Restitution | 5604046 Dr. Christopher L. Leach | $10,000 | | $194,737.37 | |
| | 1/27/2021 | FX-Bittrade; Frederick Smith | S-242022 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20210127FXBittradeSmith.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 1/22/2021 | Michael F. Shillin; Shillin Wealth Management, LLC | S-242215 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2021/20210122ShillinShillinWealth.pdf | Prohibited Practice, Fraud | | 5927156 Michael F. Shillin | | | | |
| | 12/10/2020 | Steven A. Bassetto; SB Financial Group | S-239011 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20201210BassettoSBFinancial.pdf | Prohibited Practice | Restitution | 1752333 Steven A. Bassetto | | | $25,000 | |
| | 11/30/2020 | Gerald Walker | S-242028 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20201130Walker.pdf | Unregistered Person, Unregistered Product | | 4774349 Gerald Walker | | | | |
| | 11/24/2020 | David J. Oldenburg | S-236002 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20201124Oldenburg.pdf | Prohibited Practice, Fraud | Civil Penalty / Administrative Assessment, Disgorgement | 4653469 David J. Oldenburg | $5,000 | $4,800 | | |
| | 11/16/2020 | Eugene Cabrera aka Eugenio Cabrera aka Gene Cabrera | S-240129 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20201116Cabrera.pdf | Fraud | | | | | | |
| | 11/16/2020 | Tessa Y. Kenney; Myrean, LLC | S-239974 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20201116KenneyMyrean.pdf | Fraud | | | | | | |
| | 11/4/2020 | Terry Lynn Eisenman; Monarch Mining & Environmental Services, Inc. | S-239084 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20201104EisenmanMonarch.pdf | Unregistered Product | | | | | | |
| | 11/4/2020 | Joseph J. Nemeth, Sr. | S-236789 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20201104Nemeth.pdf | Unregistered Person, Fraud | Civil Penalty / Administrative Assessment, Restitution | | $25,000 | | $2,394,150.15 | |
| | 10/21/2020 | Mind Capital aka Mind Capital OU aka Mind Capital Tech SL; Gonzalo Garcia-Pelayo; Oscar Garcia- Pelayo | S-242028 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20201021MindCapital.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 10/14/2020 | Wisconsin Home Buyers Network, LLC; WIHBN Realty, LLC; WIHBN Contractor Services, LLC; WIHBN Financial Services, LLC; WIHBN Electrical Mechanical Services, LLC, WIHBN Total Plumbing Services, LLC; X-Speck, LLC; Joseph Nemeth | S-236789 (EX) | Final Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20201014WIHBNNemeth.pdf | Unregistered Person, Fraud | Civil Penalty / Administrative Assessment, Restitution | | $25,000 | | $2,059,150 | |
| | 10/1/2020 | UAB Mid West Group aka Mid West Group, LLC | S-240932 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20201001UABMidWestGroup.pdf | Unregistered Person, Fraud | Restitution | | | | $250,000 | |
| | 9/29/2020 | Bernard R. Schmitt | S-242023 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20200929Schmitt.pdf | Unregistered Person, Fraud | | 1539920 Bernard R. Schmitt | | | | |
| | 8/25/2020 | Mark Alan Hope | S-233622 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20200825Hope.pdf | Fraud | | | | | | |
| | 8/5/2020 | Stephen E. Witt; Geaux Global | S-238655 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20200805WittGeauxGlobal.pdf | Fraud | Civil Penalty / Administrative Assessment, Restitution | | $5,000 | | $150,000 | |
| | 7/21/2020 | CTOption; Antonio Conte aka Rawad Nassar | S-241001 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20200721CTOptionConteNassar.pdf | Unregistered Person, Fraud | Restitution | | | | $24,000 | |
| | 7/16/2020 | Russel L. Vera; Amidee A. Vera; LT Oil, LLC | S-240018 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20200716VeraLTOil.pdf | Fraud | | | | | | |
| | 7/13/2020 | Kay X. Yang; AK Equity Group, LLC; Xapphire LLC; Xapphire Fund, LLC | S-239815 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20200713YangAKEquityGroup.pdf | Unregistered Person | Civil Penalty / Administrative Assessment, Restitution, Disgorgement | | $50,000 | $4,231,998.78 | $16,950,776.78 | |
| | 7/7/2020 | Wisconsin Home Buyers Network, LLC; WIHBN Realty, LLC; WIHBN Contractor Services, LLC; WIHBN Financial Services, LLC; WIHBN Electrical Mechanical Services, LLC, WIHBN Total Plumbing Services, LLC; X-Speck, LLC; Jeremy Arrington | S-236789 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20200707WIHBNArrington.pdf | Unregistered Person, Fraud | Civil Penalty / Administrative Assessment, Restitution | | $25,000 | | $2,059,150.15 | |
| | 7/7/2020 | Wisconsin Home Buyers Network, LLC; WIHBN Realty, LLC; WIHBN Contractor Services, LLC; WIHBN Financial Services, LLC; WIHBN Electrical Mechanical Services, LLC, WIHBN Total Plumbing Services, LLC; X-Speck, LLC; Joseph Nemeth | S-236789 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20200707WIHBNNemeth.pdf | Unregistered Person, Fraud | Civil Penalty / Administrative Assessment, Restitution | | $25,000 | | $2,059,150.15 | |
| | 6/15/2020 | Mark Anthony Morrow aka Mark Baxter | S-240679 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20200615MorrowBaxter.pdf | Unregistered Person, Fraud | | | | | | |
| | 5/8/2020 | Glen J. Webster | S-240185 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20200508Webster.pdf | Prohibited Practice | | 4839854 Glen J. Webster | | | | |
| | 4/30/2020 | Hong Kong Capital Group; Oliver Sutton | S-239770 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20200430HongKongCapitalGroup.pdf | Unregistered Person | | | | | | |
| | 3/30/2020 | Gregory A. Anderson | S-231331 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20200330Anderson.pdf | Unregistered Person, Unregistered Product, Fraud | Restitution | | | | $375,000 | |
| | 3/18/2020 | Shone M. Bagley; Greater States Sports Authority, Inc.; Greater States Principal Financial Group, Inc.; IKP Financial Management Co. | S-239603 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20200318BagleyGreaterStates.pdf | Unregistered Person | Civil Penalty / Administrative Assessment, Restitution | | $9,000 | | $9,000 | |
| | 2/24/2020 | Jeff Nelson; GN Capital Ltd aka Titan Trade | S-237960 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20200224NelsonGNCapitalTitan.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 2/10/2020 | Gregory J. Wood; Wood Wealth Solutions, LLC | S-236002 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20200210WoodWoodWealth.pdf | Unregistered Person, Fraud | Civil Penalty / Administrative Assessment | | $10,000 | | | |
| | 1/2/2020 | Frank Lee; FM Capitals aka Genum Ltd. | S-237859 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20200102LeeFMCapitalsGenum.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 1/2/2020 | Scales Dynasty, LLC; Shawnvel Scales | S-239215 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20200102ScalesDynastyScales.pdf | Unregistered Person, Unregistered Product, Fraud | Civil Penalty / Administrative Assessment, Restitution | | $5,000 | | $126,256.86 | |
| | 1/2/2020 | Jamie A. Ver Hagen dba Jamies Shoes | S-240297 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2020/20200102VerHagenJamiesShoes.pdf | Prohibited Practice | | | | | | |
| | 12/9/2019 | Conestoga Settlement Services, LLC; Conestoga International, LLC; Conestoga Trust Services, LLC; Conestoga Trust; Michael C. McDermott | S-230672 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20191209ConestogaSettlement.pdf | Unregistered Person | Civil Penalty / Administrative Assessment | | $300,000 | | | |
| | 12/6/2019 | Michael P. Litwin; Wisconsin Retirement & Insurance Advisors, LLC | S-236002 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20191206LitwinWisconsin.pdf | Unregistered Person, Fraud | Disgorgement | 2668872 Michael P. Litwin | | $72,651.51 | | |
| | 12/5/2019 | Richard Freeland | S-234003 (EX); S-236002 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20191205Freeland.pdf | Unregistered Person, Fraud | Disgorgement | | | $33,350 | | |
| | 10/8/2019 | Scott R. Steinhorst | S-240059 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20191008Steinhorst.pdf | Prohibited Practice | | 3274380 Scott R. Steinhorst | | | | |
| | 9/26/2019 | Jeffrey S. Nimmow; Legacy Financial Network and Retirement Services, LLC | S-236002 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190926NimmowLegacyFinancial.pdf | Prohibited Practice, Fraud | Civil Penalty / Administrative Assessment, Disgorgement | 2693601 Jeffrey S. Nimmow | $10,000 | $177,937 | | |
| | 9/19/2019 | John A. Franco; SoccerKnocker, LLC | S-239566 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190919FrancoSoccerKnocker.pdf | Fraud | Restitution | | | | $7,500 | |
| | 9/13/2019 | William B. Doan | S-233859 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190913Doan.pdf | Unregistered Person | | 2478348 William B. Doan | | | | |
| | 9/5/2019 | Ultimate Franchises, Inc.; Scott W. Griffiths; Ronald Love | S-238797 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190905UltimateFranchises.pdf | Fraud | | | | | | |
| | 9/4/2019 | Robin G. Martin; Customized Investment Advisory Services, LLC | S-240032 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190904MartinCustomized.pdf | Prohibited Practice | | 4324428 Robin G. Martin; 156471 Customized Investment Advisory Services, LLC | | | | |
| | 8/20/2019 | William R. Long II | S-238940 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190820Long.pdf | Unregistered Product, Fraud | | | | | | |
| | 8/19/2019 | Richard Freeland | S-234003 (EX); S-236002 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190819Freeland.pdf | Unregistered Person, Prohibited Practice, Fraud | Civil Penalty / Administrative Assessment, Disgorgement | | $60,000 | $33,350 | | |
| | 8/19/2019 | Steven Liebherr | S-234002 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190819Liebherr.pdf | Unregistered Person, Fraud | | | | | | |
| | 7/30/2019 | Limitless Boot Camp Franchise, Inc.; David J. Sidoff | S-239333 (FX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190730LimitlessBootCamp.pdf | Unregistered Person, Prohibited Practice | Civil Penalty / Administrative Assessment | | $1,500 | | | |
| | 6/20/2019 | Dreambuilder Investments, LLC; Peter J. Andrews | S-236252 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190620Dreambuilder.pdf | Fraud | Civil Penalty / Administrative Assessment | | $5,000 | | | |
| | 6/12/2019 | Joshua Sodaitis; Momentum Capital Ventures, LLC | S-238791 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190612SodaitisMomentum.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 5/23/2019 | Christopher M. Soulier | S-236002 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190523Soulier.pdf | Unregistered Person, Fraud | Disgorgement | | | $26,240 | | |
| | 5/16/2019 | Russel L. Vera; Fortune Oil & Gas, Ltd. | S-220109 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190516VeraFortuneOilGas.pdf | Fraud | | | | | | |
| | 5/10/2019 | Edward E. Matthes | S-239626 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190510Matthes.pdf | Prohibited Practice, Fraud | | 2788055 Edward E. Matthes | | | | |
| | 4/22/2019 | Scott A. Chanlynn; SLB Creations, Inc. | S-238645 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190422ChanlynnSLBCreations.pdf | Unregistered Person, Fraud | Civil Penalty / Administrative Assessment | | $1,000 | | | |
| | 3/22/2019 | Eric N. Page; Rachel Connet; BCP MDG, LLC | S-238197 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190322Connet.pdf | Unregistered Person, Unregistered Product, Fraud | Restitution | | $40,000 | | | |
| | 2/12/2019 | Dreambuilder Investments, LLC; Peter J. Andrews | S-236252 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190212Dreambuilder.pdf | Fraud | | | $5,000 | | | |
| | 2/5/2019 | Eric N. Page; Rachel Connet; BCP MDG, LLC | S-238197 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190205PageConnetBCPMDG.pdf | Unregistered Person, Unregistered Product, Fraud | Civil Penalty / Administrative Assessment, Restitution | | $7,500 | | $40,000 | |
| | 1/29/2019 | William J. Schnepp; Epic Advisory, LLC | S-239068 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190129SchneppEpicAdvisory.pdf | Unregistered Person, Fraud | Disgorgement | 1854941 William J. Schnepp | | $26,823 | | |
| | 1/23/2019 | John D. Ernst | S-236002 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190123Ernst.pdf | Prohibited Practice | Disgorgement | 1958252 John D. Ernst | | $12,500 | | |
| | 1/23/2019 | Justin B. Koneck; Game Plan Financial, LLC | S-235766 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190123KoneckGamePlan.pdf | Prohibited Practice | | 282644 Game Plan Finanical, LLC; 4735433 Justin B. Koneck | | | | |
| | 1/22/2019 | LPL Financial, LLC | S-238691 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190122LPLFinancial.pdf | Unregistered Product, Prohibited Practice | Civil Penalty / Administrative Assessment | 6413 LPL Financial LLC | $499,000 | | | |
| | 1/3/2019 | Cumberland Capital Limited dba Tropical Trade; Manford Martin Mponda; Hanna Bondarchuk; Greymountain Management, Ltd. Aka Grey Mountain Management; David Cartu | S-236793 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2019/20190103CumberlandCapital.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 12/3/2018 | Mary E. Owen; Legacy Prosperity Partners, LLC | S-236002 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20181203OwenLegacyProsperity.pdf | Prohibited Practice, Fraud | Civil Penalty / Administrative Assessment, Disgorgement | Owen 5336734; Legacy Prosperity Partners 288291 | $10,000 | $24,196.77 | | |
| | 11/19/2018 | Chris R. Kubiak | S-239136 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20181119Kubiak.pdf | Prohibited Practice | | Kubiak 1527367 | | | | |
| | 11/14/2018 | Christopher R. Esposito | S-238791 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20181114Esposito.pdf | Unregistered Product, Fraud | Civil Penalty / Administrative Assessment | | $20,000 | | | |
| | 11/13/2018 | James D. French; First Payzone Exploration, LLC | S-221407 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20181113FrenchFirstPayzone.pdf | Fraud | | | | | | |
| | 11/6/2018 | Michael J. Heisman; Capri Hospitality, Inc. dba FlyCapri and Capri | S-238579 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20181106HeismanCapri.pdf | Fraud | Civil Penalty / Administrative Assessment | | $3,000 | | | |
| | 10/31/2018 | TheScrubbieGlove, LLC; Angela Nicole Monaco aka Angela Nicole Beckom aka Angela Rubbo Beckcom aka Angela Rubbo Monaco Beckcom aka Angela Rubbo Jr.; Steven Dykes aka Steven Day | S-237900 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20181031TheScrubbieGlove.pdf | Unregistered Product, Fraud | | | | | | |
| | 10/16/2018 | Eric N. Page; Rachel Connet; BCP MDG, LLC | S-238197 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20181016PageConnetBCPMDG.pdf | Unregistered Product, Fraud | Civil Penalty / Administrative Assessment, Restitution | | Page $5,000; Connet $2,500 | | $20,000.00 | |
| | 10/5/2018 | Lake Resources Group, Inc. | S-221606 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20181005LakeResourcesGroup.pdf | Fraud | | | | | | |
| | 9/21/2018 | Mary E. Owen; Legacy Prosperity Partners, LLC | S-236002 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20180921OwenLegacyProsperity.pdf | Prohibited Practice | | Owen 5336734; Legacy Prosperity Partners 288291 | | | | |
| | 9/18/2018 | Jes Tarp | S-233350 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20180918Tarp.pdf | Unregistered Product | | Tarp 5269002 | | | | |
| | 9/5/2018 | Saint Paul Stamps, Inc.; Terri L. Brittain aka Terri L. Monteith | S-236713 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20180905SaintPaulStamps.pdf | Unregistered Person, Unregistered Product, Fraud | Restitution | | | | $2,800.00 | |
| | 8/27/2018 | Nazfish Capital Partners, LLC; Everton Matambanadzo | S-236512 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20180827NazfishCapitalPartners.pdf | Unregistered Person | | Matambanadzo 11049915 | | | | |
| | 8/27/2018 | Joseph N. Wheeler, Sr.; Indoor War, LLC | S-236432 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20180827WheelerIndoorWar.pdf | Unregistered Product, Prohibited Practice | | | | | | |
| | 8/17/2018 | Riverrun Partners Limited dba Dalton Finance; Eduardo C. Rodriguez; Dean Rossini; GreyMountain Management Ltd, aka Grey Mountain Management; David Cartu | S-236402 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20180817RiverrunPartners.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 8/14/2018 | Derek M. Anderson | S-236002 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20180814Anderson.pdf | Fraud | Civil Penalty / Administrative Assessment, Disgorgement | Anderson 5136230 | $30,000 | $7,916.67 | | |
| | 8/7/2018 | James B. Chase | S-236087 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20180807Chase.pdf | Fraud | | Chase 368743 | | | | |
| | 7/30/2018 | Success Business Solutions, Inc.; Steven D. Manske | S-238689 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20180730SuccessBusiness.pdf | Unregistered Product | Civil Penalty / Administrative Assessment | | $1,000 | | | |
| | 6/21/2018 | James Benjamin Hobbins; Lake Resources Group, Inc. | S-221606 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20180621HobbinsLakeResources.pdf | Fraud | Civil Penalty / Administrative Assessment | | $40,500 | | | |
| | 4/6/2018 | Martin P. Berceau | S-235728 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20180406Berceau.pdf | Unregistered Person, Fraud | Civil Penalty / Administrative Assessment, Restitution | | $10,000 | | $68,534 | |
| | 4/6/2018 | MFB Investments, LLC; Marlorie F. Berceau; Travis Ebert | S-235728 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20180406MFBInvestmentsBerceau.pdf | Unregistered Person, Fraud | Civil Penalty / Administrative Assessment, Restitution | | Berceau $30,000; Ebert $20,000 | | $211,540 | |
| | 3/22/2018 | James A. Valentine | S-238222 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20180322Valentine.pdf | Unregistered Product, Prohibited Practice, Fraud | | | | | | |
| | 2/27/2018 | Becker, Jackson & Reed, LLC; Alpine Family Entertainment Parks 1, LLC aka Alpine Parks; Alpine Entertainment, Inc.; Judith Jackson; Eugene Hagen; Johnathan Plimpton | S-236575 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20180227BeckerJacksonReed.pdf | Unregistered Person, Unregistered Product, Fraud | Civil Penalty / Administrative Assessment, Restitution | | $50,000 | | $18,000 | |
| | 2/1/2018 | Robert Herkowski | S-237857 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20180201Herkowski.pdf | Unregistered Person, Fraud | | | | | | |
| | 1/11/2018 | Magnum Options aka Hampshire Capital Ventures, Ltd.; Dennis Collins; Manford Martin Mponda | S-233996 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2018/20180111MagnumOptionsHampshire.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 12/7/2017 | Andrew Schneider; Unity Financial, LLC | S-236130 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2017/20171207SchneiderUnity.pdf | Prohibited Practice | | 150255 Unity Financial; 4850288 Andrew Schneider | | | | |
| | 11/27/2017 | Option King aka Advanced Option Capital; GreyMountain Management, Ltd, aka Grey Mountain Management; David Cartu; Duncan Adams | S-235236 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2017/20171127OptionKingAdvanced.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 10/26/2017 | Martin P. Berceau | S-235728 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2017/20171026Berceau.pdf | Fraud | Civil Penalty / Administrative Assessment, Restitution | | $10,000 | | $175,749 | |
| | 10/26/2017 | MFB Investments, LLC; Malorie F. Berceau; Travis J. Ebert | S-235728 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2017/20171026MFBInvestmentsBerceau.pdf | Unregistered Person, Fraud | Civil Penalty / Administrative Assessment, Restitution | | Berceau $30,000; Ebert $20,000 | | $339,574 | |
| | 10/12/2017 | Syed Mohammad Ali Karim; Atlantis Health Group, LLC | S-233706 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2017/20171012KarimAtlantisHealth.pdf | Fraud | | | | | | |
| | 12/20/2016 | Aegis Oil LLC; Steven A Seffren; Patrick R Beason | S-231063 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2016/20161220AegisOilSeffrenBeason.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 12/19/2016 | James P Kolf | S-235446 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2016/20161219Kolf.pdf | Fraud | | 1015682 | | | | |
| | 12/9/2016 | The Fiscal Concierge LLC; The Fiscon Manager Inc.; James A Nickels; Gregory A Anderson | S-231331 (EX) | Final Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2016/20161209FiscalConciergeFiscon.pdf | Unregistered Person, Unregistered Product, Fraud | Civil Penalty / Administrative Assessment, Restitution | Nickels 347827 | Nickels $50,000; Anderson $25,000 | | $4,000,000.00 | |
| | 11/28/2016 | Bags LLC dba National Business Management Consultants; Frank George Bagniefski | S-228329 (EX) | Final Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2016/20161128BagsNationalBusiness.pdf | Fraud | | | | | | |
| | 11/21/2016 | Gregory P Handel; Advisors Insurance Group LLC dba Senior Advisors Group | S-234064 (EX) | Final Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2016/20161121HandelAdvisors.pdf | Unregistered Person, Fraud | Restitution | Handel 2864408 | | | $3,600 | |
| | 11/14/2016 | Jason J Ellingson; Elm Capital Partners, LLC aka JASA International LLC | S-230964 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2016/20161114EllingsonElmCapital.pdf | Fraud | | Ellingson 5687929 | | | | |
| | 11/14/2016 | Jean Walsh-Josephson | S-233148 (LX) | Final Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2016/20161114WalshJosephson.pdf | Prohibited Practice | | 2736044 | | | | |
| | 11/8/2016 | Lucky Taco, Inc.; Timothy P. McQuiston | S-233500 (EX) | Final Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2016/20161108LuckyTacoMcQuiston.pdf | Fraud | | | | | | |
| | 11/8/2016 | PivotPoint Advisors LLC; John M Norquay | S-235546 (LX) | Final Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2016/20161108PivotPointAdvisors.pdf | Unregistered Person, Prohibited Practice | Restitution | Norquay 2200429 PivotPoint Advisors 137647 | | | $1,174.65 | |
| | 10/25/2016 | Accelerated Wealth LLC; Tobey Ryon Waggoner; Dallas Hamilton Tall | S-225969 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2016/20161025AcceleratedWealth.pdf | Unregistered Person, Fraud | Restitution | | | | $725,113 | |
| | 10/21/2016 | Michael J Peterson | S-231331 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2016/20161021Peterson.pdf | Unregistered Person | Disgorgement | 1264535 | | $9,450 | | |
| | 10/14/2016 | The Investment Counsel LLC; Brandon M Adkins | S-233356 (LX) | Final Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2016/20161014InvestmentCounsel.pdf | Unregistered Person, Prohibited Practice | Civil Penalty / Administrative Assessment, Restitution | Adkins 5858667 The Investment Counsel 175006 | $30,000 | | $30,000 | |
| | 9/16/2016 | 3E Tennessee Inc; Jason W Towe | S-235298 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2016/201609163ETenesseeTowe.pdf | Fraud | | | | | | |
| | 8/30/2016 | Maxine Gehrt | S-233148 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2016/20160830Gehrt.pdf | Prohibited Practice | | 2329310 | | | | |
| | 3/24/2016 | Premier Funding & Investments, LLC; David J. Lambert | S-230624 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2016/20160324PremierFunding.pdf | Fraud | | | | | | |
| | 3/15/2016 | Dine In 2Nite North America LLC; Dine In 2Nite North America Inc.; Leo Kats | S-233571 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2016/20160315DineIn2Nite.pdf | Unregistered Product, Fraud | | | | | | |
| | 1/14/2016 | PivotPoint Advisors LLC; John M Norquay | S-228781 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2016/20160114PivotPointAdvisors.pdf | Unregistered Product, Prohibited Practice, Fraud | | Norquay 2200429 PivotPoint Advisors 137647 | | | | |
| | 8/20/2015 | Jean Walsh Josephson | S-233148 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2015/20150820WalshJosephson.pdf | Prohibited Practice | | 2736044 | | | | |
| | 8/14/2015 | Warren W Wendt; Intelligent Capital Investments, LLC | S-220795 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2015/20150814WendtIntelligent.pdf | Fraud | | | | | | |
| | 7/30/2015 | Mark P Welhouse; Welhouse & Associates Inc. | S-231591 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2015/20150730Welhouse.pdf | Prohibited Practice | | Welhouse 1490528; Welhouse & Associates 111752 | | | | |
| | 7/14/2015 | Robert D Herget; Herget Group LLC | S-227158 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2015/20150714HergetHergetGroup.pdf | Prohibited Practice, Fraud | Civil Penalty / Administrative Assessment, Restitution | Herget 6088351 | $50,000 | | $116,400 | |
| | 7/6/2015 | Lawrence M Forman | S-231319 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2015/20150706Forman.pdf | Unregistered Person, Fraud | | | | | | |
| | 6/30/2015 | Michael P Sirianni | S-226064 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2015/20150630Sirianni.pdf | Unregistered Person, Fraud | | 1047927 | | | | |
| | 5/15/2015 | Jace T McDonald; Peter P Viater; Derek M Anderson | S-230672 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2015/20150515McDonaldViaterAnderson.pdf | Unregistered Person, Fraud | Civil Penalty / Administrative Assessment, Disgorgement | Anderson 5136230 | McDonald $10,000; Viater $10,000; Anderson $10,000 | unspecified | | |
| | 5/12/2015 | Lawrence Energy LLC; Kenneth P Lawrence; Robert Shaddix | S-222744 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2015/20150512LawrenceEnergy.pdf | Unregistered Product, Fraud | | | | | | |
| | 3/16/2015 | Rockwell Management LLC; Frank O Davies | S-230378 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2015/20150316RockwellManagement.pdf | Unregistered Product, Fraud | | | | | | |
| | 3/12/2015 | Robert E Fiesler; Lance P Trantum; JRM Energy Inc; JNA Energy Inc; JNA Energy I Inc. | S-227541 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2015/20150312FieslerTrantumJRM.pdf | Unregistered Product, Fraud | | | | | | |
| | 3/4/2015 | Extreme Franchise Corporation | S-217437 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2015/20150304ExtremeFranchiseMeyer.pdf | Unregistered Product, Prohibited Practice | | | | | | |
| | 3/4/2015 | James E Meyer | S-217437 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2015/20150304Meyer.pdf | Prohibited Practice | | | | | | |
| | 2/5/2015 | Leland Energy, Inc; Leland Tennessee Holdings Inc; Leland Energy Fund II, LLP; Stephen M Thompson; Michael A Rava | S-225797 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2015/20150205LelandEnergy.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 12/19/2014 | Globus Holding Corporation Inc.; James R. Walter | S-228302 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2014/20141219GlobusHoldingWalter.pdf | Fraud | | | | | | |
| | 12/5/2014 | Joel W. Carlson | S-224482 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2014/20141205Carlson.pdf | Fraud | | 28447660 | | | | |
| | 11/18/2014 | Secured Income Reserve Inc.; Ilona Alexis Mandelbaum; Matthew H. Sage; David A. Zimmerman; Tamda Marketing Inc. | S-230115 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2014/20141118SecuredIncomeReserve.pdf | Unregistered Person, Unregistered Product, Fraud | | Mandelbaum 11015819; Sage 1312065; Zimmerman 11019712 | | | | |
| | 10/14/2014 | Holding Partners Group | S-230237 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2014/20141014HoldingPartnersGroup.pdf | Fraud | | | | | | |
| | 9/29/2014 | Alternative Investments LLC; Gian C. Lacayo; Vicki Ann Neuenschwander; Rhiannon Lee Cupkie | S-225806 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2014/20140929AlternativeInvestments.pdf | Fraud | | Lacayo 4688726; Neuenschwander 4863109; Cupkie 4537185 | | | | |
| | 7/1/2014 | Success Trade Securities Inc. | S-230460 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2014/20140701SuccessTradeSecurities.pdf | Prohibited Practice | | 46027 | | | | |
| | 5/29/2014 | Helen Lukic; Heartland Homebuyers LLC | S-222055 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2014/20140529HeartlandHomebuyers.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 4/30/2014 | AJ Balfour & Group Inc.; GlobalOne Financial LLC; GlobalOne Financial Inc.; Joseph Leonard Allen; Roberta R. Couri; Michael Jeffery Scott | S-228326 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2014/20140430BalfourGroupGlobalone.pdf | Unregistered Person, Unregistered Product, Fraud | | Allen 1435384; Scott 2127424 | | | | |
| | 3/5/2014 | Plan Ahead Events Inc | S-229573 (FX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2014/20140305PlanAheadEvents.pdf | Unregistered Product | | | | | | |
| | 12/27/2013 | Donald Kernan LLC fka Dreamertopia LLC; DreamerTopia Capital Management LLC; DreamerTopia Investments LP; DreamerTopia Corp; Donald Alan Kernan Jr | S-228123 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20131227KernanDreamerTopia.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 12/19/2013 | KBR Capital Markets LLC | S-229513 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20131219KBRCapitalMarkets.pdf | Prohibited Practice | | 128800 | | | | |
| | 12/13/2013 | Aletheia Securities Inc | S-229511 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20131213AletheiaSecurities.pdf | Prohibited Practice | | 44784 | | | | |
| | 12/13/2013 | Obsidian Financial Group LLC | S-229519 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20131213ObsidianFinancialGroup.pdf | Prohibited Practice | | 104255 | | | | |
| | 12/13/2013 | Trinity Distributors LLC | S-229512 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20131213TrinityDistributors.pdf | Prohibited Practice | | 104084 | | | | |
| | 12/6/2013 | RBC Capital Markets LLC | S-228969 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20131206RBCCapitalMarkets.pdf | Unregistered Person, Prohibited Practice | Civil Penalty / Administrative Assessment | 31194 | $41,220 | | | |
| | 10/31/2013 | Bradley G Nagel | S-229244 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20131031Nagel.pdf | Prohibited Practice | | 2586673 | | | | |
| | 10/22/2013 | UBS Financial Services Inc | S-229037 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20131022UBSFinancialServices.pdf | Unregistered Product, Prohibited Practice | Civil Penalty / Administrative Assessment | 8174 | $93,112.75 | | | |
| | 10/11/2013 | Sold 4 U Auctions LLC | S-222139 (FX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20131011Sold4UAuctions.pdf | Unregistered Product, Prohibited Practice | | | | | | |
| | 10/2/2013 | Southwest Biofuels LLC; Rick J Jimenez; David M Simpson; John Grey; Adam H Baker | S-222506 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20131002SouthwestBiofuels.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 9/18/2013 | Balfour Management Group Inc; Joseph Leonard Allen; FMN Holdings LLC; Green Streak Group Inc. | S-222299 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130918BalfourManagement.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 9/9/2013 | Gates Oil & Gas Ltd; North Amercian Energy Exchange Inc; Michael K Gray; Christian G Colin; John R Ketchmark | S-227714 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130909GatesOilGas.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 9/4/2013 | Global Corporate Alliance Inc; Duncan John MacDonald III; Gloria Ann Solomon; John W Kosolcharoen; Millenia International LLC; David R Damante | S-225433 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130904GlobalCorporate.pdf | Unregistered Product, Unregistered Person, Fraud | | MacDonald 2452996 | | | | |
| | 9/4/2013 | Vertex International Group LLC; Capital Public Relations LLC; Sebastian Deloye | S-227825 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130904VertexInternational.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 5/8/2013 | Jeffrey C Rodd; Redwood Valley Interests LLC | S-227988 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130508RoddRedwoodValley.pdf | Fraud | | | | | | |
| | 5/6/2013 | William D Brandenburg | S-228168 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130506Brandenburg.pdf | Unregistered Person | | | | | | |
| | 4/24/2013 | Blackwood & Rose, Inc; Steve Andrew Zetchus; Justin Luther Kreller aka Justin Kay | S-227662 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130424BlackwoodRoseZetchus.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 4/12/2013 | Erik R Themmen; Steve H Bailen | S-218569 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130412ThemmenBailen.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 4/9/2013 | Consolidated Wealth Holdings Inc; Alternative Investment Services, Inc; Deanna Jo Osborne; Scott Allen Osborne; John Edward Spalding; Laura H Spalding; Michael K Wallens, Jr; Eric M Kurz | S-209641 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130409ConsolidatedWealth.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 4/5/2013 | Arizona Gold Processing LLC; Azgo LLC; DLB Metals International LLC; Donald L Braxton; Robert T Hepler; Darin H Mangum; David H Mangum; Charles L Robertson; Barry Cohen; Joe Lawrence; George Logan | S-226023 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130405ArizonaGoldProcessing.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 4/4/2013 | Friends United Network Inc aka FUN Group LLC; Richard I. Byrne | S-226350 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130404FriendsUnitedNetwork.pdf | Unregistered Product | | | | | | |
| | 4/2/2013 | Michael H Campbell | 12-227435 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130402Campbell.pdf | Prohibited Practice | | 4442623 | | | | |
| | 3/21/2013 | Leslie G Fregien | S-209834 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130321Fregien.pdf | Prohibited Practice | | 1590366 | | | | |
| | 3/19/2013 | Leonard Benson dba Leonard Benson Company | S-226903 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130319Benson.pdf | Fraud | | | | | | |
| | 3/8/2013 | Arthur W Eith | S-210124 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130308Eith.pdf | Unregistered Product, Fraud | | | | | | |
| | 3/7/2013 | Genesis Fulfillment Management LLC; Russell C Freeman; Nicholas E Rezny | S-210278 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130307GenesisFulfillment.pdf | Unregistered Product, Fraud | | | | | | |
| | 1/23/2013 | Promed Alliance International Inc.; Willis Bradford Hale; Jordan Hernandez | S-223459 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130123ProMedAlliance.pdf | Unregistered Person | | | | | | |
| | 1/18/2013 | Maxim Energy Corporation; Jerry E Elliott; James D French | S-225229 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130118MaximEnergyElliott.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 1/15/2013 | SumariaGlobal LLC; Premchand H Shah; Kevin McCarthy; Matthew Thompson | S-225076 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130115SumariaglobalShah.pdf | Unregistered Product | | | | | | |
| | 1/15/2013 | Techmar Industries Inc.; Todd Ramsey; Joe Mitte | S-225823 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130115TechmarIndustries.pdf | Fraud | | | | | | |
| | 1/14/2013 | Robert A Mangan | S-223664 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2013/20130114Mangan.pdf | Fraud | | | | | | |
| | 12/5/2012 | Bajram Rushiti aka Brian Rushiti | S-223843 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20121205Rushiti.pdf | Fraud | | | | | | |
| | 11/5/2012 | United States Energy Corporation; Glenn Leroy Hoppes; Joseph Anton Hilton pka Joseph Yurkin; Daniel Joseph O'Laughlin | S-221734 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20121105UnitedStatesEnergy.pdf | Unregistered Person, Fraud | | | | | | |
| | 11/5/2012 | VP Inc; Jeff Willis Schuckers; Jordan Caleb Fletcher; Don Hudson | S-225799 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20121105VPSchuckersFletcher.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 10/10/2012 | Kevin G Kolz | S-224801 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20121010Kolz.pdf | Prohibited Practice | | 4031249 | | | | |
| | 9/26/2012 | Cynthia Lynn Drehmel | S-220327 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120126Drehmel.pdf | Fraud | | | | | | |
| | 9/25/2012 | Double-Up Promotions Inc.; Brian M Michaud | S-223646 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120925DoubleUpPromotions.pdf | Fraud | | | | | | |
| | 8/16/2012 | Daniel R. Caminiti | S-216123 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120816Caminiti.pdf | Unregistered Product, Fraud | | | | | | |
| | 8/15/2012 | Birkelbach Investment Securities Inc. | S-226465 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120815BirkelbachInvestment.pdf | Fraud | | 11490 | | | | |
| | 7/13/2012 | Bankers Life and Casualty Co; BLC Financial Services, Inc; ProEquities Inc; UVEST Financial Services Group Inc | S-225316 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120713BankersLifeCasualty.pdf | Unregistered Person | Civil Penalty / Administrative Assessment | BLCFS 126638; ProEquities 15708; UVEST 13787 | Bankers Life: $320,000.62; ProEquities $8,207.55; UVEST Financial $14,150.94 | | | |
| | 7/9/2012 | Forteco Trading Ltd.; MacroTrade.Com; Joseph Meyer | S-224516 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120709FortecoTrading.pdf | Unregistered Product, Fraud | | | | | | |
| | 7/2/2012 | Envit Capital, LLC aka Envit Capital Group, Inc. fka Fortel, Inc. dba Envit Capital Holdings, Inc.; Edward Michael Laborio; Master S. Mays | S-222297 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120702EnvitCapitalFortel.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 6/28/2012 | Helmuth Investments, LLC | S-225744 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120628HelmuthInvestments.pdf | Prohibited Practice | | 153932 | | | | |
| | 6/28/2012 | Windsor Asset Management LLC | S-225733 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120628WindsorAssetManagement.pdf | Prohibited Practice | | 159566 | | | | |
| | 6/25/2012 | Handleton Management Services Trust; Michael K. Mullen | S-209700 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120618HandletonManagement.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 6/18/2012 | Steel Capital, Inc.; Michael Levine; Zachariah Jones | S-219383 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120618SteelCapitalJones.pdf | Unregistered Person | | | | | | |
| | 6/11/2012 | Da-Vi Nails International, Inc.; Da-Vi Nails Salon & Spa, LLC; David Truong; Viet Pham | S-216555 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120611DaViNailsInternational.pdf | Unregistered Product, Prohibited Practice, Fraud | | | | | | |
| | 6/5/2012 | Morgan Asset Management, Inc; Morgan Keegan & Company, Inc. | S-221180 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120605MorganAssetManagement.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment, Restitution | Morgan Keegan & Company, Inc. #4161; Morgan Asset Management, Inc. #111715 | $19,061 | | $10,000,000 | |
| | 5/30/2012 | James Joel Albright Jr. | S-223065 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120530Albright.pdf | Prohibited Practice | | 2035269 | | | | |
| | 5/17/2012 | Window World, Inc. | S-221138 (FX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120517WindowWorld.pdf | Unregistered Product, Prohibited Practice | | | | | | |
| | 4/27/2012 | Morgan Financial Services, LLC aka The Winthorpe Morgan Group, LLC; Julio Jalil; Rosemary Salveggi | S-209696 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120427MorganFinancial.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 4/16/2012 | E*Trade Securities LLC | S-222649 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120416ETradeSecurities.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | 29106 | $70,831.61 | | | |
| | 2/27/2012 | Genadi Yagodayev; Marc Simmons; Rockford Funding Group LLC | S-222294 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120227YagodayevSimmons.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 2/23/2012 | Raymond James & Associates Inc.; Raymond James Financial Services Inc. | S-220238 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120223RaymondJamesAssociates.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | RJA 705; RJFS 6694 | $10,044 | | | |
| | 1/27/2012 | Trevor G. Cook; Patrick J. Kiley; Oxford Global Partners, LLC; Oxford Global Advisors, LLC; Universal Brokerage FX Management, LLC | S-210123 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120127CookKileyOxfordGlobal.pdf | Unregistered Product, Fraud | | Cook 11026730; Kiley 1690302 | | | | |
| | 1/26/2012 | Timothy Patrick Barry | S-216424 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120113Barry.pdf | Fraud | | 2267209 | | | | |
| | 1/23/2012 | Holland Financial Services LLC | S-222961 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2012/20120123HollandFinancial.pdf | Prohibited Practice | | 1016841 | | | | |
| | 12/22/2011 | E-Holding Ltd. aka World Owners Instant Payment; Richard Gilchrist | S-209706 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2011/20111222EHoldingWorldOwners.pdf | Unregistered Product, Fraud | | | | | | |
| | 12/9/2011 | Foresight Transport, Inc.; Freedom Capital Management, Inc.; Doyle E. Martin; Matthew S. Silveus | S-217713 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2011/20111209ForesightTransport.pdf | Fraud | | Matthew E. Silveus #2979913 | | | | |
| | 11/8/2011 | E. Wayne Heiman | S-210015 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2011/20111108Heiman.pdf | Unregistered Person, Prohibited Practice | | | | | | |
| | 9/26/2011 | Scientech, Inc.; Edward T. Jones; Jennifer A. Jones | S-213804 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2011/20110926ScientechJonesJones.pdf | Fraud | | | | | | |
| | 8/26/2011 | ISpottedYou.com, Inc.; Richard R. Kelsey; William D. Cerbe | S-210117 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2011/20110826ISpottedYouKelseyCerbe.pdf | Unregistered Product | | | | | | |
| | 7/7/2011 | Adley Husni Abdulwahab aka Adley Wahab; Christian L. Allmendinger; David C. White; Brent P. Oncale | S-209619 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2011/20110707AbdulwahabWahab.pdf | Fraud | | | | | | |
| | 6/6/2011 | Bruce A. Geiger | S-08063 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2011/20110606Geiger.pdf | Unregistered Person, Fraud | | | | | | |
| | 6/6/2011 | Robert L. Niebauer | S-06169 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2011/20110606Niebauer.pdf | Unregistered Product, Fraud | | | | | | |
| | 6/3/2011 | John M. Grno | S-216503 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2011/20110603Grno.pdf | Fraud | | | | | | |
| | 4/15/2011 | Brenda L. Myers | S-212884 (EX) | Final Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2011/20110415Myers.pdf | None | | | | | | |
| | 4/13/2011 | Todd L. Goedeke | S-216506 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2011/20110413Goedeke.pdf | Fraud | | Todd L. Goedeke #1210932 | | | | |
| | 4/7/2011 | John W. Torgerson; Elizabeth Hallie, LLC; American Title & Abstract Company of Eau Claire, Inc.; American Titles Services-SCV, LLC; Preferred Acceptance Company; Glenn Place Partners, LLC; Talmadge Apartments; Torgerson Management Company; Dutchman Court, | S-209946 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2011/20110407TorgersonPreferred.pdf | Fraud | | | | | | |
| | 3/8/2011 | Scott Kreitmeir | S-213663 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2011/20110308Kreitmeir.pdf | Unregistered Product, Fraud | | | | | | |
| | 3/4/2011 | Imperia Invest IBC; Steve Baker; Werner Jahnsen | S-210036 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2011/20110304ImperiaInvestIBCBaker.pdf | Unregistered Product, Fraud | | | | | | |
| | 2/7/2011 | Leo G. Kelly | S-214462 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2011/20110207Kelly.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 1/18/2011 | Goldman, Sachs & Co. | S-215589 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2011/20110118GoldmanSachsCo.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Goldman, Sachs & Co #361 | $95,100.40 | | | |
| | 1/12/2011 | Charles M. Myers; Brenda L. Myers; Kitchen Investment Group, Inc. | S-212884 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2011/20110112MyersKitchenInvestment.pdf | Unregistered Product, Fraud | | | | | | |
| | 12/28/2010 | Delten Holdings, Inc. aka DHI Group dba Minvestment.com | S-08036 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20101228DeltenHoldingsDHIGroup.pdf | Fraud | | | | | | |
| | 12/8/2010 | Stifel, Nicolaus & Company, Incorporated | S-215593 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20101208StifelNicolausCompany.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Stifel, Nicolaus & Company Incorporated #793 | $18,286.93 | | | |
| | 12/8/2010 | UBS Securities, LLC and UBS Financial Services | S-215591 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20101208UBSSecurities.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | UBS Securities #7654; UBS Financial Services #8174 | $462,788.27 | | | |
| | 11/23/2010 | Wells Fargo Investments, LLC | S-215590 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20101123WellsFargoInvestments.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Wells Fargo Investments, LLC #10582 | $9,837.72 | | | |
| | 11/8/2010 | Timothy Hugh Collard | S-210118 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20101108Collard.pdf | Fraud | | | | | | |
| | 10/8/2010 | Performance Asset Management, LLC; Jason J. Gospodarek | S-09064 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20101008PerformanceAsset.pdf | Unregistered Person, Fraud | | | | | | |
| | 10/1/2010 | John Ramon Reyes; David Bruce Reyes dba Blue Tea Company, Blue Herbals, Inc., and The Tula Tea Company; Mel Dawson | S-210579 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20101001ReyesReyesBlueTea.pdf | Unregistered Person | | | | | | |
| | 10/1/2010 | Waylinks, Inc.; William J. Manis; William C. Lobe; James J. Healey; Jerald L. Woods | S-08152 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20101001WaylinksManisLobe.pdf | Unregistered Person | | | | | | |
| | 9/23/2010 | Plano Oil & Gas, L.L.C.; Larry M. Koonce; Derek T. Castleberry; Rory D. Chatriand; Michael Suarez | S-08175 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100923PlanoOilGasKoonce.pdf | Unregistered Person, Unregistered Product | | Larry M. Koonce #4603240 | | | | |
| | 9/15/2010 | Mark D. Peters | S-09083 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100915Peters.pdf | Fraud | | | | | | |
| | 9/15/2010 | Benjamin J. Seigler | S-08016 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100915Seigler.pdf | Fraud | | | | | | |
| | 8/16/2010 | Voice Video & Data Services, Inc.; Russel E. Preston; James J. Healey | S-08122 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100816VoiceVideoDataServices.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 6/3/2010 | Elizabeth A. Freer | S-210290 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100603Freer.pdf | Unregistered Person, Prohibited Practice | | Elizabeth A. Freer #2443432 | | | | |
| | 5/3/2010 | Jerome R. Murphy | S-211726 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100503Murphy.pdf | Prohibited Practice, Fraud | | Jerome R. Murphy #1067601 | | | | |
| | 4/22/2010 | GSP Securities LLC | S-10212036 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100422GSPSecurities.pdf | Prohibited Practice | | GSP Securities, LLC #146250 | | | | |
| | 4/19/2010 | AmeriFirst Funding, Inc.; Jeffrey C. Bruteyn; Dennis W. Bowden; Gerald R. Kingston | S-08114 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100419AmerifirstFunding.pdf | Unregistered Person, Unregistered Product, Fraud | | AmeriFirst Funding, Inc. #78315; Jeffrey C. Bruteyn #2575306; Dennis C. Bowden #3055340; Gerald R. Kingston #2496468 | | | | |
| | 4/19/2010 | Craig T. Jolly | S-08133 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100419Jolly.pdf | Unregistered Product, Fraud | | Craig T. Jolly #2302764 | | | | |
| | 4/19/2010 | VMT Scientific, Inc.; Daniel Kaiser; Stephen H. Roebuck | S-08070 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100419VMTScientificKaiser.pdf | Fraud | | Stephen H. Roebuck #215655 | | | | |
| | 4/9/2010 | CA Funds Group, Inc. | S-211697 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100409CAFundsGroup.pdf | Prohibited Practice | | CA Funds Group, Inc. #151193 | | | | |
| | 4/8/2010 | Deutsche Bank Securities, Inc. | S-09148 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100408DeutscheBankSecurities.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Deutsche Bank Securities, Inc. #2525 | $44,454 | | | |
| | 4/8/2010 | Merrill Lynch, Pierce, Fenner & Smith Incorporated | S-09154 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100408Lynch.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Merrill Lynch, Pierce, Fenner & Smith, Incorporated #7691 | $327,040 | | | |
| | 3/25/2010 | Mark H. Brenner | S-07142 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100325Brenner.pdf | Unregistered Product, Fraud | | | | | | |
| | 3/25/2010 | U.S. Energy Resources, Inc.; U.S.E.R. Southeast Texas, L.P.; Scott Bourelle; Robert Newman | S-09089 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100325USEnergyResources.pdf | Unregistered Product | | | | | | |
| | 3/19/2010 | Bradley J. Goodrich; Argurion Group, Inc.; Esquire Management, LLC; Strategic Asset Allocation Fund LLC | S-209834 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100319GoodrichArgurionGroup.pdf | Prohibited Practice, Fraud | | Bradley J. Goodrich #2316058; Argurion Group, Inc. #108115 | | | | |
| | 3/16/2010 | Theraplay LLC; J&M Management; Troy Pfefferle; Gary W. Pfefferle | S-09008 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100316TheraplayJMManagement.pdf | Fraud | | | | | | |
| | 3/11/2010 | Veterinary Equipment & Technology Supply, LLC; Ronald F. Sassetti | S-09037 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100311VeterinaryEquipment.pdf | Fraud | | | | | | |
| | 2/19/2010 | JPMorgan Chase & Co. | S-09150 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100219JPMorganChaseCo.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | JPMorgan Chase Co. #79 | $469,571.17 | | | |
| | 2/19/2010 | Morgan Stanley & Co. Incorporated | S-09152 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100219MorganStanleyCo.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Morgan Stanley & Co. Incorporated #8209 | $213,643.60 | | | |
| | 2/10/2010 | Banc of America Securities, LLC; Banc of America Investment Services, Inc. | S-09147 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100210BancAmericaSecurities.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Banc of America Securities, LLC #26091; Banc of America Investment Services, Inc. #16361 | $433,809.40 | | | |
| | 2/2/2010 | Citigroup Global Markets, Inc. | S-09140 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100202CitigroupGlobalMarkets.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Citigroup Global Markets, Inc. #7059 | $831,670.01 | | | |
| | 2/2/2010 | Evolution Securities US Inc. | S-210164 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100202EvolutionSecuritiesUS.pdf | Prohibited Practice | | Evolution Securities US Inc. #28275 | | | | |
| | 1/29/2010 | TD Ameritrade, Inc. | S-09153 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100129TDAmeritrade.pdf | Prohibited Practice | | TD Ameritrade, Inc. #7870 | | | | |
| | 1/28/2010 | Credit Suisse Securities (USA), LLC | S-09151 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100128CreditSuisseSecurities.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Credit Suisse Securities (USA), LLC #816 | $31,025.70 | | | |
| | 1/15/2010 | Merrill Lynch, Pierce, Fenner & Smith Incorporated | S-09141 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100115MerrillLynchPierce.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Merrill Lynch, Pierce, Fenner & Smith, Incorporated #7691 | $1,155,234.37 | | | |
| | 1/15/2010 | Wachovia Securities, LLC; Wachovia Capital Markets, LLC | S-09137 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100115WachoviaSecurities.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Wachovia Securities, LLC #19616; Wachovia Capital Markets, LLC #126292 | $457,903.77 | | | |
| | 1/14/2010 | RBC Capital Markets Corporation | S-09149 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2010/20100114RBCCapitalMarkets.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | RBC Capital Markets Corporation #6579 | $324,978.87 | | | |
| | 12/15/2009 | Advanced Planning Securities | S-07032 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2009/20091215AdvancedPlanning.pdf | Prohibited Practice | | Advance Planning Securities, Inc. #14382 | | | | |
| | 12/14/2009 | Ispottedyou.Com, Inc.; Secure a Financial Future Society; Richard R. Kelsey; William G. Lehmann | S-09092 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2009/20091214ISpottedYouSecureFinancial.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 12/14/2009 | S.W. Consulting & Property; James E. Williams; Sharon F. Williams | S-09021 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2009/20091214SWConsultingProperty.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 11/10/2009 | Becman Company, LLC; Gary J. Marquardt | S-09035 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2009/20091110BecmanCompanyMarquardt.pdf | Unregistered Product | | | | | | |
| | 11/4/2009 | Jasmine, Inc.; Jimmy W. Gray; True Funding Partners, Inc.; Michael A. Donaldson | S-09066 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2009/20091104JasmineGrayTrueFunding.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 9/22/2009 | Eric Page, Inc.; Investors Resource Center, LLC; L&E Properties of Kenosha, LLC; Eric N. Page | S-09018 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2009/20090922EricPageInvestors.pdf | Fraud | | | | | | |
| | 8/24/2009 | Lyons Ward & Associates, LLC; Gene Collins; Phillip Roth | S-09032 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2009/20090824LyonsWardAssociates.pdf | Unregistered Person, Fraud | | Lyons Ward & Associates, LLC #79756 | | | | |
| | 6/29/2009 | Derek McSherry | S-08157 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2009/20090629McSherry.pdf | Prohibited Practice | | Derek McSherry #1508784 | | | | |
| | 6/22/2009 | Energy Recovery Group, LLC; Paul Alan Kimball; Dwight E. Brehm | S-08145 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2009/20090622EnergyRecoveryGroup.pdf | Unregistered Product | | Paul Alan Kimball #4598165; Dwight W. Brehm #2577448 | | | | |
| | 5/26/2009 | Da-Vi Nails International, LLC; Vi Truong Cao; David Truong | S-08017 (FX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2009/20090526DaViNailsInternational.pdf | Unregistered Product | | | | | | |
| | 3/23/2009 | Andy Vang aka Seng Vang | S-08154 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2009/20090323Vang.pdf | Unregistered Person, Prohibited Practice | | | | | | |
| | 3/12/2009 | Paul L. Clements | S-07162 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2009/20090312Clements.pdf | Fraud | | Paul L. Clements #2245832 | | | | |
| | 3/6/2009 | Gregory L. Oldham; Glenn R. Harris | S-07032 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2009/20090306OldhamHarris.pdf | Unregistered Person, Prohibited Practice | | Gregory L. Oldham #3247565; Glenn R. Harris #4538997 | | | | |
| | 3/6/2009 | Andy Vang aka Seng Vang | S-08154 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2009/20090306Vang.pdf | Unregistered Person, Fraud | | | | | | |
| | 3/4/2009 | James G. Kops | S-08054 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2009/20090304Kops.pdf | Fraud | | | | | | |
| | 1/29/2009 | Denver A. Kalkofen | S-08156 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2009/20090129Kalkofen.pdf | Unregistered Person, Fraud | | Denver A. Kalkofen #1530241 | | | | |
| | 1/13/2009 | Calvin "CJ" Morris, JR. | S-08155 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2009/20090113Morris.pdf | Fraud | | | | | | |
| | 12/23/2008 | Russell K. Myrick | S-08099 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20081223Myrick.pdf | Unregistered Product, Fraud | | | | | | |
| | 12/4/2008 | Dynamic Revolution SDN BHD, Swiss Mutual Fund 1948 SA aka SwissCash; Dennis Buck; Amir Bin Hassan; Kelvin Choo Mun Hoe; Todd O'Neal; Conrad A. Schwocha; Albert Lee Kee Sien | S-08016 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20081204DynamicRevolution.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 11/17/2008 | SoccerTots, Inc.; E. Kent Gold | S-07147 (FX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20081117SoccerTotsKentGold.pdf | Unregistered Product | | | | | | |
| | 10/27/2008 | Michael Niemczyk Associates, Inc. | S-08027 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20081027NiemcyzkAssociates.pdf | Prohibited Practice | | #124000 | | | | |
| | 10/13/2008 | Michael Roznowski | S-07031 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20081013Roznowski.pdf | None | | #2749465 | | | | |
| | 10/3/2008 | Jewell Robbins aka Jewell A. Burgin | S-08104 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20081003Robbins.pdf | Fraud | | | | | | |
| | 9/29/2008 | Pop-N-Go Inc.; Melvin J. Wyman; Greg Tuthill | S-08098 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080929PopNGoWymanTuthill.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 9/26/2008 | Americash Inc.; Kevin D. Maulson | S-08015 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080926Americash.pdf | Fraud | | | | | | |
| | 9/26/2008 | Midwest Labor Services, Inc.; Steven D. Manske | S-08088 (FX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080926MidwestLaborServices.pdf | Unregistered Product | | | | | | |
| | 9/11/2008 | Russell K. Myrik | S-08099 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080911Myrick.pdf | Unregistered Product, Fraud | | | | | | |
| | 9/2/2008 | Credit USA, Inc.; Dr. Terrel L. Alexander; Neco Alexander William Love, III; Edith Munoz; Lorenzo Wright; David Shears; Ruth Shank | S-08039 (FX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080902CreditUSAAlexander.pdf | Unregistered Product | | | | | | |
| | 8/28/2008 | William Gregory Vincent | S-08132 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080828Vincent.pdf | Prohibited Practice | | #3007097 | | | | |
| | 8/22/2008 | Morgan Stanley & Co. Incorporated | S-06111 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080822MorganStanley.pdf | Unregistered Product, Prohibited Practice | Civil Penalty / Administrative Assessment | #149777 | $222,116 | | | |
| | 6/30/2008 | The 12 Percent Fund I, LLC; Coyote Growth Mangement LLC; Michael J. Hannan, II | S-08057 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/2008063012PercentFundCoyote.pdf | Unregistered Product, Fraud | | | | | | |
| | 6/30/2008 | Leonard D. Sellers | S-07058 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080630Sellers.pdf | Prohibited Practice | | #2306259 | | | | |
| | 5/14/2008 | William J. Gilbert | S-07132 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080514Gilbert.pdf | None | | | | | | |
| | 4/28/2008 | Jeffrey D. Knickmeier | S-07133 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080428Knickmeier.pdf | None | | | | | | |
| | 4/28/2008 | Henry V. Schultz | S-08075 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080428Schultz.pdf | Prohibited Practice | | #1788239 | | | | |
| | 4/18/2008 | Timothy P. Barry | S-08045 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080418Barry.pdf | Prohibited Practice | | #2267209 | | | | |
| | 4/9/2008 | Roman H. Claas | S-08019 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080409Claas.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 4/9/2008 | Jeffrey P. Hertel dba Corporate Investment Advisors | S-07167 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080409HertelCorporate.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 4/9/2008 | Universal One Club LLC; Boniface B. Mvogo; Francis F. Jao | S-07172 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080409UniversalOneClubMvogo.pdf | Unregistered Product | | | | | | |
| | 3/11/2008 | Riley E. Fitzsimons, Multiple One Group, Inc. aka Guardian International Travel; Swainson Hawke | S-08012 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080311MultipleOneGroup.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 3/3/2008 | Leonard E. Dunn | S-08034 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080303Dunn.pdf | Prohibited Practice | | #2041934 | | | | |
| | 2/27/2008 | David W. Knall | S-08033 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080227Knall.pdf | Prohibited Practice | | #272121 | | | | |
| | 2/25/2008 | Jeffrey D. Knickmeier | S-07133 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080225Knickmeier.pdf | Fraud | | | | | | |
| | 2/13/2008 | Discovernet, Inc.; William H. Gray | S-07100 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080213DiscoverNetGray.pdf | Unregistered Product | | | | | | |
| | 2/5/2008 | American Teddy Bear Association; Renee's Wonderful World of Teddy Bear Puppies | S-07092 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080205AmericanTeddyBear.pdf | None | | | | | | |
| | 2/5/2008 | Jason R. Fuller; Renee Fuller; Ronnie Fuller | S-07092 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080205Fuller.pdf | Fraud | | | | | | |
| | 1/11/2008 | James M. Gedlen | S-07157 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080111Gedlen.pdf | Fraud | | | | | | |
| | 1/11/2008 | Paul A. Treloar; Integrity Investors, LLC; Freddie M. Carson aka Marshall Carson | S-06089 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2008/20080111TreloarIntegrity.pdf | Fraud | | | | | | |
| | 12/21/2007 | J & M Developers LLC; Lernie C. Jones | S-06124 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20071221JMDevelopersJones.pdf | Fraud | | | | | | |
| | 12/7/2007 | Marco Glisson | S-06070 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20071207Glisson.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 11/29/2007 | William A. Forkner | S-07089 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20071129Forkner.pdf | Prohibited Practice | | William A. Forkner #844590 | | | | |
| | 11/29/2007 | Mortgage and Buying Solutions, Inc.; Sean Moriarity; Richard Penuel; Joseph Revilla | S-07084 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20071129MortgageBuying.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 11/29/2007 | Ruttenberg & Associates Financial Marketing, Inc.; Mark I. Ruttenberg | S-05237 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20071129RuttenbergAssociates.pdf | Unregistered Person, Unregistered Product | | Mark I. Ruttenberg #408018 | | | | |
| | 11/20/2007 | CashLynx Investment; Eric C. Haataja | S-07083 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20071120CashLynxInvestment.pdf | Unregistered Product | | | | | | |
| | 11/20/2007 | William J. Gilbert | S-07132 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20071120Gilbert.pdf | Fraud | | | | | | |
| | 11/20/2007 | The Prudential Investment Portfolios, Inc. | S-07098 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20071120PrudentialInvestment.pdf | Unregistered Product | Civil Penalty / Administrative Assessment | The Prudential Investment Portfolios, Inc. #680 | $5,000 | | | |
| | 11/20/2007 | Thomas & Edwards Marketing, Inc. aka Thomas & Edwards Marketing Corp. | S-05181 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20071120ThomasEdwardsMarketing.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 11/12/2007 | Jason R. Fuller; Renee Fuller; Ronnie Fuller; American Teddy Bear Association (ATBA); Renee's Wonderful World of Teddy Bear Puppies | S-07092 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20071112FullerFullerFuller.pdf | Fraud | | | | | | |
| | 11/9/2007 | J.V. Resources, LLC; John H. Vance; Matthew G. Rossini; Christopher Fraley | S-06188 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20071109JVResourcesVance.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 11/2/2007 | Hoon San "Martin" Chia | S-07079 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20071102Chia.pdf | Unregistered Product, Fraud | | | | | | |
| | 10/19/2007 | Mark A. Phillips | S-07124 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20071019Phillips.pdf | Fraud | | | | | | |
| | 10/19/2007 | SBG Forever, Inc.; Lands Alliance Information Services, Inc.; Stanton C. Snyder; Alexis G. Snyder aka Brenda Austin | S-07116 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20071019SBGForeverLands.pdf | Unregistered Product | | | | | | |
| | 10/12/2007 | Michael A. Roznowski | S-07031 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20071012Roznowski.pdf | Prohibited Practice | | Michael A. Roznowski #2749465 | | | | |
| | 10/10/2007 | Northstar Energy, Inc.; Larry M. Koonce; Paul M. Esposito, Jr.; Travis Catura | S-07108 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20071010NorthstarEnergyKoonce.pdf | Unregistered Person, Unregistered Product | | Larry M. Koonce #4603240; Paul M. Esposito #4614590 | | | | |
| | 10/9/2007 | Spaman Wholesale, Inc. dba Master Spas of Wisconsin | S-03123 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20071009SpamanWholesaleMaster.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 10/4/2007 | Brookstreet Securities Corp | S-07114 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20071004BrookstreetSecurities.pdf | Prohibited Practice | | Brookstreet Securities Corp #14667 | | | | |
| | 9/7/2007 | Neon LLC; Lynette K. Hartman; Richard L. Hartman; Brian Augenstein | S-07085 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070907NeonHartmanHartman.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 8/20/2007 | Chad W. Snell | N/A | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070820Snell.pdf | Prohibited Practice | | Chad W. Snell #5240494 | | | | |
| | 8/15/2007 | Elite Marketing Network, LLC; Net Revenue Systems, LLC; Mark Jackett; Charles V. Herin; Steve Yagudayeu; Robert Contreras | S-07024 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070815EliteMarketingNetwork.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 8/15/2007 | Oil & Gas Managing Partners, Corp.; Michael Dannelly; Glen McCall | S-07076 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070815OilGasManagingPartners.pdf | Unregistered Product, Fraud | | | | | | |
| | 7/27/2007 | Dennis Burkhartsmeier; Brenda Burkhartsmeier; Mountain Manufacturing, Inc.; Mountain Mudd, LLC; Mountain Manufacturing Company; R/MM, LLC; Coffee Cooperative Association aka The Coffee Cooperative, Inc. | S-05102 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070727Burkhartsmeier.pdf | Unregistered Product, Prohibited Practice | | | | | | |
| | 7/5/2007 | Mark R. Anderson | S-06181 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070705Anderson.pdf | Fraud | | | | | | |
| | 6/29/2007 | Raymond James Financial Services, Inc. | S-05127 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070629RaymondJamesFinancial.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Ramond James Financial Services, Inc. #6694 | $50,000 | | | |
| | 6/27/2007 | James A. Nickels | S-05122 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070627Nickels.pdf | Prohibited Practice | | James A. Nickels #347827 | | | | |
| | 5/23/2007 | David S. Mesunas | S-06164 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070523Mesunas.pdf | Prohibited Practice | | David S. Mesunas #2254193 | | | | |
| | 5/23/2007 | Mutual Benefits Corp.; Peter Lombardi; Joel Steinger aka Joel Steiner; Leslie Steinger aka Leslie Steiner | S-07029 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070523MutualBenefitsLombardi.pdf | Unregistered Person, Unregistered Product, Fraud | | Joel Steinger aka Joel Steiner #9993449; Leslie Steinger aka Leslie Steiner #8994964 | | | | |
| | 5/4/2007 | Interstar Management, Ltd.; Garry J. Milosevich; Daniel T. Tepoel | S-05035 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070504InterstarManagement.pdf | Unregistered Product | | | | | | |
| | 4/13/2007 | Duane C. Boechler | S-07034 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070413Boechler.pdf | Unregistered Product, Fraud | | Duane C. Boechler #714819 | | | | |
| | 4/13/2007 | Clutterbusters Franchising, Inc. | S-05189 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070413Clutterbusters.pdf | Prohibited Practice | | | | | | |
| | 4/13/2007 | Progressive Home Services, Inc. dba IPM Realty and Investment Properties of Minnesota; James W. Abbott; Joseph A. Cole | S-06180 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070413ProgressiveHome.pdf | Unregistered Product, Fraud | | | | | | |
| | 3/28/2007 | Spaman Wholesale, Inc. dba Master Spas of Wisconsin; Craig Hueffner | S-03123 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070328SpamanWholesale.pdf | Unregistered Person, Fraud | | | | | | |
| | 3/5/2007 | Brian E. Bath; Evergreen Land Trust; Evergreen Investment Group | S-06184 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070305EvergreenLandTrust.pdf | Fraud | | Brian E. Bath #4511101 | | | | |
| | 3/5/2007 | David C. Rietz | S-06189 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070305Rietz.pdf | Unregistered Person, Fraud | | | | | | |
| | 2/19/2007 | Kevin L. Reiss aka Rocky Barts | S-06199 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070219ReissBarts.pdf | Unregistered Product, Fraud | | | | | | |
| | 2/13/2007 | Wachovia Capital Markets, LLC | S-06146 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070213WachoviaCapitalMarkets.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Wachovia Capital Markets, LLC #44964 | $407,491 | | | |
| | 2/8/2007 | Aaron E. Applewhite; National Investment Trust, LLC aka A.F.G. and A.F.G. & Co. | S-06175 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070208ApplewhiteNational.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 1/29/2007 | Nina Louise Kienzle | S-04059 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070129Kienzle.pdf | Unregistered Person, Unregistered Product | | Nina Louise Kienzle #8980385 | | | | |
| | 1/29/2007 | Jeffrey John Miller | S-065034 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070129Miller.pdf | Fraud | | Jeffrey John Miller #2576559 | | | | |
| | 1/29/2007 | Property Lease & Management, LLC; Wisdom Development Group, LLC; Vu H. "Vinh" Le | S-06168 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070129PropertyLease.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 1/12/2007 | Johnny R. Adams; Johnny on the Spot, LLC | S-06119 (FX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2007/20070112AdamsJohnnySpot.pdf | Prohibited Practice, Fraud | | | | | | |
| | 12/27/2006 | James A. Nickels | S-05122 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20061227Nickels.pdf | Prohibited Practice, Fraud | | James A. Nickels #347827 | | | | |
| | 12/26/2006 | Christopher Lee Jacke | S-06075 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20061226Jacke.pdf | Prohibited Practice | | Christopher Lee Jacke #3041945 | | | | |
| | 12/26/2006 | Petromarc, Inc.; David D. Swantner; James E. Fulp, Jr. | S-06172 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20061226PetromarcSwantnerFulp.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 11/30/2006 | PAJ Investments, LLC; Pamela Ann Johnson | S-06042 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20061130PAJInvestmentsJohnson.pdf | Prohibited Practice | | | | | | |
| | 11/30/2006 | US Real Estate Partners, Inc.; Jules B. Fleder; Bernard R. Ware | S-06118 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20061130USRealEstatePartners.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 11/14/2006 | Michael M. Gosse | S-06034 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20061114Gosse.pdf | None | | | | | | |
| | 11/13/2006 | Investors Preferred Opportunities, Inc.; A.L.Brown; Kayatana H. Harrison Daniels; Jules B. Fleder; Roger Sherman | S-06131 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20061113Brown.pdf | Unregistered Product, Fraud | | | | | | |
| | 11/6/2006 | Investors Preferred Opportunities, Inc.; A.L.Brown; Kayatana H. Harrison Daniels; Jules B. Fleder; Roger Sherman | S-06131 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20061106InvestorsPreferred.pdf | Unregistered Person, Prohibited Practice | | | | | | |
| | 9/15/2006 | Ronald M. Breight; Ronald M. Breight Financial, LLC | S-05208 (LX) | Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060915Breight.pdf | Unregistered Person, Prohibited Practice | | Ronald M. Breight #2303811; Ronald M. Breight Financial, LLC #2303811 | | | | |
| | 9/12/2006 | Fastbucks Franchise Corporation | S-06155 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060912FastbucksFranchise.pdf | Prohibited Practice | | | | | | |
| | 8/28/2006 | Brian S. Henkel; ING Financial Partners, Inc. | S-04192 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060828HenkelINGFinancial.pdf | Prohibited Practice | | Brian S. Henkel #2711787; ING Financial Partners, Inc. #2992 | | | | |
| | 8/28/2006 | Spaman Wholesale, Inc. dba Master Spas of Wisconsin; Craig Hueffner | S-03123 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060828SpamanWholesale.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 7/13/2006 | Accutax, LLC | S-06100 (FX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060713Accutax.pdf | Unregistered Product | | | | | | |
| | 7/13/2006 | William W. Block, Jr. | S-06091 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060713Block.pdf | Fraud | | | | | | |
| | 7/11/2006 | Paul L. Clements | S-06002-L | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060711Clements.pdf | Prohibited Practice | | Paul K. Clements #2245832 | | | | |
| | 6/22/2006 | Christopher J. Diedrich | S-05060 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060622Diedrich.pdf | Prohibited Practice | | Christopher J. Diedrich #2757585 | | | | |
| | 6/22/2006 | Noventis, Inc. | S-06067 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060622Noventis.pdf | Unregistered Product | | | | | | |
| | 6/22/2006 | David Riley; Keith Walls | S-04004 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060622RileyWalls.pdf | Unregistered Product | | | | | | |
| | 6/22/2006 | UBS Group, Inc.; Johnathan Ahlf | S-06071 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060622UBSGroupAhlf.pdf | Unregistered Product | | | | | | |
| | 6/22/2006 | GEO Securities, Inc. | S-06086-LX | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060622GEOSecurities.pdf | Prohibited Practice | | GEO Securities, Inc. #44830 | | | | |
| | 5/30/2006 | David W. Bower | S-05238 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060530Bower.pdf | Fraud | | | | | | |
| | 5/30/2006 | Randall Landwehr; Michael M. Gosse | S-06034 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060530LandwehrGosse.pdf | Fraud | | | | | | |
| | 5/30/2006 | NII-JII Entertainment, LLC; Paradise Key Management Co.; Morgan F. Murphy, Jr.; Morgan F. Murphy III; Robert D. Boyle | S-05217 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060530NIIJIIEntertainment.pdf | Fraud | | | | | | |
| | 5/30/2006 | Edward P. Perley, Jr. | S-06078-L | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060530Perley.pdf | Prohibited Practice | | Edward P. Perley, Jr. #1040246 | | | | |
| | 5/15/2006 | Digital Entertainment Corporation; Ernest P. LaMonica | S-04220 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060515DigitalEntertainment.pdf | Unregistered Product, Fraud | | | | | | |
| | 5/15/2006 | GarageTek, Inc. | S-06074 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060515GarageTek.pdf | Prohibited Practice | | | | | | |
| | 5/15/2006 | Joseph J. Hrdlicka | S-05213 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060515Hrdlicka.pdf | Unregistered Product | | | | | | |
| | 5/15/2006 | John R. Wustner | S-06064 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060515JohnWustner.pdf | Unregistered Product, Prohibited Practice | | John R. Wustner #473562 | | | | |
| | 5/15/2006 | Midwestern Enterprises, Inc. dba INKRX and INKRX.com; Adrian P. Anderson | S-06004 (FX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060515MidwesternEnterprises.pdf | Unregistered Product | | | | | | |
| | 5/15/2006 | John R. Wustner | S-06060 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060515Wustner.pdf | Unregistered Product, Prohibited Practice | | John R. Wustner #473562 | | | | |
| | 5/4/2006 | D.E.I. Franchise Systems, Inc. | S-06072 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060504DEIFranchiseSystems.pdf | Prohibited Practice | | | | | | |
| | 5/4/2006 | Success Trust and Holding, LLC; A. Paul Reynolds | S-06032 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060504SuccessTrustHolding.pdf | Unregistered Product | | | | | | |
| | 5/3/2006 | Donna M. Vogt | S-03083 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060503Vogt.pdf | Prohibited Practice, Fraud | | Donna M. Vogt #1391717 | | | | |
| | 4/25/2006 | J.A.P. Brokers dba RJ Quinn Trading fka Worldwide Commodity Trader, L.L.C.; Romaine A. Quinn | S-05173 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060425JAPBrokersRJQuinn.pdf | Unregistered Product, Fraud | | | | | | |
| | 4/14/2006 | John M. Jesse | S-06052-L | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060414Jesse.pdf | Prohibited Practice | | John M. Jesse #113303 | | | | |
| | 4/14/2006 | Quadra Pay Land, LLC; Eavenson Family LP; Michael L. Eavenson | S-06021 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060414QuadraPaylandEavenson.pdf | Unregistered Product | | | | | | |
| | 4/14/2006 | John Wong | S-03282 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060414Wong.pdf | Fraud | | John Wong #3236134 | | | | |
| | 4/3/2006 | Welhouse & Associates, Inc. | S-05210 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060403WelhouseAssociates.pdf | Prohibited Practice | | Welhouse & Associates #111752 | | | | |
| | 4/3/2006 | Exchange Growth League; Travis W. Luedke | S-06033 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060403ExchangeGrowthLeague.pdf | Unregistered Product | | | | | | |
| | 3/23/2006 | International Fraud Assessment Agency | S-06037 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060323InternationalFraud.pdf | Fraud | | | | | | |
| | 3/17/2006 | Global Link Mergers and Acquisitions | S-06037 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060317GlobalLinkMergers.pdf | Fraud | | | | | | |
| | 3/10/2006 | Stephen M. Sirianni | S-05209-L | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060310Sirianni.pdf | Prohibited Practice | | Stephen M. Sirianni #715867 | | | | |
| | 3/8/2006 | Scott A. Riggs | S-04093 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060308Riggs.pdf | None | | | | | | |
| | 2/28/2006 | Bear Creek Mining; Richard E. Shell; Patrick M. McKeown, Jr. | S-05185 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060228BearCreekMiningShell.pdf | Unregistered Product, Fraud | | | | | | |
| | 2/28/2006 | Anthony M. Frisone | S-03245 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060228Frisone.pdf | None | | | | | | |
| | 2/22/2006 | Royce J. Raymond | S-05061 (LX) | Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060222Raymond.pdf | Prohibited Practice, Fraud | | Royce J. Raymond #1574917 | | | | |
| | 2/2/2006 | Foreign Exchange Capital Management, Inc. aka FX Capital Management, Inc.; Mitchell Ellis Pritchard; Kevin Matres; Errol Kaplan | S-05231 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060202ForeignExchangeCapital.pdf | Unregistered Product | | | | | | |
| | 1/5/2006 | Leroy Avery | S-05220 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060105Avery.pdf | Unregistered Product, Prohibited Practice | | Leroy Avery #2354752 | | | | |
| | 1/5/2006 | Paul A. Bernier | S-05202 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060105Bernier.pdf | Unregistered Person, Unregistered Product | | Paul A. Bernier #3186272 | | | | |
| | 1/5/2006 | Riverdale Energy Corporation | S-05197 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060105RiverdaleEnergy.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 1/5/2006 | Joseph Franco; Riverdale Energy Corporation | S-05197 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060105RiverdaleEnergyFranco.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 1/5/2006 | John J. Schmitz | S-05199 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2006/20060105Schmitz.pdf | Unregistered Person, Unregistered Product | | John J. Schmitz #414182 | | | | |
| | 12/23/2005 | Curtis R. Edmark | S-05221 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051223Edmark.pdf | Unregistered Person, Unregistered Product | | Curtis R. Edmark # 1596961 | | | | |
| | 12/23/2005 | Ronald D. Johnson | S-05201 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051223Johnson.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 12/23/2005 | Pioneer Advertising Agency; Michael Forbes | S-05067 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051223PioneerAdvertising.pdf | Unregistered Product | | | | | | |
| | 12/23/2005 | Donna M. Vogt | S-03083 (LX) | Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051223Vogt.pdf | Prohibited Practice | | Donna M. Vogt #1391717 | | | | |
| | 12/2/2005 | Virgil H. Hentz; Global eScience Corp. | S-04026 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051202HentzGlobaleScience.pdf | Unregistered Product | | | | | | |
| | 12/2/2005 | David A. Olson | S-05151 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051202Olson.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 12/2/2005 | Robert R. Wilkos | S-05225 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051202Wilkos.pdf | Prohibited Practice | | Rovert R. Wilkos #3127146 | | | | |
| | 11/23/2005 | Critters Dreams, LLC; Li'L Mouse Playhouse, Inc.; Mark R. Anderson | S-04187 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051123CrittersDreamsLilMouse.pdf | None | | | | | | |
| | 11/4/2005 | American Energy Resources Corporation; H&M Petroleum, Inc.; Don Allen; Robert E. Bangs | S-05194 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051104AmericanEnergy.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 11/4/2005 | Network Services Depot, Inc. dba Net Depot, Inc., Bikini Vending Corp.; Charles V. Castro; Edward Bevilacqua | S-05187 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051104NetworkServicesDepot.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 11/4/2005 | Joseph F. Pavela | S-05146 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051104Pavela.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 10/26/2005 | Ronald M. Breight | S-05066 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051026Breight.pdf | Unregistered Product, Prohibited Practice | | #2303811 | | | | |
| | 10/26/2005 | Jeremiah J. Brod | S-05179 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051026Brod.pdf | Unregistered Person, Fraud | | | | | | |
| | 10/26/2005 | Michelle Bruette-Holte | S-05124 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051026BruetteHolte.pdf | Unregistered Person, Fraud | | | | | | |
| | 10/26/2005 | Donald W. Kiley | S-05143 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051026Kiley.pdf | Unregistered Product, Prohibited Practice | | #2630201 | | | | |
| | 10/26/2005 | Roger A. Mathison | S-01058 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051026Mathison.pdf | Unregistered Person, Unregistered Product, Fraud | | Roger A. Mathison #2210646 | | | | |
| | 10/26/2005 | Nexidis, LLC; Global Financial Solutions, LLC; Simon Juhlin; Jared Schneider; Jason Jensen | S-05007 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051026NexidisGlobalFinancial.pdf | Unregistered Product | | | | | | |
| | 10/24/2005 | Gigapix Studios Inc.; Christopher J. Blauvelt; John Savage; Steven Wilson | S-05012 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051024GigapixStudiosBlauvelt.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 10/24/2005 | Ross Kamat | S-05093 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051024Kamat.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 10/24/2005 | Neil S. Moderson | S-05155 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051024Moderson.pdf | Unregistered Product, Prohibited Practice | | #2328796 | | | | |
| | 10/24/2005 | Guy A. Neau | S-05175 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051024Neau.pdf | Unregistered Person, Unregistered Product | | #2232933 | | | | |
| | 10/24/2005 | Richard L. Troyer | S-05158 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051024Troyer.pdf | Unregistered Product, Prohibited Practice | | | $2,635,368 | | | |
| | 10/13/2005 | Invest Sure Corp. | S-05186 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051013InvestSureCorp.pdf | None | | | $133,739 | | | |
| | 10/6/2005 | American Data Solutions, Inc.; American Data Sales, Inc.; William R. Kennedy; Leon Joe; Mike Seymour; Alfred Cohen; Lee Banks; Dennis Rogers | S-04191 (EX) | Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051006AmericanDataSolutions.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | | | | | |
| | 10/6/2005 | Anderson-Drake, Inc.; James R. Young aka Jay Young | S-04093 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051006AndersonDrakeYoung.pdf | Unregistered Person, Unregistered Product, Fraud | | James Young #1725782; David Cochran #2971741; Scott Riggs #3037639; Kenneth Lawrence #4597957; Jeremy Baker #4565329 | | | | |
| | 10/6/2005 | Gerald W. Bradford | S-05176 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051006Bradford.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 10/6/2005 | Carolyn A. Petroske | S-05147 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051006CarolynPetroske.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 10/6/2005 | Empire Business Solutions, Inc.; James B. Duncan | S-05166 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051006EmpireBusinessDuncan.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 10/6/2005 | Fred J. Petroske | S-05148 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051006FredPetroske.pdf | Unregistered Person, Unregistered Product | | #361803 | | | | |
| | 10/6/2005 | Michael W. Hetzel | S-05157 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051006Hetzel.pdf | Unregistered Person, Unregistered Product | | #2417982 | | | | |
| | 10/6/2005 | Jeffrey J. Kain | S-05159 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051006Kain.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 10/6/2005 | Rodgermartin.Biz; Rodger Denton Martin | S-03248 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051006RodgerDentonMartin.pdf | Unregistered Product | | | | | | |
| | 10/6/2005 | Trent N. Tinder | S-05156 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20051006Tinder.pdf | Unregistered Product, Prohibited Practice | | | $2,898,836 | | | |
| | 9/23/2005 | Financial Freedom USA Network; Susan E. Dowe; Patricia A. Cadwallader aka Ann Davis | S-05089 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050923FinancialFreedomDowe.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | | | | | |
| | 9/23/2005 | L. Peter Freisinger | S-05141 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050923Freisinger.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 9/23/2005 | Mary E. Moe | S-05144 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050923Moe.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 9/23/2005 | David G. Schilling | S-05120 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050923Schilling.pdf | Unregistered Product | | #4178700 | | | | |
| | 9/23/2005 | Paula J. Steinke | S-05150 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050923Steinke.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 9/23/2005 | James E. Sundelius | S-05154 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050923Sundelius.pdf | Unregistered Product, Prohibited Practice | | #2234666 | | | | |
| | 9/23/2005 | John J. Zaczek | S-05153 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050923Zaczek.pdf | Unregistered Product, Prohibited Practice | | #2346731 | | | | |
| | 9/9/2005 | Morgan Stanley DW Inc. | S-05073 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050909MorganStanleyDW.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | | $3,000 | | | |
| | 9/6/2005 | Cano Energy Corporation; Steven Jeffrey Johnson aka S. Jeff Johnson aka Jeff Johnson; William Paul Hudson | S-03268 (EX) | Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050906CanoEnergyJohnson.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | Steven Jeffrey Johnson #1900419; William Paul Hudson #4597939 | | | | |
| | 9/6/2005 | Jeffrey J. Kain; Peter D. Krzyzaniak | S-03068 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050906KainKrzyzaniak.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 9/6/2005 | Millionaire Web Club, Inc.; Marvin Q. Wilson; Peter Ballato | S-05068 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050906MillionaireWebClub.pdf | Unregistered Product | | | | | | |
| | 9/6/2005 | Robert E. Nick | S-05145 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050906Nick.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | | | | | |
| | 9/6/2005 | Premier Online Solution LLC aka Premier Online Solutions; Ron Jones; Joe Caba | S-05069 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050906PremierOnlineJones.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | | | | | |
| | 9/6/2005 | Young Oil Corporation; Anthony L. Young; Tareq R. Al-Abassi | S-04201 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050906YoungOilYoung.pdf | Unregistered Person, Prohibited Practice, Fraud | | | | | | |
| | 8/18/2005 | Robert W. Christian, Jr.; Robert W. Christian Sr. | S-03049 (EX) | Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050818Christian.pdf | None | | | | | | |
| | 8/16/2005 | Government Property Advisors, Inc.; Pacific Tax Properties, LLC; Pacific Matured Tax Lien Fund, LLC; Marc R. Tow; Richard C. Nuthmann | S-02112 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050816GovernmentProperty.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | Richard C. Nuthmann #349965; Michael J. Marshall #2110731 | | | | |
| | 8/16/2005 | Dawn M. Guimond; Mari Lynn Stassi | S-05016 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050816GuimondStassi.pdf | Unregistered Product, Prohibited Practice | | | | | | |
| | 8/16/2005 | Waddell & Reed, Inc. | S-05048 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050816WaddellReed.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment, Restitution | Waddell & Reed, Inc. #866 | $45,727 | | $11,000,000 | |
| | 8/3/2005 | Ampak Oil Company; Mohammed G. Khan; Jeff Ackermann | S-04042 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050803AmpakOilKhan.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 7/28/2005 | Gulftex Operating Inc.; Mason #1-H Joint Venture; Timothy P. Burroughs; David York; Sherri K. Cecotti; Theodore Jahns; Derek S. Wallets | S-04151 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050728GulftexOperatingMason1.pdf | None | | Timothy P. Burroughs #2108227; Derek S. Wallets #3252965 | | | | |
| | 7/28/2005 | Richard G. Heinert | S-03277 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050728Heinert.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 7/27/2005 | Thomas R. Anderson, Sr. | S-05033 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050727Anderson.pdf | Fraud | | | | | | |
| | 7/20/2005 | Quigley Petroleum, LLC; Darren E. Quigley; Katherina S. Quigly; Brian Gause | S-04067 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050720QuigleyPetroleum.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 7/20/2005 | Tri-Crescent Energy Corp.; William J. Hill; Danny R. Branson | S-04107 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050720TriCrescentEnergyHill.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 7/6/2005 | Resource Alliance Group, LLC; Leon J. Wessels | S-04001 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050706ResourceAllianceGroup.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 7/6/2005 | Steven G. Ross | S-04271 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050706Ross.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 6/23/2005 | Windsor Forex Trading Corp. aka Windsor Trading Group; Anthony M. Frisone; Francis Anthony Toscano aka Frank Toscano | S-03245 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050623Toscano.pdf | None | | | | | | |
| | 6/15/2005 | Eratz Investments, Inc.; Samuel H. Roden | S-04056 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050615EratzInvestmentsRoden.pdf | Unregistered Product | | | | | | |
| | 6/15/2005 | Richard G. Heinert | S-03277 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050615Heinert.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 6/13/2005 | Ronald G. Richer | S-05105 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050613Richer.pdf | Prohibited Practice | | Ronald G. Richer #2988381 | | | | |
| | 6/6/2005 | L.H. Ross & Company, Inc. | S-05103 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050606LHRossCompany.pdf | Prohibited Practice | | L.H. Ross & company, Inc. #37920 | | | | |
| | 6/1/2005 | John R. Wiemeri | S-05057 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050601Wiemeri.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 5/18/2005 | Ned B. Majors; Tax Lien Agents, Inc. | S-03228 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050518MajorsTaxLienAgents.pdf | Unregistered Product | | | | | | |
| | 5/18/2005 | Daniel G. Mullen | S-05088 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050518Mullen.pdf | Prohibited Practice | | Daniel G. Mullen # 2553997 | | | | |
| | 5/18/2005 | James R. Millard; Vincent Mistretta, Jr.; Viatical Concepts | S-02042 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050518ViaticalConcepts.pdf | Unregistered Person, Unregistered Product | | James R. Millard #1502348; Vincent Mistreet, Jr. #1496561 | | | | |
| | 5/5/2005 | Ampak Oil Company; Mohammed Gulnaw Az Khan; Jeff Ackermann, | S-04042 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050505AmpakOilAckermann.pdf | Unregistered Person, Unregistered Product, Prohibited Practice, Fraud | | | | | | |
| | 5/5/2005 | Fidelity Financial, Inc. dba Legendary Entertainment; Dwayne R. Corbitt; Doublas M. Warr | S-03037 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050505FidelityFinancial.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 5/5/2005 | Global Net Financial, LLC; Monte Carlo Players, LLP; Michael A. Ditursi aka Michael D. Tursi; Elaine Flores | S-040427 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050505GlobalNetMonteCarlo.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 4/29/2005 | Merrill Lynch Pierce Fenner & Smith, Inc. | S-04280 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050429MerrillLynchPierce.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Merrill Lynch Pierce Fenner & Smith, Inc. #7691 | $7,000 | | | |
| | 4/27/2005 | Reef Partners, LLC; Reef Securities, Inc.; Reef-Broussard Infield Development Joint Venture #1; Reef Partners 2003-A Income Fund Joint Venture; Michael J. Mauceli; Rick Berg; Robert H. Stanley | S-04052 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050427ReefPartnersMauceli.pdf | None | | Reef Securities, Inc. #31951; Robert H. Stanley #2546156 | | | | |
| | 4/18/2005 | Thomas Weisel Partners, LLC | S-05027 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050418ThomasWeiselPartners.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Thomas Weisel Partners LLC #46237 | $82,655 | | | |
| | 4/5/2005 | Luis Sosa, Jr. | S-04112 (LX) | Final Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050405Sosa.pdf | Prohibited Practice | | Luis Sosa, Jr. #2324543 | | | | |
| | 4/1/2005 | Wallace J. Hilliard | S-04156 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050401Hilliard.pdf | Fraud | | | | | | |
| | 3/29/2005 | Deutsche Bank Securities, Inc. | S-05026 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050329DeutscheBankSecurities.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Deutsche Bank Securities, Inc. #2525 | $475,269 | | | |
| | 3/18/2005 | BAC International Group, Inc.; Anthony Barry; Donald J. Shutts; Tracie A. Wood | S-041231 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050318BACInternationalBarry.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 3/18/2005 | Couch Oil & Gas; Dyno Energy, Inc.; Charles O. Couch; William M. Wilhelm | S-04061 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050318CouchOilDynoEnergy.pdf | Unregistered Person, Unregistered Product, Fraud | | William M. Wilhelm #1989170 | | | | |
| | 3/18/2005 | Critter Dreams, LLC; Li'L Mouse Playhouse, Inc.; Mark R. Anderson | s-04187 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050318CrittersDreamsLilMouse.pdf | Fraud | | | | | | |
| | 3/18/2005 | Edith E. Garro; Gregory J. Garro; Sandi Lou Kindig | S-04163 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050318GarroGarroKindig.pdf | Unregistered Product, Fraud | | | | | | |
| | 3/18/2005 | M.A.C. Investments, Inc.; M.A.C. Investment Sales, Inc.; Maricruz Alvarado; Kevin Polardi | S-05009 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050318MACInvestmentsAlvarado.pdf | Unregistered Product, Fraud | | | | | | |
| | 2/23/2005 | Meryl H. Kelch | S-03001 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050223Kelch.pdf | Unregistered Person | | Meryl H. Kelch #1951476 | | | | |
| | 2/23/2005 | Brian Waelti | S-04120 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050223Waelti.pdf | Prohibited Practice | | Brian Waelti #2051318 | | | | |
| | 2/4/2005 | William D. Brickner | S-04228 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050204Brickner.pdf | Unregistered Person, Unregistered Product | | William D. Brickner #144124 | | | | |
| | 2/4/2005 | CK Records, Inc.; John W. Chapman | S-04189 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050204CKRecordsChapman.pdf | Fraud | | | | | | |
| | 2/4/2005 | Gulftex Operating Inc.; Mason #1-H Joint Venture; Timothy P. Burroughs; David York; Sherri K. Cecotti; Theodore Jahns; Derek S. Wallets | S-04151 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050204GulftexOperatingMason1.pdf | Unregistered Person, Unregistered Product, Fraud | | Timothy P. Burroughs #2108227; Derek S. Wallets #3252965 | | | | |
| | 2/4/2005 | Meliorations Management Teem; John W. Zidar; David Edel; Barbara Engstrom; Edgardo Espiritu; Sharon Hall; Thomas Krizman; Myron Thorick; Kenneth Webb; Kurt Wittmayer | S-04269 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050204MeliorationsZidarEdel.pdf | Unregistered Person, Unregistered Product, Fraud | | John W. Zidar #11012602 | | | | |
| | 2/4/2005 | Prairie Resources, Inc.; Gerald H. Skyrme; Blake L. Cummings; Trey Morgan | S-04265 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050204PrairieResourcesSkyrme.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 2/4/2005 | Texas Petroleum Resources; East Sheriff Tpr #1 Joint Venture; George Utley; Todd Breitling; Jason Utley; Donald Reedy; Stuart Miller; Todd Gregory | S-04226 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050204TexasPetroleumEast.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 1/14/2005 | Kim A. Havens | S-04266 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050114Havens.pdf | Unregistered Product, Prohibited Practice | | Kim A. Havens #2121519 | | | | |
| | 1/14/2005 | Louise E. Ladd | S-04157 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050114Ladd.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Louise E. Ladd #857857 | $10,000 | | | |
| | 1/14/2005 | Pemoba, LLC dba Jani-King Of Madison; Hans Peterson; James Moriarty; Linda Moriarty | S-04273 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2005/20050114PemobaLLCPeterson.pdf | Fraud | | | | | | |
| | 12/21/2004 | Lawrence J Blomberg; Lemon Stop Associates Inc. dba Lemon Stop Inc. | S-04206 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20041221BlombergLemonStop.pdf | Fraud | | | | | | |
| | 12/21/2004 | Espey Development LLC; Michael G Espey; Richard K Ranspot | S-04017 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20041221EspeyDevelopmentEspey.pdf | Unregistered Person, Fraud | | Espey #4403061 | | | | |
| | 12/21/2004 | David Licht | S-04281 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20041221Licht.pdf | Prohibited Practice | | #3120077 | | | | |
| | 12/21/2004 | John R McMaude | S-04283 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20041221McMaude.pdf | Prohibited Practice | | #2357541 | | | | |
| | 12/21/2004 | Reef Partners LLC, Reef Securities Inc.; Reef-Broussard Infield Development Joint Venture #1, Reef Partners 2003-A Income Fund Joint Venture; Michael J Mauceli; Robert H Stanley; Rick Berg | S-04052 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20041221ReefPartnersMauceli.pdf | Unregistered Person, Fraud | | Reef Securities #31951; Mauceli #2142589; Stanley #2546156 | | | | |
| | 12/21/2004 | Michael C. Ribich | S-04280 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20041221Ribich.pdf | Prohibited Practice | | #4472460 | | | | |
| | 12/3/2004 | Investor Life Services, Inc.; Investor Protector Inc. | S-04138 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20041203InvestorLifeServices.pdf | Unregistered Person | | | | | | |
| | 11/18/2004 | Anderson-Drake Inc; King-Holt Ranch #3 & #4 Joint Venture; King-Holt Ranch #5 & #6 Joint Venture; James R Young aka Jay Young; David L Cochran; Rustin Scott; Scott A Riggs; Kenneth P Lawrence; Jeremy R Baker | S-04093 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20041118AndersonDrakeKingHolt.pdf | Unregistered Person, Fraud | | Young #1725782; Cochran #2971741; Riggs #3037639; Lawrence #4597957; Baker #4565329 | | | | |
| | 11/18/2004 | Cash Link Systems, Inc.; Alan Levine; Leland Balber | S-04207 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20041118CashLinkLevine.pdf | Unregistered Person, Fraud | | Balber #1652222 | | | | |
| | 11/18/2004 | DBJ Investment Ventures Inc.; Dustin Dwayne Johnson aka Dustin Dwayne Gillenwater | S-04066 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20041118DBJInvestmentVentures.pdf | None | | | | | | |
| | 11/18/2004 | Kevin D Wells | S-04260 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20041118Wells.pdf | Prohibited Practice | | #4180930 | | | | |
| | 11/1/2004 | FMI Capital Advisors Inc | S-04244 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20041101FMICapitalAdvisors.pdf | Prohibited Practice | | #129262 | | | | |
| | 10/22/2004 | DuPont Securities Group Inc. | S-04233 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20041022DupontSecuritiesGroup.pdf | Prohibited Practice | | #42305 | | | | |
| | 10/8/2004 | Avalon & Associates; Link-1 Communications Inc; Lincoln A Berridge; Todd Groover | S-03073 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20041008AvalonAssociatesLink1.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 10/8/2004 | Neal R Clemens | S-03026 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20041008Clemens.pdf | Prohibited Practice | | #3257789 | | | | |
| | 10/8/2004 | Thomas J Steinmetz Jr. | S-02196 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20041008Steinmetz.pdf | Fraud | | | | | | |
| | 9/24/2004 | Alton Securities Group Inc. | S-04216 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040924AltonSecuritiesGroup.pdf | Prohibited Practice | | #39639 | | | | |
| | 9/24/2004 | Financial Investment Timing Co. Inc. | S-04212 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040924FinancialInvestment.pdf | Prohibited Practice | | #114517 | | | | |
| | 9/24/2004 | FxTrade Financial LLC; Gordon J Vandeveld | S-04150 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040924FXTradeFinancial.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 9/24/2004 | Gene B. Harbort | S-02081 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040924Harbort.pdf | Prohibited Practice | | #3138484 | | | | |
| | 9/24/2004 | Barton L Harter | S-04159 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040924Harter.pdf | Unregistered Product, Prohibited Practice | | #1889206 | | | | |
| | 9/24/2004 | John K Wamugi | S-95413 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040924Wamugi.pdf | Unregistered Product | | | | | | |
| | 9/15/2004 | Rohan Bedi | S-04213 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040915Bedi.pdf | Prohibited Practice | | #4145934 | | | | |
| | 9/15/2004 | Howard M Birnbaum | S-04209 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040915Birnbaum.pdf | Prohibited Practice | | #2549349 | | | | |
| | 9/15/2004 | Black Lake Energy Inc; Wayne A Rand; Douglas L Williams; Eddie Gene Gilliam; Chad D Taylor | S-04139 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040915BlackLakeEnergyRand.pdf | Unregistered Product | | Gilliam #1644944 | | | | |
| | 9/15/2004 | Investors Freedom Club LC dba Venture Freedom Fund Ltd; Venture Freedom Foundation; H S D International LLC; William Anthony Folino; Tina N Folino; Peter J Matuch; Cris F Losey | S-04173 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040915InvestorsFreedomClub.pdf | Unregistered Product, Fraud | | | | | | |
| | 9/15/2004 | Paul H. Levinson | S-03238 (FX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040915Levinson.pdf | Unregistered Product, Fraud | | | | | | |
| | 9/15/2004 | Synergy Partners Inc; Jack T Waite | S-04048 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040915SynergyPartnersWaite.pdf | Fraud | | | | | | |
| | 9/15/2004 | William H. Tarrolly | S-04054 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040915Tarrolly.pdf | Fraud | | #442715 | | | | |
| | 8/26/2004 | Burning Springs Energy Partners; Appalachian Energy Partners; Martin R Twist; Charles White; Drew Thomas; Scott Pamida | S-04122 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040826BurningSpringsEnergy.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 8/26/2004 | Carlos A Mayo | S-04180 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040826Mayo.pdf | Prohibited Practice | | #2750768 | | | | |
| | 8/26/2004 | North Texas Exploration LLC; NTE Valentine #1 Joint Venture; Larry W Shopher; Jeffrey S Goerges; Anders Tyreman; James T Gurgainers | S-04098 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040826NorthTexasExploration.pdf | Unregistered Person, Unregistered Product, Fraud | | Goerges #4552501 | | | | |
| | 8/26/2004 | Texas Oil Equities Inc; William J Fletcher Jr. | S-03286 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040826TexasOilFletcher.pdf | Unregistered Product | | #1141657 | | | | |
| | 8/5/2004 | International Thermal Packaging Inc; Dennis L Thomas; Dennis L Brown; Lance N Kerr; Steven Wenberg | S-02043 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040805InternationalThermal.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 8/5/2004 | National Financial Solutions LLC | S-03284 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040805NationalFinancial.pdf | None | | | | | | |
| | 8/5/2004 | Superstarz-N-Carz LLC nka RB Motorsports & Co. LLC; Alaric L Bowers aka Rick Bowers | S-03233 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040805SuperstarzNCarz.pdf | Unregistered Product, Fraud | | | | | | |
| | 8/5/2004 | Vincent J. Defilippo | S-04132 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040805Defilippo.pdf | Prohibited Practice | | #2792048 | | | | |
| | 7/20/2004 | Innovation Advisors, LLC | S-04160 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040720InnovationAdvisors.pdf | Prohibited Practice | | #129802 | | | | |
| | 7/16/2004 | Halo Enterprises, Inc.; E-Media Advertising Inc.; Dale E. Merritt Jr.; Kyle J. Sanford; JR Baggs; Patricia Cadwallader; S. Elex Dowe; Kim E. Downs; Jeff Farmer; Tom Fluke; Alicia Godinez; Deta Hampsch; James L Hanemaayer; Chuck Jacobson; John T. Johnson; | S-03193 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040716HaloEnterprisesEMedia.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 7/16/2004 | Intertech Corporation fka Custom Fabricating of Racine Inc; David A Paczocha | S-03039 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040716IntertechPaczocha.pdf | Unregistered Person, Fraud | | | | | | |
| | 7/16/2004 | Light Management Systems Fund LLC; Corporate Deposit Program; Todd C. Smith; Shelly J. Waddell | S-02072 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040716LightManagementSmith.pdf | Unregistered Product | | | | | | |
| | 7/16/2004 | Sunrise Energy Inc dba Blue Marlin Energy Inc; Shea C. Silva; Donald Lakin | S-04113 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040716SunriseEnergySilva.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 7/14/2004 | Universal Luxury Coaches LLC; Scott W. Spor; Steven G Ross | S-03153 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040714UniversalLuxuryCoaches.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 7/2/2004 | Global Strategies dba Goldman Quintero & Associates; Joshua Adams; Paul Goldberg | S-04140 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040702GlobalStrategiesAdams.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 7/2/2004 | Manhattan Gold Inc.; James Maceo Ramey; Yashare K. Ramey | S-04130 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040702ManhattanGoldRamey.pdf | Unregistered Product, Fraud | | | | | | |
| | 6/23/2004 | Clare William Willman | S-04147 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040623Willman.pdf | Prohibited Practice | | | | | | |
| | 6/23/2004 | Edward T Jones | S-04020 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040623Jones.pdf | Fraud | | | | | | |
| | 6/23/2004 | Spellbinder Funding LLC; Dennis C. Healey; Ron Carter | S-03266 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040623SpellbinderFunding.pdf | Unregistered Person, Fraud | | | | | | |
| | 6/10/2004 | National Financial Solutions LLC fka Credit Check LLC; Steven A. Collins | S-03284 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040610NationalFinancial.pdf | Fraud | | | | | | |
| | 6/10/2004 | Thomas W. Schmitz | S-04078 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040610Schmitz.pdf | Unregistered Person | | | | | | |
| | 6/10/2004 | Veriquest, Inc.; Veriquest Marketing Strategies LLC; Cascade Funds Administration Inc.; Diversified Assets LLC; Eric A. Marchand; Elizabeth Bozeman; Mark Bozeman; George F. Holmes; Howard W. Kratz; Erick J. Alexander; Linda Oiknine | S-03069 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040610VeriquestInc.pdf | Unregistered Person, Unregistered Product, Fraud | | Erick J. Alexander #2110265 | | | | |
| | 6/10/2004 | Windsor Forex Trading Corp aka Windsor Trading Group; Anthony M. Frisone; Francis Anthony Toscano aka Frank Toscano | S-03245 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040610WindsorForexTrading.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 5/21/2004 | Richard D. Strong; Strong Capital Management, Inc.; Strong Investor Services, Inc.; Strong Investments, Inc.; Thomas A. Hooker; Anthony J. D'Amato | S-03209 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040521StrongStrongCapital.pdf | Prohibited Practice | | Richard Strong #1465578; Strong Capital Management #106638; Strong Investments #15658; Hooker #1646151; D'Amato #1974266 | | | | |
| | 5/3/2004 | Alpine Pictures, Inc.; Advantage Music LLC; The Bridge Group; Roland Carroll; Ryan J. Carroll; Rene Torres; James A. Jones; Donald Osborne; Mark Hart; Charles Overton | S-04082 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040503AlpinePictures.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 5/3/2004 | Carey Financial Consultants, Inc.; Smokeforless, Inc.; James H. Hall III; Jerald R. Carey | S-02097 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040503CareyFinancialHall.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 5/3/2004 | John P. Parker | S-04108 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040503Parker.pdf | Prohibited Practice | | #2463577 | | | | |
| | 4/21/2004 | Wellspring Capital Group, Inc.; Blake Aaron Prater | S-03247 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040421WellspringCapitalGroup.pdf | Unregistered Product | | | | | | |
| | 4/7/2004 | Douglas D. Hakes | S-04100 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040407Hakes.pdf | Prohibited Practice | | #4692639 | | | | |
| | 3/16/2004 | Family Heritage Estate Portfolio, Inc.; William L. Atkinson, III; James Robert Walker; Linda Maloney; Melinda Gerrell; Patricia Diaz; Cynthia McCarrol; Kathleen Mack; Douglas M. Pickar; John Wustner | S-02260 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040316FamilyHeritageEstate.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 3/16/2004 | Ronald D. Johnson; James P. Seifrid; David J. Neary; Douglas M. Pickar | S-03150 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040316JohnsonSeifridNeary.pdf | Unregistered Person, Unregistered Product, Fraud | | Pickar #4518984 | | | | |
| | 3/8/2004 | Ricky T. Driese | S-03169 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040308Driese.pdf | Fraud | | | | | | |
| | 2/11/2004 | Friendship Financial Services, LTD; Ying Yang | S-03093 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040211FriendshipFinancial.pdf | Unregistered Product | | | | | | |
| | 2/11/2004 | Greyfield Capital aka Greyfield Consultants, Inc.; James R. "Bob" Shaw; Robert W. Christian, Jr.; Bailey E. Spears Jr. | S-03049 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040211GreyfieldCapitalShaw.pdf | Unregistered Person, Unregistered Product | | Shaw #1547959; Christian #1792351; Spears #1547960 | | | | |
| | 2/11/2004 | Leon J. Sabean dba World Financial; Donald M. Martens, DDS; Jeffrey Martens | S-03028 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040211SabeanWorldFinancial.pdf | Unregistered Person, Unregistered Product, Fraud | | Sabean #1830989 | | | | |
| | 2/11/2004 | Payment Works, Inc. aka PaymentWorks; Danny Ray Digman Sr.; Lori Lea Burrow; James A. Schibly | S-03272 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040211PaymentWorksDigman.pdf | Unregistered Person, Unregistered Product, Fraud | | Digman #1101997 | | | | |
| | 2/4/2004 | Combined Resource Systems, Inc.; Barry Wise; Gary Cesaro; Scott Alan Haley aka Alan Stewart; Tammy Powers; Scott MacGregor | S-03265 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040204CombinedResourceWise.pdf | Unregistered Person, Unregistered Product, Fraud | | Barry Wise #11014885 | | | | |
| | 2/4/2004 | Daniel C. Lancer | S-03269 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040204Lancer.pdf | Prohibited Practice | | #2589449 | | | | |
| | 2/4/2004 | First Financial Holdings Inc.; Abraham Cohen; Steven Cordell | S-04012 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040204FirstFinancialHoldings.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 2/4/2004 | Lasantha Weeri Fernando aka Fernando Lasantha | S-03040 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040204FernandoLasantha.pdf | Unregistered Product | | | | | | |
| | 1/16/2004 | ITradeNow.com Corp. | S-03136 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040116ITradenowcom.pdf | Unregistered Person | | | | | | |
| | 1/8/2004 | I-TradeDirect.Com Corp. | S-03165 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040108ITradeDirect.pdf | Prohibited Practice | | #18281 | | | | |
| | 1/8/2004 | Transcontinental Ltd.; Janice Collins | S-02162 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2004/20040108TranscontinentalLtd.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 12/26/2003 | Yaw Asamoahduodu | S-03289 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031226Asamoahduodu.pdf | Prohibited Practice | | Yaw Asamoahduodu #3268768 | | | | |
| | 12/26/2003 | Daniel P. Matty | S-03288 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031226Matty.pdf | Prohibited Practice | | Daniel P. Matty #4675040 | | | | |
| | 12/23/2003 | Rock J. Eiden | S-01134 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031223Eiden.pdf | Prohibited Practice | | Rock J. Eiden #3005492 | | | | |
| | 12/2/2003 | B&B Worm Farms, Inc.; Gregory Miles Bradley; Lynn M. Bradley; James Kent Busch; David James Desormeau; Jose Alfred Jimenez aka Joe Alfred; Lawrence Lee "Larry" Bateman, Sr. | S-03072 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031202BBWormFarmsBradley.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 12/2/2003 | Scott Kinderman | S-03089 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031202Kinderman.pdf | Prohibited Practice | | Scott Kinderman #2103939 | | | | |
| | 11/21/2003 | Charles R. VanderLinden | S-03257 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031121VanderLinden.pdf | Prohibited Practice | | Charles R. Vanderlinden #4658188 | | | | |
| | 11/11/2003 | Cashier Inc.; Tom Graves | S-03132 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031111CashierGraves.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 11/11/2003 | Nustart Nutritional, Inc.; Rick Johnson | S-03117 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031111NustartNutritional.pdf | Unregistered Product | | | | | | |
| | 11/11/2003 | Roger E. Schmidt | S-03008 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031111Schmidt.pdf | Prohibited Practice | | Roger E. Schmidt #414046 | | | | |
| | 11/11/2003 | Digital Information and Voice Access, Inc.; Ptak Financial Planning Group, Inc.; Joe Harold Glover; Paul O. Ptak | S-03126 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031111DigitalInformation.pdf | Unregistered Person | | Paul O. Ptak #186673 | | | | |
| | 11/11/2003 | Fountain Capital Management, LLC; Donald R. Abernathy; David A. Fazio; Richard Fandrich | S-03188 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031111FountainCapital.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 11/7/2003 | Lisa K. McGibbon | S-03250 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031107McGibbon.pdf | Prohibited Practice | | Lisa K. McGibbon #4563783 | | | | |
| | 11/7/2003 | Mark L. Pedersen | S-03251 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031107Pedersen.pdf | Prohibited Practice | | Mark L. Pedersen #2814317 | | | | |
| | 11/6/2003 | GunnAllen Financial, Inc. | S-03249 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031106GunnAllenFinancial.pdf | None | | GullAllen Financial, Inc. #17609 | | | | |
| | 11/4/2003 | GunnAllen Financial, Inc.; Errol Vaughn Wilson; Brett A. Kantor; Pierre J. Carrenard | S-03249 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031104GunnAllenFinancial.pdf | Unregistered Person, Prohibited Practice | | GullAllen Financial, Inc. #17609; Errol Vaugh Wilson #2874199; Brett A. Kantor #3000357; Pierre J. Carrenard #3112553 | | | | |
| | 10/29/2003 | Indianapolis Securities, Inc. | S-03214 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031029IndianapolisSecurities.pdf | Prohibited Practice | | Indianapolis Securities, Inc. #10399 | | | | |
| | 10/24/2003 | Daniel J. Carlson | S-03236 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031024Carlson.pdf | Prohibited Practice | | Daniel J. Carlson #4585818 | | | | |
| | 10/24/2003 | Citigroup Global Markets Inc. fka Salomon Smith Barney Inc. | S-03107 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031024CitigroupGlobalMarkets.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Citigroup Global Markets Inc. #7059 | $2,479,663 | | | |
| | 10/23/2003 | Lehman Brothers Inc. | S-03103 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031023LehmanBrothers.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Lehman Brothers #7506 | $413,277 | | | |
| | 10/16/2003 | Kevin Felix McGuire | S-03194 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031016McGuire.pdf | Fraud | | | | | | |
| | 10/15/2003 | Morgan Stanley & Co. Incorporated | S-03106 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031015MorganStanleyCo.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Morgan Stanley Co. Incorporated #149777 | $413,277 | | | |
| | 10/9/2003 | J.P. Morgan Securities Inc. | S-03104 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031009JPMorganSecurities.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | J.P. Morgan Securities, Inc. #79 | $413,277 | | | |
| | 10/9/2003 | UBS Warburg, LLC; UBS PaineWebber, Inc. | S-03108 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031009UBSWarburg.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | UBS Warburg, LLC #7654; UBS PaineWebber Inc. #7654 | $413,277 | | | |
| | 10/9/2003 | U.S. Bancorp Piper Jaffray Inc. | S-03099 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031009USBancorpPiperJaffray.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | US Bancorp Piper Jaffray Inc. #665 | $206,638 | | | |
| | 10/3/2003 | Bear, Stearns & Co. Inc. | S-03100 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20031003BearStearnsCo.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Bear, Stearns & Co. #79 | $413,277 | | | |
| | 9/26/2003 | Lawton Coonts | S-01222 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030926Coonts.pdf | Unregistered Product | | | | | | |
| | 9/24/2003 | Credit Suisse First Boston, LLC fka Credit Suisse First Boston Corporation | S-03101 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030924CreditSuisseFirstBoston.pdf | Prohibited Practice | | Credit Suisse First Boston, LLC #816 | | | | |
| | 9/24/2003 | Goldman, Sachs & Co. | S-03102 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030924GoldmanSachsCo.pdf | Prohibited Practice | Civil Penalty / Administrative Assessment | Goldman, Sachs & Co. #361 | $413,277 | | | |
| | 9/5/2003 | Michael F. Ajango | S-01143 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030905Ajango.pdf | Prohibited Practice | | Michael F. Ajango #1273248 | | | | |
| | 9/5/2003 | American Equity Group, LLC; Jason Williams; Bob Thompson; Samuel J. Greenblum; Robert Figaro | S-03088 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030905AmericanEquityGroup.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 9/5/2003 | Charles L. Burton, Jr. | S-99301 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030905Burton.pdf | Unregistered Product | | Charles L. Burton #836930 | | | | |
| | 9/5/2003 | ITRADEnow.com Corp; Lazar A. Kauderer | S-03136 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030905ITRADEnowKauderer.pdf | Fraud | | Lazar A. Kauderer #42920055 | | | | |
| | 9/5/2003 | Daniel D. LaCount | S-02272 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030905LaCount.pdf | Fraud | | | | | | |
| | 9/5/2003 | Lotus Management; Larry Hall aka Bud Riley; Lauren R. Pool; Sara Heesaker; Kay Marie Geurts | S-03154 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030905LotusManagementHall.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 9/5/2003 | Money Branch Coal Company, Inc.; Darrell Keith Williams | S-02279 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030905MoneyBranchCoalCompany.pdf | Unregistered Product | | | | | | |
| | 9/5/2003 | Pelican Bay Holdings, Inc.; Stephen F. Robson; Marc W. Robson; Bob N. Ezelle | S-03127 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030905PelicanBayHoldings.pdf | Unregistered Product | | | | | | |
| | 9/5/2003 | Thermax of Wisconsin; Tommy F. Johnson | S-02187 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030905ThermaxWisconsin.pdf | Unregistered Product, Fraud | | | | | | |
| | 9/5/2003 | Michael E. Verity | S-02053 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030905Verity.pdf | Unregistered Person, Unregistered Product, Fraud | | Michael E. Verity #1660250 | | | | |
| | 8/8/2003 | Benjamin J. Hoepner | S-03192 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030808Hoepner.pdf | Prohibited Practice | | Benjamin J. Hoepner #4624966 | | | | |
| | 8/5/2003 | Champion Drilling, Inc.; Trenton J. Davis; Cotton T. Graham; Rick Herrera; Randy Stevens | S-03017 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030805ChampionDrillingDavis.pdf | Unregistered Person, Unregistered Product, Fraud | | Trenton J. Davis #4293936; Cotton T. Graham #4293909 | | | | |
| | 8/5/2003 | Mark F. Mudgett; Ross/Pennywise Investment Club | S-03092 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030805MudgettRossPennywise.pdf | Unregistered Product, Fraud | | | | | | |
| | 8/5/2003 | On Systems Technology, LLC; Telecom Advisory Services, Inc.; Leon D. Swichkow; Marc David Shiner; Timothy A. Wetherald; Frank Southerland, Jr. | S-02256 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030805OnSystemsTechnology.pdf | Unregistered Person, Unregistered Product, Fraud | | Leon D. Swichkow #8978459; Mark D. Shiner #422215; Frank Southerland, Jr. #9989655 | | | | |
| | 8/5/2003 | Sofnet, Inc.; Raymond Talarico; Glenn Jackson | S-02188 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030805SofnetTalaricoJackson.pdf | Unregistered Product | | | | | | |
| | 8/5/2003 | Miro Zecevic; Garr Winters; Andrea Zecevic; Teresa Rubio; Paul Gold; Cash Now-USA.com, Inc. | S-03051 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030805ZecevicWintersZecevic.pdf | Unregistered Product | | | | | | |
| | 7/17/2003 | ARBTEC Industries, Inc.; ARBCO Electronics, Inc.; Labco Research Co.; Robert B. Widner; Robert L. Widner; Edward D. Widner | S-03090 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030717ARBTECIndustriesARBCO.pdf | Unregistered Product, Fraud | | | | | | |
| | 7/17/2003 | Bytesize Computer, Inc.; Glynn W. DeLange | S-03020 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030717BytesizeComputers.pdf | Fraud | | | | | | |
| | 7/17/2003 | Integrated Cash Systems, Inc.; Douglas G. Cuthbert; Steven C. Sacco; Kevin J. Falvey; Clyde E. Morgan | S-03095 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030717IntegratedCashSystems.pdf | Unregistered Person, Unregistered Product, Fraud | | Douglas G. Cuthbert #1424629; Steven C. Sacco #2071566; Clyde E. Morgan #601387 | | | | |
| | 7/17/2003 | Kevin M. Jereczek; Allen Nimmer; Louis H. LaCount; Gates, Paul & Lear, L.L.C. | S-98109 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030717JereczekNimmerLaCount.pdf | Unregistered Product, Fraud | | | | | | |
| | 7/3/2003 | Rose A. Buteyn | S-03166 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030703Buteyn.pdf | Prohibited Practice | | Rose A. Buteyn #4588081 | | | | |
| | 6/18/2003 | Aimee M. Kienast | S-03155 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030618Kienast.pdf | Prohibited Practice | | Aimee M. Kienast #4334317 | | | | |
| | 6/13/2003 | World Energy Corporation, Ltd.; Victor G. Ellis aka William L. Campbell aka Bud Campbell | S-03115 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030613WorldEnergyCorporation.pdf | Unregistered Product, Fraud | | | | | | |
| | 6/11/2003 | David D. Bartz | S-03142 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030611Bartz.pdf | Prohibited Practice | | David D. Bartz #4417805 | | | | |
| | 5/20/2003 | John T. Ragnoni | S-03120 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030520Ragnoni.pdf | Prohibited Practice | | John T. Ragnoni #4556739 | | | | |
| | 5/13/2003 | Thomas L. Anderson; Barbara E. Anderson; Anthony Heppner; Skyward Group | S-01059 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030513Anderson.pdf | Unregistered Product, Fraud | | | | | | |
| | 5/2/2003 | Native American Insurance Company, Inc.; Native American Mutual Insurance Company; Daniel D. Hawk | S-03038 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030502NativeAmerican.pdf | Unregistered Product, Fraud | | | | | | |
| | 4/24/2003 | Chestnut Petroleum, Inc.; Mark A. Plummer; Mark J. Solomon; Thomas E. Tapia | S-02074 (EX) | Settlement Agreement | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030424ChestnutPetroleum.pdf | None | | | | | | |
| | 4/11/2003 | Great American Hotels & Resorts, Inc.; Edward L. Bates; Bailey E. Spears, Jr. | S-00209 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030411GreatAmericanHotels.pdf | Unregistered Person, Unregistered Product, Fraud | | Edward L. Bates #1815183; Bailey E. Spears, Jr. #1547960 | | | | |
| | 4/4/2003 | Yucatan Resorts, S.A. de C.V.; Michael E. Kelly | S-00031 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030404YucatanResortsKelly.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 3/12/2003 | Cardiovascular Sciences, Inc.; Neal C. Harper; Scott Q. Dart; Frankie Gazard | S-01272 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030312CardiovascularSciences.pdf | Unregistered Person, Fraud | | Neal C. Harper #1321013 | | | | |
| | 3/12/2003 | First Optimum Group, Inc; Michael Kapelushnik aka Michael Kapel; Sean Anthony | S-99228 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030312FirstOptimumGroup.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 3/12/2003 | Terence L. O'Brien | S-00166 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030312OBrien.pdf | Prohibited Practice | | Terence L. O'Brien #1363792 | | | | |
| | 3/12/2003 | Paul J. Polaski | S-00266 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030312Polaski.pdf | Unregistered Product | | | | | | |
| | 3/12/2003 | Sierra Energy Partners; James W. Brake; Amil Imani | S-02038 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030312SierraEnergyPartners.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 3/3/2003 | Land Rush Entertainment, LLC; Nicole M. Hahn aka Nicole M. Mazza; Ian Steven Hahn aka Steve Hahn; Max N. Bacal | S-02207 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030303LandRushEntertainment.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 3/3/2003 | RBID.com, Inc.; Klaus Bartak; Horst P. Danning; Fred Wallace; Emilio Francisco; Debra Martinez; Raymond L. Leonard, Jr. | S-02197 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030303RBIDBartakDanning.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 3/3/2003 | Peter F. Wahlen | S-02279 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030303Wahlen.pdf | Fraud | | | | | | |
| | 2/20/2003 | Peter W. Brey | S-00282 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030220Brey.pdf | Prohibited Practice | | Peter W. Brey #1017881 | | | | |
| | 2/14/2003 | Biogenetic Research, Inc.; Richard E. Buffington III; Gina R. Becker | S-00256 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030214BiogeneticResearch.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 2/14/2003 | Patterson Securities, Inc. | S-03029 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030214PattersonSecurities.pdf | Prohibited Practice | | Patterson Securities, Inc. #122015 | | | | |
| | 2/10/2003 | M.B. Holdings USA, Inc., Khurram Tanwir; Jeffrey Ross; OnCall Contractor.com, Inc. | S-02232 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030210MBHoldingsUSATanwir.pdf | Unregistered Person, Unregistered Product, Fraud | | Khurram Tanwir #2778080 | | | | |
| | 2/7/2003 | Berry Resources, Inc; Ralph O. Berry III; Jeremiah Dillion; Jason M. Uhles | S-02129 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030207BerryResourcesBerry.pdf | Unregistered Person, Unregistered Product | | Ralph O. Berry III #1582952 | | | | |
| | 2/7/2003 | I.O.P. Digital Software, Ltd.; Alexander Freyman; Alan Fisher | S-01154 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030207IOPDigitalSoftware.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 2/7/2003 | Liberte Capital Group, LLC; J. Richard Jamieson, Jr.; Viatical Escrow Services, LLC; James A. Capwill | S-99106 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030207LiberteCapitalGroup.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 2/7/2003 | RODI Power Systems, Inc.; Byron R. Spain; Gwendolyn S. Spain; Manufacturers Asset Group, LLC; Raymond L. Leonard, Jr.; Glenda S. Brannon; Lawrence Anderson aka Ron Lawrence; James "Jim" Bradford | S-02019 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030207RODIPowerSystemsSpain.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | Leonard #2579082; Bradford #2329867 | | | | |
| | 2/5/2003 | Beneficial Assistance aka Beneficial Assurance, Ltd | S-01297 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030205BeneficialAssistance.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 2/5/2003 | Cora M. Buckowich | S-02270 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030205Buckowich.pdf | Unregistered Person, Fraud | | | | | | |
| | 2/5/2003 | Francis P. Havey; Havey Fund Raising Management, Inc. | S-98104 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030205HaveyHaveyFundRaising.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 2/5/2003 | Ying Xiong | S-02224 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030205Xiong.pdf | Fraud | | | | | | |
| | 2/4/2003 | Douglas M. Bray; Richard D. Hanzlik; Charles L. Ouimette; Keith J. Vandell | S-03022 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030204BrayHanzlikOuimette.pdf | Prohibited Practice | | Douglas M. Bray #2907254; Richard D. Hanzlik #2164268; Charles L. Ouimette #2170929; Keith J. Vandell #3062972; | | | | |
| | 1/22/2003 | Joseph DiMarzo | S-99184 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030122DiMarzo.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 1/7/2003 | Atlantic Pacific Capital Partners, LLC | S-02269 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030107AtlanticPacificCapital.pdf | Prohibited Practice | | Atlantic Pacific Capital Partners, LLC #120968 | | | | |
| | 1/7/2003 | Donald W. Hawkins | S-02201 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030107Hawkins.pdf | Fraud | | | | | | |
| | 1/7/2003 | Information Brokerage Systems, Inc.; Michael W. Edgecomb | S-02203 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030107InformationBrokerage.pdf | Unregistered Product | | Michael W. Edgecomb #1865682 | | | | |
| | 1/7/2003 | Martin R. Mincer; Jeffrey C. Hoyt; Ronald B. Stogner; John Rawlins; Highbury Capital | S-99184 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030107MincerHoytStogner.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 1/7/2003 | Gerald J. Sanderfoot | S-99133 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2003/20030107Sanderfoot.pdf | Fraud | | | | | | |
| | 12/20/2002 | TAG Transport, Inc.; Robert Westly Camacho | S-02206 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021220TAGTransportCamacho.pdf | Fraud | | | | | | |
| | 12/13/2002 | Eastern Energy Corporation; William Champion; Donald Bradley Shultz; Mark Kroman | S-02179 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021213EasternEnergy.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 12/10/2002 | Hillbilly Oil Exploration, LLC; US Petroleum LLC; Donald Baker; Jerry Garland; Karla K. Sutton; Paul McHugh; Donna M. Baker | S-02111 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021210HillbillyOil.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 12/10/2002 | Mid-Ohio Securities Corp. | S-02242 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021210MidOhioSecuritiesCorp.pdf | Prohibited Practice | | #6634 | | | | |
| | 12/10/2002 | Jack Homer Paulsen; Harold Lee Paulsen; Chad Irving Mishleau; Neil Irving Mishleau; North American Resources, Inc. | S-01063 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021210PaulsenPaulsenMishleau.pdf | Unregistered Product, Fraud | | | | | | |
| | 11/29/2002 | Platinum Investment Corp. | S-02216 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021129PlatinumInvestmentCorp.pdf | Prohibited Practice | | #107211 | | | | |
| | 11/27/2002 | Vikram V. Naik | S-02150 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021127Naik.pdf | Prohibited Practice | | #3152134 | | | | |
| | 11/5/2002 | John M. Wermuth | S-00285 (EX) | Settlement Agreement | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021105Wermuth.PDF | Unregistered Person, Unregistered Product | | #2280097 | | | | |
| | 10/22/2002 | Accelerated Benefits Corp.; Jess LaMonda | S-99170 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021022AcceleratedBenefits.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 10/22/2002 | Hans S. Wegesser | S-02151 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021022Wegesser.pdf | Prohibited Practice | | #3060951 | | | | |
| | 10/17/2002 | Med-Link International, Inc.; Michael F. DiGiacco; Dominick A. Rossillo; Erik Ulvik; Chris Muncy; Brent Allen | S-02050 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021017MedLinkInternational.pdf | Unregistered Person, Unregistered Product, Fraud | | Michael F. DiGiacco #1780407; Dominick A. Rossillo #3045250 | | | | |
| | 10/15/2002 | First Harvest (Texas), Inc.; Fazil Taleon; Sandra S. Sullivan | S-00158 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021015FirstHarvestTexas.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 10/15/2002 | William H. Trucks | S-01299 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021015Trucks.pdf | Fraud | | | | | | |
| | 10/14/2002 | Blue Star Entertainment LLC; Blue Star Entertainment Unit Investment Trust; Howard S. Flamm; Steven Chase; Keith Weiner | S-02069 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021014BlueStarEntertainment.pdf | Unregistered Person, Unregistered Product, Fraud | | #2263204 | | | | |
| | 10/14/2002 | Denali International Company; William T. Bradley | S-01258 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021014DenaliInternational.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 10/14/2002 | Lawrence S. Yanez; Creative Business Solutions, Inc. | S-02003 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021014YanezCreativeBusiness.pdf | Unregistered Person, Unregistered Product, Fraud | | #2121816 | | | | |
| | 10/11/2002 | Fonefriend, Inc.; CIC Productions, Inc.; Gary A. Rasmussen; William B. Krusheski; Francois Van Der Hoeven; Thomas Kelly; John D. Wimsatt; Cary D. Arnold; Steele Shannon | S-01251 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021011FonefriendCIC.pdf | Unregistered Person, Unregistered Product | | #371224 | | | | |
| | 10/8/2002 | 711.TV Incorporated; Liam Hutchinson; Brian J. Marcus; Andre Bishop | S-02051 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021008711TVHutchinsonMarcus.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 10/7/2002 | Granite Financial Group Inc. | S-02183 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021007GraniteFinancialGroup.pdf | Prohibited Practice | | #44732 | | | | |
| | 10/7/2002 | The Wolfcamp Fund, LLP; Leland Energy, Inc.; Stephen M. Thompson; Robert D. Milligan; Michael Ross | S-02100 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021007WolfcampFundLeland.pdf | Unregistered Person, Fraud | | | | | | |
| | 10/4/2002 | PJR Management, Inc.; Jerry Mehring | S-02085 (FX) | Settlement Agreement | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20021004PJRManagementMehring.PDF | Fraud | | | | | | |
| | 9/23/2002 | Prentice Securities, Inc.; Louis M. Kornman | S-99290 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020923PrenticeSecurities.pdf | Unregistered Person, Prohibited Practice | | Prentice Securities, Inc. #22897; Louis M. Kornman #274072 | | | | |
| | 9/20/2002 | Torosay Properties, Inc.; Torosay Golf Company; James G. Dudgeon | S-01057 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020920TorosayProperties.pdf | Fraud | | | | | | |
| | 9/19/2002 | Mark B. Sirianni | S-00230 (LX) | Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020919Sirianni.PDF | Prohibited Practice | | #1185083 | | | | |
| | 9/11/2002 | Keyway Operating Company; Kevin M. Key; Ron E. Logan; William D. Lewis | S-01234 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020911KeywayOperatingCompany.pdf | Unregistered Person, Unregistered Product | | #2178796 | | | | |
| | 8/26/2002 | Kuhns Brothers Securities Corp. | S-02169 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020826KuhnsBrothers.pdf | Prohibited Practice | | #47331 | | | | |
| | 8/23/2002 | Shirley A. Andersen | S-99150 (LX) | Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020823Andersen.PDF | Prohibited Practice | | #2425960 | | | | |
| | 8/19/2002 | Gregory A. Anderson | S-00262 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020819Anderson.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 8/19/2002 | Edwards Development Corp. dba Edwards Petroleum; Edwards Exploration Corp., LLC; Spencer E. Edwards; Doug Cooper; Coley W. Chaudoin | S-01232 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020819EdwardsDevelopment.PDF | Unregistered Person, Unregistered Product | | | | | | |
| | 8/19/2002 | Vito R. Lomonaco | S-00001 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020819Lomonaco.pdf | Unregistered Product | | Vito R. Lomonaco #2159938; Ruslan B. "Russell" Rapoport #2265953 | | | | |
| | 8/13/2002 | Beacon Hill Financial Corporation | S-02157 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020813BeaconHillFinancial.pdf | Prohibited Practice | | #14850 | | | | |
| | 8/9/2002 | AGC Capital Corporation; Robert S. Adams; Joseph E. Gardner | S-99260 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020809AGCCapitalAdamsGardner.pdf | Unregistered Person, Unregistered Product | | #2608774 | | | | |
| | 8/6/2002 | The Sci-Fi Megaplex, Inc. dba The Original Sci-Fi Café & Emporium, Inc.; Glenn K. Jackson; Raymond J. Talarico; Gerald J. Stock aka Jay Stock | S-00262 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020806SciFiMegaplexOriginal.pdf | Unregistered Person, Prohibited Practice | | #2369601 | | | | |
| | 8/1/2002 | Russo Securities, Inc.; William G. Brown; Joseph DePergola | S-00180 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020801RussoSecuritiesBrown.pdf | Unregistered Person, Prohibited Practice | | Russo Securities, Inc. #14425; William G. Brown #33153; Joseph A. DePergola #2608774 | | | | |
| | 7/30/2002 | Dale R. Machalleck | S-00280 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020730Machalleck.pdf | Unregistered Product, Fraud | | | | | | |
| | 7/25/2002 | Merrill Lynch, Pierce, Fenner & Smith, Inc. | S-02106 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020725MerrillLynchPierce.PDF | Prohibited Practice | | #7691 | | | | |
| | 7/22/2002 | Michael J. Marshall | S-01115 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020722Marshall.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 7/19/2002 | George H. James | S-02143 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020719James.pdf | Prohibited Practice | | #257031 | | | | |
| | 7/10/2002 | Inrock, Ltd; Carole A. Gavic; Charles Harlon Gavic; Mark H. Gavic; Kenneth Baylor | S-01198 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020710InrockGavicGavicGavic.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 7/10/2002 | Barrie J. Rush | S-01076 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020710Rush.pdf | Prohibited Practice | | #407369 | | | | |
| | 7/2/2002 | Bruce England | S-01161 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020702England.pdf | Prohibited Practice | | #201257 | | | | |
| | 7/1/2002 | Judy Koltun Jungen aka Judy Jungen aka Judy Koltun | S-02027 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020701JungenJungenKoltun.pdf | Unregistered Product, Prohibited Practice | | #1020789 | | | | |
| | 6/27/2002 | New Millennium Management, Inc.; Wendell S. Gates, Jr.; Peter J. Zaccagnino III; Bernard Peterson | S-02084 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020627NewMillennium.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 6/24/2002 | John Huette | S-02098 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020624Huette.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 6/21/2002 | Charles R. Kearns; Steven J. Reimer; Thomas J. Krueger; Brian G. Sumption; Gary E. Zinck | S-00120 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020621KearnsReimerKrueger.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | Steven J. Reimer #1310818; Thomas J. Krueger #1341224; Brian G. Sumption #1202243; Gary E. Zinck #2377670 | | | | |
| | 6/21/2002 | International Funding Association; John S. Weston | S-02078 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020621InternationalFunding.pdf | Unregistered Product, Fraud | | | | | | |
| | 6/21/2002 | James T. O'Connor | S-01037 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020621OConnor.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 6/20/2002 | William L. Boettcher | S-01120 (LX) | Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020620Boettcher.PDF | Prohibited Practice | | #24768 | | | | |
| | 6/5/2002 | Top Rank Business Associates, Inc.; Israel Fagbemi | S-02077 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020605TopRankBusiness.pdf | Unregistered Product | | | | | | |
| | 5/24/2002 | The Gaming Factory, Inc.; Richard Onorato; Shannon T. Diem; James W. Grant aka Jim Grant; Bill Wollman | S-01278 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020524GamingFactoryOnorato.pdf | Unregistered Person, Unregistered Product, Fraud | | Shannon T. Diem #2603014; James W. "Jim" Grant #1344123 | | | | |
| | 5/24/2002 | John R. Gilling | S-99308 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020524Gilling.pdf | Unregistered Product, Prohibited Practice | | #724969 | | | | |
| | 5/24/2002 | Peter C. Hansen, Jr. | S-98253 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020524Hansen.pdf | Unregistered Person, Unregistered Product | | #2718769 | | | | |
| | 5/24/2002 | Roger A. Mathison | S-01058 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020524Mathison.pdf | Unregistered Person, Unregistered Product | | #2210646 | | | | |
| | 5/17/2002 | Health Maintenance Centers, Inc.; Kevin L. Lawrence; Kevin James McCarthy; Thomas J. Krueger | S-01210 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020517HealthMaintenance.pdf | Unregistered Product, Prohibited Practice, Fraud | | Kevin L. Lawrence #2023445; Thomas J. Krueger #1341224 | | | | |
| | 5/14/2002 | Mountain Energy Corporation; Michael L. Eichenberg; Hank Ross | S-00200 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020514MountainEnergy.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 5/14/2002 | Offshore Marketing Alliance; Warren English | S-01071 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020514OffshoreMarketing.pdf | Unregistered Product | | | | | | |
| | 5/14/2002 | Zeu Vang aka Hmongxer Varh | S-01027 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020514VangVarh.pdf | Unregistered Person, Unregistered Product | | #3056275 | | | | |
| | 4/19/2002 | Scott D. Fish | S-02041 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020419Fish.pdf | Fraud | | | | | | |
| | 4/17/2002 | HLH Securities, Inc. | S-02071 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020417HLHSecurities.pdf | Prohibited Practice | | #23326 | | | | |
| | 4/17/2002 | International Securities Corporation | S-02070 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020417International.pdf | Prohibited Practice | | #36023 | | | | |
| | 4/11/2002 | CostaGold.com; Lawton Coonts | S-01222 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020411CostaGoldCoonts.pdf | Unregistered Product | | | | | | |
| | 4/5/2002 | Phoenix Exploration LLC; Sherman Haycraft; Taylor L Brannon | S-01281 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020405PhoenixExploration.pdf | Unregistered Product | | #2997939 | | | | |
| | 4/4/2002 | Rural Banc, Corp.; Jerry R. Brovold | S-01304 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020404RuralBancBrovold.pdf | Unregistered Product, Fraud | | | | | | |
| | 4/4/2002 | Vanteq Securities Inc. | S-02054 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020404VanteqSecurities.pdf | Prohibited Practice | | #109672 | | | | |
| | 4/1/2002 | Basin Oil & Gas Corporation; Thomas R. Watkins; Thomas Belding; Kirk Turner | S-01125 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020401BasinOilGasWatkins.pdf | Unregistered Product, Fraud | | | | | | |
| | 4/1/2002 | Pinpoint Petroleum, LLC; Michael J. Lores, Sr.; Dan Volf; Bradley Joseph Byram | S-01298 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020401PinpointPetroleumLores.pdf | Unregistered Person, Unregistered Product | | Michael J. Lores, Sr. #2927809; Dan Volf #3209747 | | | | |
| | 3/26/2002 | Intercontinental Travel Services, Inc.; Mark A. Thomas; Todd W. Hanson | S-01265 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020326IntercontinentalTravel.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 3/25/2002 | C & R Marketing; Robert D. Lanning; Robyn I. Sachs aka Robyn I. Millman aka Robin I. Sachs aka Robin I Millman | S-01273 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020325CRMarketingLanning.pdf | Unregistered Person, Fraud | | | | | | |
| | 3/11/2002 | Blackwolf Holdings LLC; Gerald J. Stock aka Jay Stock; Kevin W. Lynds | S-02002 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020311BlackwolfHoldingsStock.pdf | Unregistered Product | | Gerald J. "Jay" Stock #2369601; Kevin W. Lynds #1744609 | | | | |
| | 3/6/2002 | Anthony J. Fricano | S-99138 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020306Fricano.pdf | Unregistered Product, Prohibited Practice | | #1161253 | | | | |
| | 2/28/2002 | Clare O. Carpenter | S-00272 (EX) | Final Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020228Carpenter.PDF | Unregistered Product, Prohibited Practice | | #1098201 | | | | |
| | 2/27/2002 | E.A.S., Inc.; John Nichols; Mike Carr | S-01230 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020227EASNicholsCarr.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 2/27/2002 | Lorraine H. Geiss | S-01210 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020227Geiss.pdf | Unregistered Product, Prohibited Practice | | #1982429 | | | | |
| | 2/27/2002 | Maven Capital Corporation; Rodd Buckle | S-99080 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020227MavenCapital.pdf | Unregistered Product | | | | | | |
| | 2/27/2002 | Oasis Club | S-01244 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020227OasisClub.pdf | Unregistered Product | | | | | | |
| | 2/27/2002 | Resource Development International LLC; David E. Edwards | S-02002 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020227ResourceDevelopment.pdf | Unregistered Product | | #2200092 | | | | |
| | 2/27/2002 | Shamrock Partners Ltd. | S-02030 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020227ShamrockPartners.pdf | Prohibited Practice | | #23955 | | | | |
| | 2/15/2002 | International Floral Network, Inc.; Gina Quah Hansen; Wayne Keith Hansen; Donald Cuming; Al Hague aka Bill Wilson | S-01183 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020215InternationalFloral.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 2/15/2002 | Montego Bay, Ltd.; Kenneth M. Bauer; James D. Heim; Timothy M. Nispel | S-01061 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020215MontegoBayBauerHeim.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 2/5/2002 | Position Trading.Net, LLC; Thomas K. Van Ahn | S-02022 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020205PositionTradingAhn.pdf | Unregistered Person | | #2117531 | | | | |
| | 2/5/2002 | Mannon L. Walters, Inc.; Mannon L. Walters, Jr.; James Brown; Betty Trabant; Tonya R. Mead | S-01065 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020205WaltersWaltersBrown.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 1/25/2002 | Ultimate Security Systems Corporation; DDR Consulting, Inc.; James K. Cooper; Michael P. Rasmovich; Douglas D. Rucker; Patrick H. Edwards; Jeff Carter | S-00196 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020125UltimateSecurity.PDF | Unregistered Person, Unregistered Product | | #3015548 | | | | |
| | 1/17/2002 | AES Offshore Inc.; Offshore Profit Syndications; David G. Sewall; Jaime Mancilla; Guy D. Rowe; Darlene Adams | S-01066 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020117AESOffshoreOffshore.pdf | Unregistered Person, Unregistered Product | | #2174502 | | | | |
| | 1/16/2002 | Health Maintenance Centers, Inc.; Kevin L. Lawrence | S-01210 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020116HealthMaintenance.pdf | Unregistered Product, Prohibited Practice | | #2023445 | | | | |
| | 1/9/2002 | Steven D. Anderson | S-00266 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020109Anderson.pdf | Unregistered Product, Fraud | | | | | | |
| | 1/5/2002 | H. J. Ferrante; Mark Archambault; Jay Platt; Marsha Backer; BacktoGolf | S-01208 (FX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2002/20020105FerranteArchambault.pdf | Unregistered Product | | | | | | |
| | 12/21/2001 | E-Views Safety Systems, Inc.; Dennis Harshman; Paul J. Davidson aka Jim Davidson; Dan Sharon aka Ed Blair; Lewis Davies | S-00195 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20011221EViewsSafetySystems.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | | | | | |
| | 12/20/2001 | Fargo Holdings, Inc.; Michael I. Nnebe, Nelson C. Walker; Steve Wilson; Richard Kiel | S-99314 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20011220FargoHoldingsNnebe.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | Nnebe #2186149; Walker #192022 | | | | |
| | 12/20/2001 | Target Oil & Gas Corporation; Gas Finders; Michael Smith; Mercedes Smith; Jeffrey Moore | S-01082 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20011220TargetOilGas.pdf | Unregistered Person, Unregistered Product, Prohibited Practice, Fraud | | | | | | |
| | 12/13/2001 | Donahue Securities, Inc. | S-01262 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20011213DonahueSecurities.pdf | Prohibited Practice | | #24330 | | | | |
| | 12/11/2001 | Health Perfect Imaging, Inc.; Health Perfect Imaging Unit Invesment Trust; Eric Beltran; Frank E. Lovy; Don Kuster; Fred Rembert; Ruben Gonzales | S-01095 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20011211HealthPerfectImaging.pdf | Unregistered Person, Unregistered Product, Prohibited Practice, Fraud | | Lovy #1873218 | | | | |
| | 12/11/2001 | Moxa Bee Vang aka Bee Moxa Vang | S-01264 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20011211Vang.pdf | Unregistered Product | | | | | | |
| | 12/11/2001 | World Ventures, Inc.; Investors First S.A.; Raynerd B. Carlson; Rafael A. Garcia; Al Hague aka Bill Wilson | S-01173 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20011211WorldVentures.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | | | | | |
| | 12/6/2001 | Quick Cash Advance, Inc.; Quick Cash Advance Of Miami, LLC; Cash Today USA; Kayco Promotions, Inc.; Curtis J. Billups; John P. Squires; John W. Long; Mark Harrell; Tom Elias; Jason Dickey; Michael Hollingsworth | S-00231 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20011206QuickCashAdvance.pdf | Unregistered Person, Unregistered Product, Prohibited Practice, Fraud | | | | | | |
| | 12/6/2001 | Shadd Vickery, Patrick Albright; Sallie Gold; Espresso Express, Inc. | S-01219 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20011206VickeryAlbrightGold.pdf | Unregistered Product | | | | | | |
| | 12/4/2001 | Cahoots Productions Inc; Blue Hill Avenue Film Partners Ltd.; Jun Max Kirishima; Michael B. Erwin; Glenn Glasgow; Rex Dale | S-01013 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20011204CahootsProductions.pdf | Unregistered Person, Unregistered Product, Prohibited Practice, Fraud | | | | | | |
| | 11/21/2001 | Ellen M. Aleshire | S-01267 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20011121Aleshire.pdf | Prohibited Practice | | #2411031 | | | | |
| | 11/20/2001 | Brookfield Securities, Inc. | S-01268 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20011120BrookfieldSecurities.pdf | Prohibited Practice | | #42313 | | | | |
| | 11/20/2001 | National Institute For Telecommunication Education, Corp.; Paul B. Kravitz; Hank Ross; Frank Fishman; Bud Fell; Brad Berman | S-00263 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20011120NationalInstitute.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | | | | | |
| | 11/1/2001 | Craig Clark; U$A For Healthclaim$ | S-98114 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20011101ClarkUSAHealthclaims.pdf | Unregistered Product | | | | | | |
| | 10/18/2001 | PayTel Communication Systems, Inc.; CapTel Maintenance Services, Inc.; IFG National, LLC; Slobodan Lunic; Scott R. Holmberg; Izabela A Reczynski; Gene A. Tyrrell; Kevin M. Dechant | S-01242 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20011018PayTelCommunications.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | | | | | |
| | 10/5/2001 | Thomas J. Smith; Christine M. Zmudka; Trade Partners, Inc.; TPI Grand Trust | S-00267 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20011005SmithZmudkaTrade.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | | | | | |
| | 9/28/2001 | Henry J. Littlesoldier | S-01218 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010928Littlesoldier.pdf | Unregistered Product, Fraud | | | | | | |
| | 9/28/2001 | Phoenix Multimedia, Inc. nka Digital Education Corp.; Collectors International Exchange, Inc.; William Cole Smith, Jr. aka Cole Smith; Conrad E. Bonham; Mike Wilson; Melvin Lewis; Rosalyn Cohen Goldman; Dean R. Morris | S-00080 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010928PhoenixMultimedia.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | Goldman #1129193; Morris #2100607 | | | | |
| | 9/27/2001 | Tamarack Funding Corporation; Garry P. Isaacs; Mark Chamberlain | S-01114 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010927TamarackFundingIsaacs.pdf | Unregistered Person, Unregistered Product, Prohibited Practice, Fraud | | | | | | |
| | 9/27/2001 | Christopher L. Temple | S-01074 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010927Temple.pdf | Unregistered Person, Unregistered Product, Prohibited Practice, Fraud | | #709315 | | | | |
| | 9/26/2001 | Leslie J. Hamilton, Jr. aka John Halvorsen | S-97136 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010926HamiltonHalvorsen.pdf | Unregistered Person, Unregistered Product, Prohibited Practice, Fraud | | | | | | |
| | 9/26/2001 | Ronald E. Klos | S-97136 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010926Klos.pdf | Unregistered Person, Unregistered Product, Prohibited Practice, Fraud | | | | | | |
| | 9/26/2001 | World Cash Providers, Inc.; World Cash Providers, LLC; Mobile Cash Systems, LLC; World Wireless Solutions aka Wireless Express U.S.A., Inc.; Judy A. Poulson; Kim Baudour Kriegler; Gerald B. Johnson | S-01179 (EX) | Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010926WorldCashProviders.pdf | Unregistered Product, Prohibited Practice | | | | | | |
| | 9/24/2001 | Eyal Farag | S-01213 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010924Farag.pdf | Prohibited Practice | | #3072211 | | | | |
| | 9/24/2001 | International Business Consortium, Inc.; William L. Brotherton, Sr. | S-01137 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010924InternationalBusiness.pdf | Unregistered Product, Prohibited Practice | | | | | | |
| | 9/18/2001 | Investor's Advocate, LLC | S-01206 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010918InvestorsAdvocate.pdf | Prohibited Practice | | #45801 | | | | |
| | 9/17/2001 | Andrew R. Razzore; John T. Pisapia | S-00215 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010917RazzorePisapia.pdf | Unregistered Product, Prohibited Practice | | Razzore #3160127; Pisapia #2336216 | | | | |
| | 9/6/2001 | Tasin & Company, Inc. | S-01193 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010906TasinCompany.pdf | Prohibited Practice | | #30709 | | | | |
| | 8/31/2001 | Panta Management, Inc. | S-01197 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010831PantaManagement.pdf | Prohibited Practice | | #100980 | | | | |
| | 8/24/2001 | Foster Oil & Gas; William H. Foster, Jr.; James Robert "J.R." Humphrey | S-01111 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010824FosterOilGasFoster.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | | | | | |
| | 8/13/2001 | American Benefits Group, Inc. fka American Senior Benefits, Inc.; Lancaster Annuity Services Co., Inc.; Terry L. Spirk; Gary J. Spirk; Sheelah K. Hanson V. Paul Duval; Gerald E. Sonneson | S-00210 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010813AmericanBenefitsGroup.pdf | Unregistered Person, Unregistered Product | | Sonneson #1627884 | | | | |
| | 8/13/2001 | George Joseph Mares, Jr. | S-01175 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010813Mares.pdf | Prohibited Practice | | Mares #2021837 | | | | |
| | 8/13/2001 | Tom R. Miller; Gideon Group | S-00091 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010813MillerGideonGroup.pdf | Unregistered Product | | | | | | |
| | 8/13/2001 | Alan T. Rodriguez | S-01177 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010813Rodriguez.pdf | Prohibited Practice | | Rodriguez #1592580 | | | | |
| | 7/18/2001 | The DVD Express.com LLC; Franklin Capital Management Company; Nicholas Taylor; Robert Capri; Mike Foster | S-00149 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010718DVDExpressFranklin.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | | | | | |
| | 7/18/2001 | Marcus C. Kanahele | S-01078 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010718Kanahele.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | | | | | |
| | 7/18/2001 | Rittenhouse Trust Securities Inc. | S-01122 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010718RittenhouseTrust.pdf | Unregistered Person, Prohibited Practice | | #13214 | | | | |
| | 7/18/2001 | Houa A. Vang; Houa G. Vang; Thai B. Vang | S-00257 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010718VangVangVang.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | | | | | |
| | 7/6/2001 | Timothy Carnel Lewis aka Christopher Long | S-01045 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010706LewisLong.pdf | Unregistered Product, Fraud | | | | | | |
| | 6/29/2001 | PaydayTodayUSA.com, Inc.; David E. L'Hoir aka David Wynn; David L. Wynn, David E. Wynn; David L. L'Hoir; David L'Hoir-Wynn; Marlowe J. Huber; Jolene Buclatin; Donnie Petrillo | S-01044 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010629PaydayTodayUSALHoir.pdf | Unregistered Person, Unregistered Product, Prohibited Practice, Fraud | | | | | | |
| | 6/28/2001 | Bradley J. Goodrich; Argurion Group LLC dba Ag Securities Investment Management | S-00117 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010628GoodrichArgurionGroup.pdf | None | | | | | | |
| | 6/15/2001 | Sedona Oil & Gas Corporation; Kenneth W. Crumbley, Jr.; Barry Spruiell; John Crumbley; Mark White | S-01056 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010615SedonaOilGas.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | | | | | |
| | 6/8/2001 | 21st Century Pay Communications, Inc.; First Call Telephone Company, Inc.; Hapjack Marketing, Inc.; Partners Investment Network, Inc.; L. Robert Martin, Jr.; Mary Moxley; Harold P. Coffin; Paul Ferroggiaro; Clifford Goehring; Claude D. Smith; Brian T. | S-01078 (EX) | Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/2001060821stCenturyPay.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | Kanahele #1337725; Beyer #1522822 | | | | |
| | 5/31/2001 | Frank G. Coon | S-99082 (LX) | Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010531Coon.pdf | None | | | | | | |
| | 5/31/2001 | Quest Events, Inc. aka iTriumph; Kenneth A. Mackenzie | S-00275 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010531QuestEventsMacKenzie.pdf | Unregistered Person, Fraud | | | | | | |
| | 5/22/2001 | TLC Investments & Trade Co.; TLC America, Inc.; TLC Brokerage, Inc. dba TLC Marketing; TLC Development, Inc.; TLC Real Properties, Inc.; TLC Real Properties Aka Rllp-1; Cloud & Associates Consulting, Inc.; Ernest F. Cossey; Gary W. Williams; Thomas G. Clo | S-98308 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010522TLCInvestmentsTrade.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 5/17/2001 | Boris Bugarski | S-99224 (EX) | Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010517Bugarski.pdf | None | | | | | | |
| | 5/7/2001 | Internet Capital Management, Inc. | S-01088 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010507InternetCapital.pdf | Prohibited Practice | | #103931 | | | | |
| | 5/7/2001 | Kempen & Co., U.S.A., Inc. | S-01073 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010507KempenCoUSA.pdf | Prohibited Practice | | #38760 | | | | |
| | 5/3/2001 | George A. Otto | S-01004 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010503Otto.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | #2703773 | | | | |
| | 5/2/2001 | Shochet Securities Inc. | S-01080 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010502ShochetSecurities.pdf | Unregistered Person, Prohibited Practice | | #8275 | | | | |
| | 4/27/2001 | Midwest Financial Associates Group, Inc.; International Research, Inc.; Robert L. Chaffee; Daniel L. Warson; Joseph W. Horness; Timothy G. Asp; Donn D. Rettgen | S-00168 (EX) | Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010427MidwestFinancial.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | Chaffee #1148507; Asp #1450893 | | | | |
| | 4/19/2001 | Frank G. Coon | S-99082 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010419Coon.pdf | Prohibited Practice | | #1085366 | | | | |
| | 4/19/2001 | Paul H. Tapper | S-01001 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010419Tapper.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 4/5/2001 | British Secured Investments | S-00178 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010405BritishSecured.pdf | Unregistered Product | | | | | | |
| | 4/2/2001 | Michael E. Annuik | S-97245 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010402Anniuk.pdf | Prohibited Practice, Fraud | | #718675 | | | | |
| | 3/6/2001 | John T. Matthias; Manufacturers Money Board, Inc. | S-98176 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010306MatthiasManufacturers.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 3/5/2001 | Techno Century, Inc.; Russell C. Freeman dba Capital Savings & Management | S-00005 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010305TechnoCenturyFreeman.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | Freeman #2035219 | | | | |
| | 2/22/2001 | Payphone Connection, Inc.; BFG Marketing, LLC; Scott A. Sewall; Lawrence Jack Bispo | S-99283 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010222PayphoneConnectionBFG.pdf | Unregistered Person, Unregistered Product | | Bispo #1064359 | | | | |
| | 2/14/2001 | National Equipment Providers, LLC; Spa Marketing, LLC; Ross S. Rambach; Mark E. Kenningson | S-00104 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010214NationalEquipment.pdf | Unregistered Product | | Rambach #1305913 | | | | |
| | 2/14/2001 | New Vernon Securities LLC | S-01014 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010214NewVernonSecurities.pdf | Prohibited Practice | | #44306 | | | | |
| | 1/18/2001 | Bradley J. Goodrich; Argurion Group LLC dba Ag Securities Investment Management | S-00117 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010118GoodrichArgurionGroup.pdf | Unregistered Person, Prohibited Practice, Fraud | | Goodrich #2316058 | | | | |
| | 1/18/2001 | Rolland E. Nielson | S-00169 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010118Nielson.pdf | Prohibited Practice | | #2466487 | | | | |
| | 1/9/2001 | Iron Horse Petroleum, Inc.; Thomas A. Labry; Bob Kelly | S-00073 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010109IronHorsePetroleum.pdf | Unregistered Person, Unregistered Product | | Labry #2271356 | | | | |
| | 1/5/2001 | Cybervest Securities, Inc. | S-00290 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010105CybervestSecurities.pdf | Prohibited Practice | | #40767 | | | | |
| | 1/3/2001 | EZ Stocks.com, Inc. | S-00170 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2001/20010103EZStocks.pdf | Unregistered Product, Fraud | | #21950 | | | | |
| | 12/20/2000 | Ecoquest International fka Alpine Industries, Inc.; Best Investments, Inc.; Thunderstorm, Inc.; William J. Converse; Michael J. Jackson; John F. Kelly | S-00213 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20001220EcoquestInternational.pdf | Unregistered Product, Fraud | | | | | | |
| | 12/20/2000 | Equitrade Securities Corp. | S-00284 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20001220EquitradeSecurities.pdf | Unregistered Person, Prohibited Practice | | #29558 | | | | |
| | 12/18/2000 | Milan Capital Group, Inc.; Bradley D. St. Myer | S-00051 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20001218MilanCapitalGroup.pdf | Unregistered Person | | Myer #2630827 | | | | |
| | 12/18/2000 | The Profit Center, A Limited Liability Company dba Moneylink International; Douglas Kent Bawden; Bernard Joseph Titony; Keith William Jeske | S-99269 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20001218ProfitCenterMoneylink.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 12/7/2000 | Greengrove Corporation; William D. Meade | S-00048 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20001207GreengroveCorporation.pdf | Unregistered Product, Fraud | | | | | | |
| | 11/30/2000 | Alvaro F. Dumancella | S-98241 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20001130Dumancella.pdf | Unregistered Person | | #2489570 | | | | |
| | 11/30/2000 | Vista Consulting; C. Steven Bolen | S-99242 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20001130VistaConsultingBolen.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 11/2/2000 | Phil D. Bautz; Badger Opportunities, Inc. | S-99307 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20001102BautzBadger.pdf | Prohibited Practice | | Bautz #1137366 | | | | |
| | 10/24/2000 | Ronald Craig Harris; Raymond C. Idec, Jr. | S-99163 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20001024HarrisIdec.pdf | Unregistered Person | | Ronald Craig Harris #2708688; Raymond C. Idec Jr. #2727591 | | | | |
| | 10/24/2000 | MAS Fortune, Inc. aka Forex Trading Inc.; Ross G. Erskine; Spencer M. Paul; Thomas Walters; Rafael P. Francis; Jerson M. Suarez; James Taylor; Eduardo C. Andrades; Leslie Jones; Dennis Heyburn | S-00087 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20001024MASFortuneForexTrading.pdf | Unregistered Person, Unregistered Product, Fraud | | Paul #2978108 | | | | |
| | 10/24/2000 | James M. Peters | S-99223 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20001024Peters.pdf | Prohibited Practice | | #1381513 | | | | |
| | 10/13/2000 | New Times Securities Services, Inc. | S-00239 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20001013NewTimesSecurities.pdf | Prohibited Practice | | #34154 | | | | |
| | 10/9/2000 | HeartScan Unit Investment Trust; HeartScan, LLC; Cornerstone Financial Consulting aka Pacific Capital Network.com; Patrick Kavanaugh; Richard Ward; Mark A. Ellison; Daniel Caterino | S-00181 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20001009HeartScanUnit.pdf | Unregistered Person, Unregistered Product, Fraud | | Patrick Kavanaugh #8974852; Mark A. Ellison #2220837 | | | | |
| | 10/9/2000 | Web Booth Corporation; John E. Perry; Harmon Cogert | S-99257 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20001009WebBoothPerryCogert.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 10/9/2000 | Wireless Technology Group, Inc.; Wireless Technology Corporation of America, Inc.; SMR Alliance Partnership; Fred Fazio; Dean K. Lucas; Gary D. Walk; Michael Ebby | S-99250 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20001009WirelessTechnology.pdf | Unregistered Person, Unregistered Product, Fraud | | Walk #2291174 | | | | |
| | 9/12/2000 | Gregg S. La Plant | S-00220 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000912LaPlant.pdf | Unregistered Product, Prohibited Practice | | #2128139 | | | | |
| | 9/12/2000 | Sierra West Unit Investment Trust; Sierra West "A" Unit Investment Trust; PAC West II Unit Investment Trust; ATM of Nevada, LLC; Century Capital Group, Inc.; ITS Consulting, Inc.; Integrity Financial Group, Inc.; Blake W. Wilson aka Arnold Kramer aka Arno | S-99007 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000912SierraWestUnit.pdf | Unregistered Person, Unregistered Product, Fraud | | Blake W. Wilson #1390808; Andrew J. Prendiville #3047029; Alan B. Baiocchi #1016120; David E. Morris #3048827; James Silver #1870240; Donald G. Ryan #2848354; | | | | |
| | 9/7/2000 | Hotel Connect Management, Inc.; Hotel Connect #600 LLC; Mark L. Ehrlich; Billy Ray Smith | S-00093 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000907HotelConnectManagement.pdf | Unregistered Person, Unregistered Product | | Mark L. Ehrlich #11013642; Billy Ray Smith #1228114 | | | | |
| | 9/7/2000 | JC Gear.com; Arthur J. Comeau; Arthur M. Comeau; Kenneth B. Barker | S-00018 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000907JCGearComeauComeau.pdf | Unregistered Person, Unregistered Product | | Barker #2269570 | | | | |
| | 8/30/2000 | Martin S. Rubin; L. Anthony Grant; Patrick Danan; Metro Group International | S-00152 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000830RubinGrantDananMetro.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 8/30/2000 | Tri-National Development Corporation; Johnson, Richards & Company, Inc.; World Investors Credit Union, LC; Michael A. Sunstein; Jason A. Sunstein; Paul Goss; Gilbert R. Fuentes; Shane Kennedy; Jerry Parker, M.D.; Jay Pasternak; Robert Rosen, M.D.; Ted Tak | S-99004 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000830TriNationalDevelopment.pdf | Unregistered Person, Unregistered Product, Fraud | | Michael A Sunstein #8990902; Jason A Sunstein #2717804 | | | | |
| | 8/24/2000 | G.T.O. Corporate Holdings, Inc.; Global Trade Online, Inc.; Rama Remo Balidemaj aka Remo Balidema; Zeeshan Haider | S-00140 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000824GTOCorporateHoldings.pdf | Unregistered Person, Unregistered Product, Fraud | | Balidemaj #3068979 | | | | |
| | 8/24/2000 | Randy N. Welsh | S-98207 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000824Welsh.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 8/24/2000 | The US Associates; Don W. Slater | S-00174 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000824USAssociatesSlater.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 8/8/2000 | Americas Fidelity Capital Management, Ltd.; David A. Morgenstern | S-00175 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000808AmericasFidelity.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 8/8/2000 | NT Distributors, Inc. | S-00188 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000808NTDistributors.pdf | Prohibited Practice | | #47338 | | | | |
| | 8/1/2000 | Socal Securities | S-00190 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000801SocalSecurities.pdf | Prohibited Practice | | #17788 | | | | |
| | 8/1/2000 | Sunpoint Securities, Inc. | S-00185 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000801SunpointSecurities.pdf | Prohibited Practice | | #25442 | | | | |
| | 7/31/2000 | Packerland Investors, Inc. | S-00189 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000731PackerlandInvestors.pdf | Prohibited Practice | | #100260 | | | | |
| | 7/13/2000 | EZ Stocks.com, Inc. | S-00107 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000713EZStocks.pdf | Unregistered Product, Fraud | | | | | | |
| | 7/13/2000 | Michael B. Grieco | S-99287 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000713Grieco.pdf | Unregistered Person, Unregistered Product, Fraud | | #21950 | | | | |
| | 7/6/2000 | Assured International, Inc.; Sharp Financial Corp.; Sam E. Harris; Max Becker; Tralana Tanawa Fox aka Tralana Lee; Kirk E. Kuykendoll II aka Ken Konetski; Angela Tate | S-00125 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000706AssuredInternational.pdf | Unregistered Person, Fraud | | Sam E. Harris #2109064; Max Becker #2109078; Kirk E. Kuykendoll II #2105082 | | | | |
| | 7/6/2000 | Michael J. Konkel | S-99288 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000706Konkel.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 7/6/2000 | Trispectrum Corporation; Walter Bugarski; Boris Bugarski; Frank Adell; Lee Marshall | S-99224 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000706TrispectrumBugarski.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 6/9/2000 | Cindy C. Frane | S-00124 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000609Frane.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 6/6/2000 | Arthur P. Sanger | S-00102 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000606Sanger.pdf | Unregistered Product, Prohibited Practice | | #826217 | | | | |
| | 6/2/2000 | Investors Choice, Incorporated; Daniel J. Jeffers | S-96073 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000602InvestorsChoice.pdf | Unregistered Product, Fraud | | | | | | |
| | 6/2/2000 | Millennicom, Inc.; Walter W. Knitter | S-99211 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000602MillennicomKnitter.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 5/19/2000 | James M. Peters | S-99223 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000519Peters.pdf | Prohibited Practice | | #1381513 | | | | |
| | 5/16/2000 | Telecom Entertainment; Telecom Action Entertainment; William Marlin & Co.; William B. Marlin; David Wagner; William Davis | S-98137 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000516TelecomEntertainment.pdf | Unregistered Person, Unregistered Product, Fraud | | Marlin #1780171 | | | | |
| | 5/5/2000 | World Audio Video Enterprises, L.C. dba On-Hold International; Donna M. Luke | S-00043 (EX/FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000505WorldAudioVideo.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 5/2/2000 | Argosy Capital Corporation; G. McClellan Joyce; Gordon R. Hein | S-00122 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000502ArgosyCapitalJoyceHein.pdf | Unregistered Product, Fraud | | | | | | |
| | 4/27/2000 | Stephen M. Alexander; Global Capital Management; Virtual On-Line, Inc. | S-99280 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000427AlexanderGlobalCapital.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | Alexander #2783631 | | | | |
| | 4/27/2000 | Caribbean Securities LLC | S-00103 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000427CaribbeanSecurities.pdf | Prohibited Practice | | #43385 | | | | |
| | 4/27/2000 | First Global Securities, Inc. aka FG (USA) | S-00062 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000427FirstGlobalSecurities.pdf | Prohibited Practice | | #47620 | | | | |
| | 4/27/2000 | Omne SRL aka Taormina Omne SRL; Aguda Financial Services; Hendrik Rienstra; Joseph J. Aguda; Jean Noel Pineau; Craig L. Brown | S-99239 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000427OmneSRLTaorminaOmneSRL.PDF | Unregistered Person, Unregistered Product | | | | | | |
| | 4/27/2000 | Tri-Financial Group, Inc.; David A. Nickerson; Robert J. Scott; Clyde A. Sinclair; John N. Alexander | S-98274 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000427TriFinancialGroup.pdf | Unregistered Person, Unregistered Product, Fraud | | David A. Nickerson #1148652; Clyde A. Sinclair #1392652; John N. Alexander #1218108 | | | | |
| | 4/27/2000 | Robert William Whitney aka Bill Whitney | S-99107 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000427Whitney.pdf | Unregistered Product, Fraud | | | | | | |
| | 4/25/2000 | William M. Behrens | S-00110 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000425Behrens.PDF | Prohibited Practice | | #1975930 | | | | |
| | 4/25/2000 | Alan P. Bower | S-00111 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000425Bower.PDF | Prohibited Practice | | #1158523 | | | | |
| | 4/25/2000 | Barbara J. Brennan | S-00109 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000425Brennan.PDF | Prohibited Practice | | #1456135 | | | | |
| | 4/25/2000 | David P. Brunette | S-00112 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000425Brunette.PDF | Prohibited Practice | | #2002684 | | | | |
| | 4/25/2000 | John S. Carrel III | S-00108 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000425Carrel.PDF | Prohibited Practice | | #1946162 | | | | |
| | 4/25/2000 | John L. Coleman | S-00113 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000425Coleman.PDF | Prohibited Practice | | #2038651 | | | | |
| | 4/7/2000 | John K. Finn | S-99051 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000407Finn.pdf | Unregistered Product, Fraud | | #1057323 | | | | |
| | 4/7/2000 | Phoenix Telecom, LLC; H. Ellis Ragland, Jr.; Jerry Beacham; Jerry Clawson | S-00057 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000407PhoenixTelecomRagland.pdf | Unregistered Person, Unregistered Product, Fraud | | Ragland #8982765 | | | | |
| | 4/7/2000 | Robert Paul Witt | S-99086 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000407Witt.pdf | Prohibited Practice | | #2282742 | | | | |
| | 3/28/2000 | William J. King | S-00008 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000328King.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 3/28/2000 | Theodore R. Miller | S-00028 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000328Miller.pdf | Unregistered Product, Prohibited Practice | | #2760427 | | | | |
| | 3/23/2000 | Michal K. Nickel | S-00007 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000323Nickel.pdf | Unregistered Person, Unregistered Product, Prohibited Practice | | #3099334 | | | | |
| | 3/22/2000 | Kevin A Malovrh dba KM Financial | S-00077 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000322MalovrhKMFinancial.pdf | Prohibited Practice | | #1339 | | | | |
| | 3/16/2000 | Corlogic Corporation | S-99209 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000316CorlogicCorporation.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 3/16/2000 | Jerry A. Klemp | S-00006 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000316Klemp.PDF | Unregistered Person, Unregistered Product | | | | | | |
| | 3/7/2000 | 5 Star Global, L.L.C.; Gary L. Augustine; Ronald M. Turner aka Ron Turner | S-99006 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/200003075StarGlobalAugustine.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 3/7/2000 | Force Tek, Inc.; Chandler Hooper; Nick Garcia | S-98062 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000307ForceTekHooperGarcia.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 3/7/2000 | Daniel J. Krueger; Financial Dimensions, Inc. | S-98182 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000307KruegerFinancial.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 3/7/2000 | Security Financial Group, Inc.; Brian S. Wright | S-99217 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000307SecurityFinancialGroup.pdf | Unregistered Person, Unregistered Product, Fraud | | Wright #2350393 | | | | |
| | 2/24/2000 | Estela M. Mahnke | S-98180 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000224Mahnke.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 2/16/2000 | David A. DeMore | S-00036 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000216DeMore.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 2/16/2000 | Steven C. Hanson | S-99203 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000216Hanson.pdf | Unregistered Product, Prohibited Practice | | #2063178 | | | | |
| | 2/16/2000 | Michael C. Lueck | S-00012 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000216Lueck.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 2/16/2000 | Tradescape, LLC | S-00035 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000216Tradescape.pdf | Prohibited Practice | | #44326 | | | | |
| | 2/11/2000 | Timothy D. Morales | S-98292 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000211Morales.pdf | Unregistered Person, Prohibited Practice | | #1136485 | | | | |
| | 2/10/2000 | International Currency Consultants, Inc.; Fred Schoenfeld; Robert Mathis; Alex Marcucci | S-99084 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000210InternationalCurrency.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 2/7/2000 | Thomas H. Murphy; Richard C. Peterson; Liberty Investment Counsel, Ltd. | S-99281 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000207MurphyPetersonLiberty.pdf | Prohibited Practice | | Thomas H. Murphy #1399925; Liberty Investment Counsel, Ltd. #10062; Richard C. Peterson #361552 | | | | |
| | 2/3/2000 | Gerald E. Sonneson | S-99296 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000203Sonneson.pdf | Unregistered Person, Unregistered Product | | #1627884 | | | | |
| | 2/3/2000 | Ryan J. Posewitz | S-00015 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000203Posewitz.pdf | Unregistered Product, Prohibited Practice | | #2121957 | | | | |
| | 2/3/2000 | Skyline Entertainment; Skyline Entertainment Financing IV; Brian Byer; Elan Sassoon; Jason Goldberg; Peter Ellin | S-97337 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000203SkylineEntertainment.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 1/25/2000 | J. Banks Company; Jeffrey Barry Banks aka Jeffrey Barry Nuss | S-99096 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000125JBanksCoBanksNuss.pdf | Prohibited Practice | | J. Banks Compnay #42570 & #39165; Jeffrey Barry Banks #2133170 | | | | |
| | 1/24/2000 | Raymond G. Carlson | S-00004 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000124Carlson.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 1/24/2000 | Richard N. Konkol | S-00003 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000124Konkol.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 1/24/2000 | William C. Seitz | S-00022 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000124Seitz.PDF | Prohibited Practice | | #418331 | | | | |
| | 1/24/2000 | Dennis G. Semph | S-00011 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000124Semph.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 1/24/2000 | Mark W. Stewart | S-00002 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000124Stewart.pdf | Unregistered Person, Unregistered Product | | #1697230 | | | | |
| | 1/4/2000 | Denny P. Darmodihardjo | S-99256 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000104Darmodihardjo.pdf | Unregistered Person | | #2589997 | | | | |
| | 1/4/2000 | Thomas J. Gasman, Sr. | S-99188 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/2000/20000104Gasman.pdf | Prohibited Practice | | #218552 | | | | |
| | 12/23/1999 | Henry A. Otten | S-99263 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19991223Otten.pdf | Prohibited Practice | | #1131860 | | | | |
| | 12/22/1999 | Pacific Air Transport, Inc.; Robert B. Hirsch; Michael R. Weinberg | S-99207 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19991222PacificAirTransport.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 12/22/1999 | Sprawlnet.com, Inc. fka Public Communication Services, Inc.; Alfredo Susi aka Alfred Susi aka Fred Susi aka Fred Sanders; Allen Fialkoff; Mario Presman; Fanita Stone Presman; Steve Randazzo | S-98284 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19991222SprawlnetPublic.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 12/22/1999 | Yes Entertainment Network, Inc.; Yes Entertainment, LLC; Marketline; Ronald T. Mulhall; Eugene M. Carriere; Ronald Plomgren; Alan B. Baiocchi; Donald G. Ryan; Danny Brooks | S-99067 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19991222YesEntertainment.pdf | Unregistered Person, Unregistered Product, Fraud | | Alan B. Baiocchi #1016120; Donald G. Ryan #2848354 | | | | |
| | 12/9/1999 | Electric Choice Investments, Inc., San Diego Power & Light LLP; L.A. Power & Light LLP; Courant Consulting; Air Communications Management; Donald LaBarre; Samuel Dworkin; Milton Franklin; Alan Friezer; Martin Davis; Michael Hollander | S-98263 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19991209ElectricChoice.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 12/9/1999 | First Financial Planners, Inc.; FFP Securities, Inc.; FFP Advisory Services, Inc. | S-99285 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19991209FirstFinancialPlanners.pdf | Prohibited Practice | | FFP Securities, Inc. #16337 | | | | |
| | 12/1/1999 | New England International Surety, Inc. | S-99275 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19991201NewEngland.pdf | Unregistered Product | | | | | | |
| | 11/24/1999 | Alpha Telecom, Inc. aka ATC, Inc.; Life Planning Group, Inc.; Florida Underwriting Co.; Paul S. Rubera; Dennis Baugher | S-99225 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19991124AlphaTelecomATCLife.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 11/18/1999 | William G. Sheedy | S-98140 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19991118Sheedy.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 11/17/1999 | Lloyd's Financial Services; Lloyd J. Wilson | S-99230 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19991117LloydsFinancial.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 11/8/1999 | Alliance Trust; Chemical Trust; U.S. Guarantee Corp.; Clifton Wilkinson; Lewey L. Cato III; Alvin A. Tang; O. J. Peavey | S-99165 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19991108AllianceTrustChemical.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 11/8/1999 | Retirement Foundations, Inc. | S-99258 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19991108RetirementFoundations.pdf | Prohibited Practice | | #43631 | | | | |
| | 10/28/1999 | David J. Yeazel | S-99072 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19991028Yeazel.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 10/27/1999 | Timothy D. Morales | S-98292 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19991027Morales.pdf | Prohibited Practice | | #1136485 | | | | |
| | 10/4/1999 | James D. Christiansen; Montfort Building Center, Inc. | S-98264 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19991004ChristiansenMonfort.pdf | Fraud | | | | | | |
| | 9/23/1999 | Sun Broadcasting Systems, Inc.; John Sloan | S-99210 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990923SunBroadcasting.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 9/23/1999 | Technical Support Services, Inc.; Fred J. Foster | S-99162 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990923TechnicalSupport.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 9/22/1999 | Seleta J. Nelson aka SJN LLC | S-98180(EX) | Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990922Nelson.pdf | Unregistered Product | | | | | | |
| | 9/16/1999 | Caffe Diva Group, LTD; Ronald A. Davis; Belinda Davis | S-99208 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990916CaffeDivaGroup.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 9/10/1999 | The American Taco Company | S-99236 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990910AmericanTaco.pdf | Unregistered Product | | | | | | |
| | 9/8/1999 | Nationwide Wireless Communications, Inc.; Sara Jane Peck aka Sally Peck | S-99160 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990908NationwideWireless.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 8/25/1999 | Aqcess Technologies, Inc.; Jon-Eric Prichard; Thomas R. Patton; Lenny Vainberg; Thomas R. Sanford; Phillip Lang; David A. Phillips | S-98313 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990825AqcessTechnologies.pdf | Unregistered Person, Unregistered Product | | Lenny Vainberg #2670178; Thomas R. Sanford #2384344 | | | | |
| | 8/13/1999 | Merrill Lynch Pierce Fenner & Smith, Inc. | S-97061 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990813MerrillLynchPierce.pdf | Prohibited Practice | | #7691 | | | | |
| | 8/13/1999 | Pro One Janitorial, Inc.; Thomas Verboncouer; Jean Verboncouer | S-98246 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990813ProOneJanitorial.pdf | Unregistered Product, Fraud | | | | | | |
| | 8/6/1999 | Natural Food Technologies, Inc.; Charles Stad | S-98260 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990806NaturalFood.pdf | Unregistered Product | | | | | | |
| | 8/4/1999 | Lakeside Trading | S-99151 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990804LakesideTrading.pdf | Prohibited Practice | | #39418 | | | | |
| | 8/4/1999 | Sebastian International Enterprises, Inc.; Ferd B. Sebastian III; Jan L. Sebastian; Darrell J. Guilbeaux | S-99136 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990804SebastianInternational.pdf | Unregistered Person, Unregistered Product, Fraud | | Jan L. Sebastian #2717804 | | | | |
| | 8/3/1999 | Saferate Financial Services aka Miller & Associates aka Capital Branch Processing Services Inc.; Consolidate Capital, LLC; Alice M. Miller; Lou Ramirez; Seth Miller; Bob Ryan | S-98177 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990803SaferateFinancial.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 7/29/1999 | St. Paul Film Foundation; St. Clare Film Fund Capital Corporation; Onesimus Productions; Stephen A. Jones; Natalie Betancor-Leon | S-98249 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990729StPaulFilmFountation.pdf | Unregistered Product, Fraud | | | | | | |
| | 7/28/1999 | CLE Diamond Mining Limited Partners; Douglas E. Brooks; Joseph G. Bunyan; Kim Y. Bunyan; Charles L. Ellington; Errol Lambert; Gail F. Peoples; Traci L Funderburg | S-98296 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990728CLEDiamondMining.pdf | Unregistered Product, Fraud | | | | | | |
| | 7/28/1999 | Tri-National Development Corporation; Johnson, Richards & Company, Inc.; World Investors Credit Union, LC; Michael A. Sunstein; Jason A. Sunstein; Paul Goss; Gilbert R. Fuentes; Shane Kennedy; Jerry Parker, M.D.; Jay Pasternak; Robert Rosen, M.D.; Ted Tak | S-99004 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990728TriNationalDevelopment.pdf | Unregistered Person, Unregistered Product, Fraud | | Miichael A Sunstein #8990902; Jason A Sunstein #2717804 | | | | |
| | 6/30/1999 | Jeffrey C. Buck | S-99085 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990630Buck.pdf | Unregistered Product, Prohibited Practice | | #2290116 | | | | |
| | 6/22/1999 | First Liberty Financial; Donald Ryan; Anthony Sciuto; Donna Bailey; Patrick Kavanaugh | S-98291 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990622FirstLibertyFinancial.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 6/22/1999 | Klein Maus & Shire | S-99125 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990622KleinMausShire.pdf | Prohibited Practice | | #20527 | | | | |
| | 6/18/1999 | David Brian Miller | S-98230 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990618Miller.pdf | Unregistered Person, Prohibited Practice | | #2666188 | | | | |
| | 6/18/1999 | Satellite Recovery Network, Inc.; Eric J. Aronson; Jeremy M. Carman | S-99010 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990618SatelliteRecovery.pdf | Unregistered Person, Unregistered Product | | Eric J. Aronson #1912232; Jeremy M. Carman #2285376 | | | | |
| | 6/16/1999 | World Vision Entertainment, Inc.; Alfred Michael Jaillett; Jamie Piromalli | S-98125 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990616WorldVision.pdf | Unregistered Person, Unregistered Product | | Jaillett #1697187 | | | | |
| | 5/28/1999 | Diagnostic Professional Imaging Services, Inc.; Gene Arnold; Michael Danilovich | S-98201 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990528DiagnosticProfessional.pdf | Unregistered Product | | | | | | |
| | 5/20/1999 | International Capital Management, Inc.; John Schembari; Nelson Schembari; Lawrence T. Tripoli; Jared L. D'Argenio; Steven M. Leppert; Robyn Sachs | S-98187 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990520InternationalCapital.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 5/18/1999 | Zuban Productions, Inc.; Film Three, LP; Film 3; Ruben Preuss; Mark Robert Lane; Bill Evans; Bruce Robinson | S-98239 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990518ZubanProductionsFilm.pdf | Unregistered Person, Unregistered Product, Fraud | | Lane #2351144 | | | | |
| | 5/13/1999 | The Basket Connection; Joanne Winthrop | S-98244 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990513BasketConnection.pdf | Unregistered Product | | | | | | |
| | 5/13/1999 | Norman T. Christenson | S-97145 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990513Christenson.pdf | Prohibited Practice | | #4631500 | | | | |
| | 5/13/1999 | Dennis Day; Lawrence Freedberg; International Currency Trading Corporation | S-98133 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990513DayFreedberg.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 5/13/1999 | Gold Country Securities, Inc. | S-99049 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990513GoldCountrySecurities.pdf | Prohibited Practice | | #20375 | | | | |
| | 5/13/1999 | Seleta J. Nelson; Seleta J. Nelson LLC aka SJN LLC | S-98180 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990513NelsonSeletaNelsonLLC.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 5/11/1999 | Christopher L. Miano; Roland I. Greenspan; Royal Palm Investments, Ltd. Fka PCM Securities Limited, LP | S-98100 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990511MianoGreenspanRoyal.pdf | Prohibited Practice, Fraud | | Christopher L. Miano #2847056; Roland I. Greenspan #1453740; Royal Palm Investments, Ltd. #28761 | | | | |
| | 5/4/1999 | William C. Seitz | S-99033 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990504Seitz.pdf | Prohibited Practice | | #418331 | | | | |
| | 4/28/1999 | Mark A. Gallagher | S-99073 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990428Gallagher.pdf | Prohibited Practice | | #1745193 | | | | |
| | 4/27/1999 | First United Equity Group, Ltd. aka First United, Ltd.; Arthur E. Weinstein | S-99018 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990427FirstUnitedEquityGroup.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 4/14/1999 | AAA-Auction.com, Inc.; Cosco Capital, Inc.; Kenneth R. Weare; Clay Lambert; Geoffrey R. Gordon; Allen L. Irwin; Steven Costin; Larry Hearn; Michael A. Hart; Marty Cohen | S-98132 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990414AAAAuctionCoscoCapital.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 4/9/1999 | Interactive Technologies Corporation, Inc.; Airtech International Corporation; Airtech International Group, Inc.; Perry Douglas West; John Edwin Potter; Cengiz Jan Comu aka C.J. Comu; Paul Williams; Douglas S. Keane; Scott W. Pollock; Scott McCleskey; Wal | S-98027 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990409Interactive.pdf | Unregistered Person, Unregistered Product, Fraud | | John Edwin Potter #2242073; Cengiz Jan Comu #1396756; Scott W. Pollock #2840165; Wallace C. Finch #1272935 | | | | |
| | 4/8/1999 | Wireless Depot of Boston, LLP dba Wireless Depot; Nationwide Wireless Communications, Inc.; Uni-Call Communications, Inc.; Sara Jane Peck aka Sally Peck; Warren H. Blanck; William A. Gale; Ed Buehler | S-97292 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990408WirelessDepot.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 3/29/1999 | Phoenix Financial Services Corp. fka Delta Financial Distributors, Inc. | S-99060 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990329PhoenixFinancial.pdf | Prohibited Practice | | #36889 | | | | |
| | 3/26/1999 | Oleg Alec Feldman | S-99054 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990326OlegAlecFeldman.pdf | Prohibited Practice | | #2850069 | | | | |
| | 3/26/1999 | Pacific Cortez Securities, Incorporated fka La Jolla Capital Corporation | S-99044 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990326PacificCortez.pdf | Prohibited Practice | | #24341 | | | | |
| | 3/17/1999 | Continuum Capital Inc. | S-99062 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990317ContinuumCapital.pdf | Prohibited Practice | | #29864 | | | | |
| | 2/12/1999 | Creative Entertainment Group; Linda S. York; Daniel T. Loewenthal; Francine Bergman | S-98105 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990212CreativeEntertainment.pdf | None | | | | | | |
| | 2/3/1999 | Engine World, Inc.; Gene Stinson; Phil C. Meisinger; Edwin W. Wheeler aka Bud Wheeler | S-97290 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990203EngineWorldStinson.pdf | None | | | | | | |
| | 1/14/1999 | Commercial Express, LLC; A & E Productions; Progressive Financial, Inc.; Creative Entertainment Group; Joel A. Fein; Mark D. McClafferty; Mark A. Ellison; Jerry Lynn Aubrey; Timothy M. Hazzard; Grace Na; Linda S. York; Daniel T. Loewenthal; Francine Bergm | S-98105 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990114CommercialExpressAE.pdf | Unregistered Product, Fraud | | Joel A. Fein #1460960; Mark A. Ellison #2220837; Mark A. Ellison #8988141; Mark D. McClafferty #2235114; Jerry L. Aubrey #2851105; Jerry L. Aubrey #8978986; Jerry L. Aubrey #8976016; Jerry L. Aubrey #8983753; Jerry L. Aubrey #8988251; Timothy M. Hazzard # | | | | |
| | 1/8/1999 | National Communications Marketing, Inc.; Thomas E. Murray; Stephen D. Wolfe; Jerry Klemp | S-98082 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1999/19990108NationalCommunications.pdf | Unregistered Person, Unregistered Product | | Murray #1372659 | | | | |
| | 12/30/1998 | Matthew S. Freed | S-97311 (LX) | Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981230Freed.pdf | Prohibited Practice | | #2788276 | | | | |
| | 12/23/1998 | Phyllis Hoeth | S-98107 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981223Hoeth.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 12/22/1998 | Christopher A. Polley; Lydia L. Banes; Raymond H. Beam; David E. Morris; Richard H. Inzer; Stephen Henderson; George Holmes; Howard W. Kratz | S-98306 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981222PolleyBanesBeamMorris.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 12/18/1998 | Block Trading, Inc.; Christopher Michael Block; Michael T. Mogonye; Bill Padgett | S-98178 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981218BlockTradingBlock.pdf | Unregistered Product | | | | | | |
| | 12/18/1998 | Investors Financial Center of Wisconsin, LLC | S-98301 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981218InvestorsFinancial.pdf | Prohibited Practice | | #1272 | | | | |
| | 12/18/1998 | Peter Shuffer; Alan L. Barkan; Miracle J.A. Productions, Inc.; Fox Lorber Associates, Inc.; Capella Consulting, Inc.; Vantage Technology Group, Inc.; Healers Production Partners, LLP | S-98075 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981218ShufferBarkanMiracleJA.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 12/17/1998 | Tel Com Plus, Inc.; Prime Equities Group, Inc.; Marketing Concepts International; United States Telecommunications, Inc.; Tel Com Plus East, LLC; Tel Com Plus West, LLC; Millenium Associates, Inc.; Capital Funds Administration, Inc.; Venture Funding Resou | S-98079 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981217TelComPlusPrime.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 12/15/1998 | D.H. Blair & Co., Inc. | S-98250 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981215DHBlairCo.pdf | Prohibited Practice | | #6833 | | | | |
| | 12/15/1998 | Mark B. Sirianni | S-98225(LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981215Sirianni.pdf | Prohibited Practice | | #1185128 | | | | |
| | 12/15/1998 | Wise Choice Discount Brokerage, Inc. | S-98293 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981215WiseChoiceDiscount.pdf | Prohibited Practice | | | | | | |
| | 12/14/1998 | Terence L. O'Brien | S-98267 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981214OBrien.pdf | Prohibited Practice | | #1363792 | | | | |
| | 12/14/1998 | Westhagen & Westhagen, Inc. | S-98277 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981214Westhagen.pdf | Prohibited Practice | | #11367 | | | | |
| | 11/29/1998 | Roger A. Hanson; Hanson & Turner Services, Inc. | S-98222 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981129HansonHansonTurner.pdf | Prohibited Practice | | Hanson #236512 | | | | |
| | 11/25/1998 | Jerome E. Liss; Liss Financial Services dba J.E. Liss & Company, Inc. | S-96269 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981125LissLissFinancial.pdf | Prohibited Practice | | Jerome E. Liss #310709; Liss Financial Services #21950 | | | | |
| | 11/19/1998 | James A. Baumann; Kathleen M. Baumann; JKB & Associates | S-95407 (EX); S-97310 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981119BaumannJKBAssociates.pdf | Unregistered Person, Unregistered Product | | James A. Baumann #8983496 & #3979111 | | | | |
| | 11/19/1998 | T.D. and Associates, Inc.; West Ovalo Gardner Lime Unit-Phase 1; Dennis Timpe; Michael L. Spradley | S-98066 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981119TDAssociatesWestOvalo.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 11/2/1998 | Aide The Living, Inc.; Clare William Willman | S-98131 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981102AidetheLivingWillman.pdf | Unregistered Product, Prohibited Practice, Fraud | | #468679 | | | | |
| | 10/29/1998 | Compact Connection, Inc.; James Bradley aka Darrell Piercy; R.W. Kelly; Tom Sheahan | S-97317 (FX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981029CompactConnection.pdf | Unregistered Product, Fraud | | | | | | |
| | 10/29/1998 | Vacation Invitations, Inc.; William Kegley aka Billy D. Kegley | S-98060 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981029VacationInvitations.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 10/23/1998 | Denis A. Brissette | S-98160 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981023Brissette.pdf | Unregistered Product, Prohibited Practice, Fraud | | #829985 | | | | |
| | 10/13/1998 | Marlon D. Tropeano; L.T. Lawrence & Co., Inc. | S-97073 (LX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981013TropeanoLTLawenceCo.pdf | Prohibited Practice | | Marlon D. Tropeano #1975708; L.T. Lawrence & Co. #31956 | | | | |
| | 10/8/1998 | Apex Resources, Inc.; James E. Egloff; Mario A. Garcia | S-98032 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981008ApexResourcesEgloff.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 10/1/1998 | Rudy Scarborough; Capital Finance Services, Inc.; Premier Financial Services | S-98073 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981001ScarboroughCapital.pdf | Unregistered Person, Unregistered Product | | | | | | |
| | 10/1/1998 | The Thornwater Company, LP | S-98135 (LX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19981001ThornwaterCompany.pdf | Prohibited Practice | | #36195 | | | | |
| | 9/24/1998 | Great Basin Petroleum, Inc.; Crawford Gas Well Partners; Kevin G. Harley; Scott J. Hoonakker; Frank P. Turner; Frederick Morrow | S-97291 (EX) | Consent Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19980924GreatBasinPetroleum.pdf | Unregistered Person, Unregistered Product | | Kevin G. Harley #2435178; Scott J. Hoonakker #2325915 | | | | |
| | 9/18/1998 | Gayle E. Porter; PLA Development Trust | S-98206 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19980918PorterPLADevelopment.pdf | Unregistered Person, Unregistered Product, Fraud | | | | | | |
| | 1/8/1998 | Douglas M. Trumbower; Nicholas Edward & Company | S-97141 (EX) | Summary Order | /Documents/Securities/RegistrationOfProfessionals/EnforcementAdministrativeOrders/1998/19980108TrumbowerNicholas.pdf | Unregistered Person, Unregistered Product | | | | | | |