| | 4/4/2023 | Nova Tech FX 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) | |