Until Tomorrow Drivetrains, LLC; and Dennis R. Di Ricco
|
Consent Order |
AP-22-02 |
07/08/2024
|
Raymond James & Associates, Inc., CRD No. 705; and Raymond James Financial Services, Inc., CRD No. 6694
|
Consent Order |
AP-23-16 |
05/31/2024
|
Thrasher & Chambers Wealth Management, LLC, CRD# 293532
|
Consent Order |
AP-24-07 |
05/03/2024
|
Abraham & Co., Inc., CRD# 299085 |
Consent Order |
AP-24-08 |
04/26/2024
|
Mokan Wealth Management, Inc., CRD# 328005; and Kyle T. Hammerschmidt, CRD# 6744129 |
Consent Order |
AP-24-06 |
04/08/2024
|
Michael MacLean |
Consent Order |
AP-24-04 |
04/02/2024
|
Daniel H. Vatterott |
Consent Order |
AP-24-05 |
03/28/2024
|
Caryn Michelle Alderson |
Consent Order |
AP-24-02 |
03/18/2024
|
Aegis Capital Corp., CRD No. 15007 |
Consent Order |
AP-23-15 |
01/31/2024
|
Hardwick Invest, LLC; and Thomas Hardwick |
Consent Order |
AP-24-01 |
01/23/2024
|
Bankers Life and Casualty Co. and BLC Financial Services, Inc. |
Amended Consent Order |
AP-12-20 |
01/10/2024
|
Spartan Capital Securities, LLC, CRD No. 146251 |
Consent Order |
AP-23-13 |
11/07/2023
|
Safeguard Metals LLC; and Jeffrey Ikahn (a/k/a Jeffrey S. Santulan and Jeffrey Hill) |
Order |
AP-23-14 |
11/02/2023
|
Blue Owl Technology Income Corp., f/k/a Owl Rock Technology Income Corp. |
Consent Order |
AP-23-20 |
10/30/2023
|
Veronika Weber; and Gary Weber |
Consent Order |
AP-23-17 |
09/08/2023
|
Raymond James & Associates, Inc., CRD No. 705 |
Consent Order |
AP-23-09 |
08/02/2023
|
Laurie Ann Kampman, CRD No. 2698601 |
Consent Order |
AP-23-10 |
07/25/2023
|
Kevin Loyd, CRD# 4447419 |
Consent Order |
AP-23-11 |
07/18/2023
|
Robinhood Financial LLC, CRD# 165998 |
Consent Order |
AP-23-05 |
06/23/2023
|
H & Z Enterprises HI, LLC; H & Z Cultivation, LLC; and Mackenzie S.C. Hoambrecker |
Consent Order |
AP-22-13 |
06/15/2023
|
Priority Management, LLC; and Meredith Vertreese |
Consent Order |
AP-23-07 |
06/05/2023
|
Donovan J. Brooks, CRD# 5927442 |
Consent Order |
AP-23-06 |
05/22/2023
|
Richard Matthew Brendza, CRD No. 1703194 |
Consent Order |
AP-23-02 |
05/11/2023
|
Thomas A. Eidelman, CRD# 3253733, and Benjamin M. Weiss, CRD# 6761857 |
Consent Order |
AP-23-04 |
02/21/2023
|
Nexo Capital Inc. |
Consent Order |
AP-23-03 |
02/02/2023
|
David Michael Brendza, CRD No. 1703163 |
Consent Order |
AP-23-01 |
01/30/2023
|
DevCoH, LLC; and David John Spalding |
Consent Order |
AP-22-10 |
11/03/2022
|
Thrivent Investment Management Inc., CRD# 18387 |
Consent Order |
AP-22-14 |
11/01/2022
|
Sean A. Brady, CRD #4365173 |
Final Order to Cease and Desist and Order Awarding Disgorgement, Civil Penalties, Costs and Other Administrative Relief |
AP-20-08 |
10/31/2022
|
H & Z Enterprises HI, LLC: H & Z Cultivation, LLC; & Mackenzie S.C. Hoambrecker |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, Costs and Other Administrative Relief Should not be Imposed |
AP-22-13 |
10/12/2022
|
Sapphire Wealth Planning LLC, CRD# 282779; and Melissa J. Ellis, CRD# 5605893 |
Consent Order |
AP-22-12 |
08/23/2022
|
Proactive Money Management, Inc., CRD# 110161; and Jeffrey Unterreiner, CRD# 1714682 |
Consent Order |
AP-22-11 |
08/10/2022
|
DevCoH LLC; and David John Spalding |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties, Restitution, Costs, and Other Administrative Relief Should not be Imposed |
AP-22-10 |
07/07/2022
|
CDS Fintech Group, LLC; and Terence L. Van Horn |
Consent Order |
AP-22-08 |
06/15/2022
|
Robert C. Bridgforth, CRD# 1231858; Ashley R. Wegener; Dustin M. Raysik; and Bryan L. Cochran, CRD# 5062915 |
Final Order to Cease and Desist and Order Awarding Civil Penalties, Restitution, Costs, and Other Administrative Relief |
AP-22-01 |
06/14/2022
|
Robert C. Bridgforth, CRD# 1231858; Ashley R. Wegener; Dustin M. Raysik; and Bryan L. Cochran, CRD# 5062915 |
Consent Order as to Bryan L. Cochran |
AP-22-01 |
06/14/2022
|
Des Moines Investments, LLC, CRD# 146322; David D. Harkin, CRD# 2369348; and Matthew S. Kimberley, CRD# 2701092 |
Consent Order |
AP-22-09 |
06/09/2022
|
Robert C. Bridgforth, CRD# 1231858; Ashley R. Wegener; Dustin M. Raysik; and Bryan L. Cochran, CRD# 5062915 |
Consent Order as to Respondent Wegener |
AP-22-01 |
06/09/2022
|
Steri Med Solutions LLC d/b/a Steriport Solutions; and David Edward Fenton, DVM |
Consent Order |
AP-22-04 |
05/31/2022
|
Daniel S. Madasz, Sr.; MadaszConsulting, Inc; and DSM Enterprises, LLC |
Consent Order as to Respondent Daniel S. Madasz Sr. |
AP-20-18 |
04/28/2022
|
John D. Myers; Kenneth D. Marg; Daniel S. Madasz, Sr.; Skytec Security Services, LLC; and Skytec Service KC, LLC |
Consent Order as to Respondent Daniel S. Madasz, Sr. |
AP-21-02 |
04/28/2022
|
BlockFi Lending LLC |
Consent Order |
AP-22-07 |
03/25/2022
|
Robert C. Bridgforth, CRD #1231858; Ashley R. Wegener; Dustin M. Raysik; and Bryan L. Cochran, CRD #5062915 |
Consent Order as to Respondent Raysik |
AP-22-01 |
03/17/2022
|
David Scott Kimball, CRD No. 1295353; Carnivore Trading, LLC: and Jason Kimble Adams, CRD No. 2217759 |
Consent Order |
AP-22-06 |
03/11/2022
|
Steri Med Solutions LLC d/b/a Steriport Solutions; and David Edward Fenton, DVM |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties, Restitution, Costs, and Other Administrative Relief Should not be Imposed |
AP-22-04 |
02/10/2022
|
Until Tomorrow Drivetrains, LLC: and Dennis R. Di Ricco |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties, Costs, and Other Administrative Relief Should not be Imposed |
AP-22-02 |
02/09/2022
|
Robert C. Bridgforth, CRD #1231858; Ashley R. Wegener; Dustin M. Raysik; and Bryan L. Cochran, CRD #5062915 |
Corrected Order to Cease and Desist and Order to Show Cause Why Civil Penalties, Restitution, Costs, and Other Administrative Relief Should not be Imposed |
AP-22-01 |
02/08/2022
|
Joshua J. Peters, CRD #3070720; and Zenith Sterling Advisers LLC |
Consent Order |
AP-22-05 |
02/04/2022
|
Robert C. Bridgforth, CRD #1231858; Ashley R. Wegener; Dustin M. Raysik; and Bryan L. Cochran, CRD #5062915 |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties, Restitution, Costs and other Administrative Relief Should not be Imposed |
AP-22-01 |
02/04/2022
|
Fango, LLC; and Imani Butler |
Findings of Fact, Conclusions of Law and Final Order Awarding Restitution, Civil Penalties and Costs |
AP-21-03 |
02/02/2022
|
Joel Paul Kichline, CRD No. 1416219 |
Consent Order |
AP-22-03 |
02/01/2022
|
Theodore Jay Eddings |
Consent Order |
AP-21-13 |
12/07/2021
|
Robert Nicholas Rotunno, CRD# 4025263 |
Consent Order |
AP-21-16 |
12/01/2021
|
Worden Capital Management LLC, CRD# 148366 |
Consent Order |
AP-21-15 |
11/16/2021
|
Moody Reid Financial Advisors, L.P., CRD# 119205; and Douglas W. Coe, CRD# 2208877 |
Consent Order |
AP-21-14 |
11/16/2021
|
Moody Reid Financial Advisors, L.P., CRD# 119205; and Douglas W. Coe, CRD# 2208877 |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties, Bar, Costs and Other Administrative Relief Should not be Imposed |
AP-21-14 |
11/2/2021
|
Theodore Jay Eddings |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties, Restitution, Costs and Other Administrative Relief Should not be Imposed |
AP-21-13 |
10/07/2021
|
John D. Myers; Kenneth D. Marg; Daniel S. Madasz, Sr.; Skytec Security Services, LLC; and Skytec Service KC, LLC |
Findings of Fact, Conclusions of Law, and Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-21-02 |
09/30/2021
|
Fresh Start Credit Services, LLC; and Loy Dennis Maxey |
Consent Order |
AP-21-08 |
09/22/2021
|
LaTour Asset Management, LLC, CRD# 172461; and Barbara Burns, CRD# 6303432 |
Consent Order |
AP-21-12 |
09/15/2021
|
Cryotherm USA, Inc.; John (Jianxin) Wang; and Dennis R. Di Ricco |
Consent Order |
AP-21-05 |
08/30/2021
|
Cutting Edge Supplements, LLC; and Desmond Richard Bloss |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties and Costs |
AP-21-07 |
08/20/2021
|
Scott Stuart Niekamp, CRD No. 3277810 |
Consent Order |
AP-21-11 |
08/02/2021
|
Monarch Capital Investment Fund, LLC; and Timothy Patrick Peabody |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-21-06 |
07/30/2021
|
WCO Holdings, LLC: and Alan Keith Brooks |
Consent Order |
AP-21-10 |
07/22/2021
|
Brendaleetrades.com; and its unknown principals, employees and agents |
Final Order to Cease and Desist and Order Awarding Civil Penalties and Costs as to Respondents Brendaleetrades.com and its Unknown Principals, Employees and Agents |
AP-21-04 |
07/20/2021
|
Green Clinic, LLC; d/b/a Green Clinics; and d/b/a The Green Clinics |
Consent Order |
AP-21-09 |
07/16/2021
|
Fresh Start Credit Services, LLC; and Loy Dennis Maxey |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, Costs, and Other Administrative Relief Should not be Imposed |
AP-21-08 |
07/02/2021
|
Cutting Edge Supplements, LLC; and Desmond Richard Bloss |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, Costs and Other Administrative Relief Should not be Imposed |
AP-21-07 |
07/01/2021
|
Golden Genesis, Inc., d/b/a Nuplasma; Thomas F. Casey; and Dennis R. Di Ricco |
Findings of Fact, Conclusions of Law, and Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties and Costs |
AP-20-13 |
06/30/2021
|
John D. Myers; Kenneth D. Marg; Daniel S. Madasz, Sr.; Skytec Security Services, LLC; and Skytec Service KC, LLC |
Consent Order as to Respondent Kenneth D. Marg |
AP-21-02 |
06/29/2021
|
Monarch Capital Investment Fund, LLC; and Timothy Patrick Peabody |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, Costs and Other Administrative Relief Should not be Imposed |
AP-21-06 |
06/08/2021
|
Cryotherm USA, Inc.; John (Jianxin) Wang; and Dennis R. Di Ricco |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties, Costs, and other Administrative Relief Should not be Imposed |
AP-21-05 |
05/28/2021
|
BRENDALEETRADES.COM, its unknown principals, employees, and agents |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties, Restitution, Disgorgement of Profits, Costs, and Other Administrative Relief Should not be Imposed |
AP-21-04 |
04/27/2021
|
Fango, LLC; and Imani Butler |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties, Restitution, Costs, and Other Administrative Relief Should not be Imposed |
AP-21-03 |
04/16/2021
|
Patrick S. Kucera; Henrik R. Jensen; Skytec Security Midwest LLC; and Skytec Security Operations LLC |
Findings of Fact, Conclusions of Law, and Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-20-11 |
03/15/2021
|
Retire Happy, LLC; Julie A. Minuskin; and Joshua P. Stoll |
Findings of Fact, Conclusions of Law, and Final Order to Cease and Desist and Order Awarding Civil Penalties, Costs, and Restitution |
AP-20-06 |
03/10/2021
|
Yifei Lu |
Consent Order |
AP-20-19 |
03/08/2021
|
John D. Myers; Kenneth D. Marg; Daniel S. Madasz, Sr.; Skytec Security Services, LLC; and Skytec Service KC, LLC |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties, Restitution, Costs and Other Administrative Relief Should not be Imposed |
AP-21-02 |
02/23/2021
|
GPB Capital Holdings, LLC; Ascendant Capital, LLC: Ascendant Alternative Strategies, LLC; David Gentile; Jeffry Schneider; and Jeffrey Lash |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties, Restitution, Disgorgement of Profits, Costs, and Other Administrative Relief Should not be Imposed |
AP-21-01 |
02/04/2021
|
Daniel S. Madasz, Sr.; MadaszConsulting, LLC; and DSM Enterprises, LLC |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, Costs, and Other Administrative Relief Should not be Imposed |
AP-20-18 |
12/04/2020
|
Beacon Capital Distributors, Inc.; CRD# 169468; Robert D. Kilivris, CRD# 1678242; and Keith Harris, CRD# 5831728 |
Consent Order |
AP-20-17 |
12/02/2020
|
Yifei Lu |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties, Disgorgement, Costs and Other Administrative Relief Should not be Imposed |
AP-20-19 |
11/18/2020
|
DMK Advisor Group, Inc., CRD# 41067 |
Consent Order |
AP-20-16 |
10/16/2020
|
Conestoga Trust (f/k/a Conestoga Settlement Trust, Conestoga Settlement Services, LLC); and Conestoga International, LLC |
Consent Order |
AP-20-15 |
10/15/2020
|
Robert Patton Stansberry, CRD# 712525; and V Wealth Advisers, LLC, CRD# 153278 |
Consent Order |
AP-20-14 |
10/01/2020
|
Golden Genesis, Inc., d/b/a NuPlasma; Thomas F. Casey; Dennis R. Di Ricco; and Cynthia E. Wade |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties, Restitution, Costs and other Administrative Relief Should not be Imposed |
AP-20-13 |
8/31/2020
|
Tesar Financial, LLC, CRD #124019, and Thomas George Tesar, CRD #4604321 |
Consent Order |
AP-20-12 |
08/12/2020
|
Patrick S. Kucera; Henrik R. Jensen; Skytec Security Midwest LLC; and Skytec Security Operations LLC |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, Costs, and Other Administrative Relief Should not be Imposed |
AP-20-11 |
07/24/2020
|
Cannabis Plus Missouri, L.L.C.; Can Plus MO Investments; Shawn Harrison; Kristie Harrison; and Kevin Larson |
Consent Order |
AP-20-10 |
07/15/2020
|
Adomani, Inc.; and James L. Reynolds |
Consent Order |
AP-20-09 |
07/01/2020
|
Cannabis Plus Missouri, LLC; Can Plus MO Investments; Shawn Harrison; Kristie Harrison; and Kevin Larson |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, Costs, and Other Administrative Relief Should not be Imposed |
AP-20-10 |
06/22/2020
|
Retire Happy, LLC; Julie A. Minuskin; and Joshua P. Stoll |
Amended Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, Costs, and Other Administrative Relief Should not be Imposed |
AP-20-06 |
06/16/2020
|
Joseph Drake Ritchie and Drake Investment Options, LLC |
Consent Order |
AP-19-16 |
06/04/2020
|
TMTE, Inc., a/k/a Chase Metals, LLC, a/k/a Chase Metals.com; and Walter Vera |
Consent Order |
AP-19-19 |
05/26/2020
|
Paper Hat Asset Management, LLC, CRD# 165939, and Bryce Joseph Schumacher, CRD# 6148608 |
Consent Order |
AP-20-07 |
05/01/2020
|
Healthy Plus, LLC; VC Medical Group, LLC; and Sean E. Bledsoe |
Consent Order |
AP-20-02 |
04/30/2020
|
Michael Reither, CRD# 853363 |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, Costs, and Other Administrative Relief |
AP-20-05 |
04/29/2020
|
Sean A. Brady, CRD# 4365173 |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, Costs, and Other Administrative Relief Should not be Imposed |
AP-20-08 |
04/24/2020
|
Retire Happy, LLC; Julie A. Minuskin; and Joshua P. Stoll |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, Costs, and Other Administrative Relief Should not be Imposed |
AP-20-06 |
04/02/2020
|
Elton Norman, CRD #6402086; and Dominion Financial Group, LLC, CRD #297757 |
Order of Suspension and Notice of Referral to the Administrative Hearing Commission |
AP-20-04 |
03/23/2020
|
Michael Reither, CRD #853363 |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, Costs, and Other Administrative Relief Should not be Imposed |
AP-20-05 |
03/20/2020
|
Solium Financial Services LLC, CRD #147933 |
Consent Order |
AP-20-03 |
03/13/2020
|
Kirk Urick |
Second Amended Consent |
AP-19-20 |
03/13/2020
|
Healthy Plus, LLC; VC Medical Group, LLC: and Sean E. Bledsoe |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, Costs and Other Administrative Relief Should not be Imposed |
AP-20-02 |
03/11/2020
|
Richard Joos, individually and d/b/a Safe Money Millionaire, Wealth Beyond Wall Street, Growth Management Group, LLC, Safe Money Group and Franklin Financial |
Findings of Fact and Conclusions of Law for Final Order to Cease and Desist and Order Awarding Disgorgement, Civil Penalties, and Costs |
AP-19-13 |
02/27/2020
|
Pathway Advisors Group, CRD #290221, and William David Frier, CRD #1029781 |
Consent Order |
AP-20-01 |
02/18/2020
|
John J. Palczuk; and Karen Palczuk |
Order of Dismissal |
AP-19-18 |
02/13/2020
|
Kirk Urick |
Amended Consent Order |
AP-19-20 |
02/03/2020
|
Garland E. Harris; and Troptions Corporation |
Order of Dismissal |
AP-19-02 |
01/13/2020
|
Mavixbtc Limited |
Final Order to Cease and Desist and Order Awarding Civil Penalties and Costs as to Respondent Mavixbtc Limited and its Unknown Principals, Employees, and Agents |
AP-19-17 |
12/27/2019
|
The Stock Exchange Trading Company, LLC, and its unknown employees and agents |
Final Order to Cease and Desist and Order Awarding Civil Penalties and Costs as to Respondent The Stock Exchange Trading Company, LLC, and its Unknown Employees and Agents |
AP-19-12 |
12/20/2019
|
Daniel Stephen Madasz, Sr.; DSM Enterprises, LLC; Madasz Consulting, Inc; John Myers; Kenneth Marg; Henrik R. Jensen; Patrick S. Kucera; Skytec Security Operations, LLC; and Skytec Roofing, LLC |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-19-21 |
12/18/2019
|
Surgioscopy, LLC, and Stoney Davin Shaw |
Consent Order |
AP-19-04 |
12/11/2019
|
Progress Marketing Management, LLC; and Shajuan A. Butler |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs as to Respondents Progress Marketing Management, LLC; and Shajuan A. Butler |
AP-19-14 |
11/26/2019
|
Social, Inc.; Social Automotive Management Services, LLC; Sharp Management, LLC D/B/A Social Automotive Management Services; and Adam Sharp |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs as to Respondents Social Automotive Management Services, LLC: Sharp Management, LLC; Social, Inc.; and Adam Sharp |
AP-19-10 |
11/07/2019
|
Kirk Urick |
Consent Order |
AP-19-20 |
11/01/2019
|
TMTE, Inc., a/k/a Metals.com, a/k/a Chase Metals, LLC, a/k/a Chase Metals, Inc.; and Walter Vera |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-19-19 |
11/01/2019
|
John J. Palczuk; and Karen Palczuk |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-19-18 |
10/22/2019
|
Mavixbtc Limited and its Unknown Principals, Employees and Agents |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-19-17 |
09/26/2019
|
Drake Investment Options, LLC, and Joseph Drake Ritchie |
Order to Cease and Desist and Order to Show Cause Why Revocation, Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-19-16 |
09/26/2019
|
Weaverland Financial Aid of Missouri, Inc. |
Consent Order |
AP-19-15 |
09/18/2019
|
Progress Marketing Management, LLC; and Shajuan A. Butler |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-19-14 |
09/05/2019
|
Richard Joos, individually and d/b/a Safe Money Millionaire, Wealth Beyond Wall Street, Growth Management Group, LLC; Safe Money Group, and Franklin Financial |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-19-13 |
08/28/2019
|
Beacon Wealth Advisory, LLC, CRD #287532 |
Consent Order |
AP-19-11 |
08/23/2019
|
The Stock Exchange Trading Company, LLC, and its unknown employees and agents |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-19-12 |
08/22/2019
|
Social, Inc.; Social Automotive Management Services, LLC; Sharp Management, LLC D/B/A Social Automotive Management Services; and Adam Sharp |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-19-10 |
08/20/2019
|
Roy Harris, Jr.; Orthogistic Labs, Inc.; Orthogistic, LLC; and Amniogistic, LLC |
Consent Order |
AP-18-07 |
07/22/2019
|
John G. Rallo; and FFH Holdings, LLC |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs as to Respondents John G. Rallo and FFH Holdings, LLC |
AP-19-07 |
06/21/2019
|
Jeffrey W. Robnett; and Classified Investments, Inc. |
Order |
AP-19-05 |
06/12/2019
|
Lavender Farms, LLC; and Paul Benton Weeks III, Individually and doing business as Lavender Farms, LLC |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties and Costs |
AP-15-01 |
06/10/2019
|
Albatross Investment Services, LLC, CRD #282713 |
Consent Order |
AP-19-08 |
06/04/2019
|
Capital-E Advisors, LLC, CRD #297820 |
Consent Order |
AP-19-09 |
06/03/2019
|
Becker, Jackson & Reed, LLC; Alpine Family Entertainment Parks 1, LLC; Alpine Entertainment, Inc.; Eugene M. Hagen; and Johnathan Plimpton |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-19-03 |
05/16/2019
|
John G. Rallo; and FFH Holdings, LLC |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-19-07 |
05/10/2019
|
Garland E. Harris; and Troptions Corporation |
Amended Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-19-02 |
05/07/2019
|
Jan Skola |
Consent Order |
AP-19-06 |
04/25/2019
|
Eric C. Wilkinson; David Michaels; Donald K. Blake; Michael H. Ketcher; and Scott Stoltz |
Findings of Fact and Conclusions of Law for Final Order to Cease and Desist and Order Awarding Rescission, Civil Penalties, and Costs as to Respondents Wilkinson and Michaels |
AP-18-11 |
03/29/2019
|
Jeffrey W. Robnett and Classified Investments, Inc. |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties Should not be Imposed |
AP-19-05 |
03/20/2019
|
Surgioscopy, LLC and Stoney Davin Shaw |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties and Costs Should not be Imposed |
AP-19-04 |
03/19/2019
|
Richard C. Renshaw; Innovative Financial Solutions, LLC; and Alternative Portfolio Solutions, LLC |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-18-20 |
03/15/2019
|
Trading Epic |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-18-21 |
03/05/2019
|
Becker, Jackson & Reed, LLC; Alpine Family Entertainment Parks 1, LLC; Alpine Entertainment, Inc.; Eugene M. Hagen; and Johnathan Plimpton |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-19-03 |
02/19/2019
|
Joshua McDonald; and Perfection PR Firm, LLC |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs as to Respondents Joshua McDonald and Perfection PR Firm, LLC |
AP-18-19 |
02/15/2019
|
Garland E. Harris; and Troptions Corporation |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-19-02 |
02/01/2019
|
Douglas A. Richardson, CPA, LLC; and Douglas A. Richardson |
Consent Order |
AP-17-03 |
01/28/2019
|
Trading Epic and its Unknown Principals and Agents |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-18-21 |
12/21/2018
|
Richard C. Renshaw; Innovative Financial Solutions, LLC; and Alternative Portfolio Solutions, LLC |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-18-20 |
12/21/2018
|
Eric C. Wilkinson; David Michaels; Donald K. Blake; Michael H. Ketcher; and Scott Stoltz |
Consent Order as to Respondent Scott Stoltz |
AP-18-11 |
12/21/2018
|
Eric C. Wilkinson; David Michaels; Donald K. Blake; Michael H. Ketcher; and Scott Stoltz |
Consent Order as to Respondents Blake and Ketcher |
AP-18-11 |
12/06/2018
|
Joshua McDonald; and Perfection PR Firm, LLC |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties and Costs Should not be Imposed |
AP-18-19 |
12/05/2018
|
LPL Financial, LLC |
Consent Order |
AP-18-12 |
11/07/2018
|
|
Order Waiving Examination Requirements for Certain Broker-Dealer Agents |
AO-18-01 |
11/06/2018
|
Glenridge Capital |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-18-13 |
11/05/2018
|
Tropical Trade |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-18-14 |
10/24/2018
|
Morgan Finances |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-18-15 |
10/24/2018
|
Longhorn Properties, LLC, et al. d/b/a Longhorn Properties of Missouri, LLC; and Henry T. Hammond a/k/a Tommy Hammond |
Consent Order as to Respondent Henry T. Hammond |
AP-14-04 |
10/22/2018
|
Insight Investment Advisers LLC, CRD #286497 |
Consent Order |
AP-18-18 |
10/19/2018
|
JK Janitorial Software, LLC; John Shull; and Kristin Shull |
Final Order to Cease and Desist and Order Imposing Restitution, Civil Penalties, and Costs |
AP-18-05 |
10/04/2018
|
ATM Profit Centers, LLC a/k/a ATM Profit Centers; and Stephen D. Durfee a/k/a Steve Durfee, Deceased |
Order of Dismissal |
AP-05-05 |
10/03/2018
|
Wilbanks Securities, Inc. CRD No. 40673; Aaron Wilbanks & Associates, Inc., CRD No. 118304; and Aaron B. Wilbanks, CRD No. 1983697 |
Order of Dismissal |
AP-17-31 |
09/13/2018
|
George Myers, Jr. |
Consent Order |
AP-18-09 |
09/07/2018
|
Michael Peregrine and Owen K. Stephenson |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs as to Respondent Owen K. Stephenson |
AP-18-06 |
08/23/2018
|
Drake Investment Options LLC, CRD No. 164785 |
Consent Order |
AP-18-17 |
08/23/2018
|
Michael Peregrine; and Owen K. Stephenson |
Consent Order as to Respondent Michael Peregrine |
AP-18-06 |
08/23/2018
|
John N. Cucinella, CRD No. 2614279; Mackrow Asset Management Group; and Runnstarr Asset Management Group |
Consent Order |
AP-18-16 |
08/22/2018
|
Baltic Fund |
Final Order to Cease and Desist and Order Awarding Civil Penalties and Costs Against Respondent Baltic Fund |
AP-18-10 |
08/06/2018
|
Morgan Finances |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-18-15 |
07/25/2018
|
Tropical Trade |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-18-14 |
07/25/2018
|
Glenridge Capital |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-18-13 |
07/25/2018
|
Oakbridge Financial Services, Inc., CRD No. 16323; Private Label Money Management, Inc., CRD No. 154952; Steven Larson, CRD No. 2422755; Michael Standley, CRD No. 2422939; and Kathryn Winter, CRD No. 4523089 |
Amended Final Order to Cease and Desist and Order Awarding Restitution and Assessing Civil Penalties and Costs as to Respondents Oakbridge Financial Services, Inc., and Private Label Money Management, Inc. |
AP-16-11 |
06/04/2018
|
5A Holdings, LLC; Cameron J. Hager, and Robert D. Hawkins |
Final Order to Cease and Desist and Order Awarding Restitution and Assessing Civil Penalties and Costs as to Respondents 5A Holdings, LLC and Cameron J. Hager |
AP-18-08 |
06/04/2018
|
Oakbridge Financial Services, Inc., CRD No. 16323; Private Label Money Management, Inc., CRD No. 154952; Steven Larson, CRD No. 2422755; Michael Standley, CRD No. 2422939; and Kathryn Winter, CRD No. 4523089 |
Final Order to Cease and Desist and Order Awarding Restitution and Assessing Civil Penalties and Costs as to Respondents Oakbridge Financial Services, Inc., and Private Label Money Management, Inc. |
AP-16-11 |
06/01/2018
|
Baltic Fund |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should not be Imposed |
AP-18-10 |
05/21/2018
|
Eric C. Wilkinson; David Michaels; Donald K. Blake; Michael H. Ketcher; and Scott Stoltz |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-18-11 |
05/17/2018
|
Innovest Club, Inc.; WHYremote, Inc.; and Colin P. Purcell |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-17-22 |
05/14/2018
|
Oakbridge Financial Services, Inc., CRD No. 16323; Private Label Money Management, Inc., CRD No. 154952; Steven Larson, CRD No. 2422755; Michael Standley, CRD No. 2422939; and Kathryn Winter, CRD No. 4523089 |
Consent Order as to Respondent Steven Larson |
AP-16-11 |
05/11/2018
|
Oakbridge Financial Services, Inc., CRD No. 16323; Private Label Money Management, Inc., CRD No. 154952; Steven Larson, CRD No. 2422755; Michael Standley, CRD No. 2422939; and Kathryn Winter, CRD No. 4523089 |
Consent Order as to Respondent Michael Standley |
AP-16-11 |
05/09/2018
|
JK Janitorial Software, LLC; John Shull; and Kristin Shull |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties and Costs Should not be Imposed |
AP-18-05 |
05/04/2018
|
5A Holdings, LLC; Cameron J. Hager; and Robert D. Hawkins |
Consent Order as to Respondent Robert D. Hawkins |
AP-18-08 |
04/18/2018
|
Ipractice Group, Inc.; Ting N. Chang; Michael Jason Morgan; and Colin P. Purcell |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs as to Ipractice Group, Inc. and Colin P. Purcell |
AP-17-20 |
04/18/2018
|
George Myers, Jr. |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-18-09 |
04/17/2018
|
Brian Hudnall and JBH Consulting Group LLC |
Consent Order |
AP-18-02 |
04/06/2018
|
5A Holdings, LLC; Cameron J. Hager, and Robert D. Hawkins |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-18-08 |
04/03/2018
|
Schaefer Wealth Management, Inc., CRD# 145992 |
Consent Order |
AP-18-04 |
03/20/2018
|
Roy Harris, Jr.; Orthogistic Labs, Inc.; Orthogistic, LLC; and Amniogistic, LLC |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-18-07 |
03/12/2018
|
Michael Peregrine; and Owen K. Stephenson |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-18-06 |
03/06/2018
|
Rumelia Capital |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-17-29 |
02/06/2018
|
Akbar & Associates Legal Corp.; Integrity Benefits Solution Corp.; and Malik Akbar |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-17-25 |
02/01/2018
|
Unity Oil & Gas, a/k/a Unity Oil & Gas LLC; and David E. Roper |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-17-26 |
01/31/2018
|
Elite Investment Advisors, LLC, CRD No. 118389; and Brian T. Bingham CRD No. 4530526 |
Consent Order |
AP-16-49 |
01/30/2018
|
Ipractice Group, Inc.; Ting N. Chang; Michael Jason Morgan; and Colin P. Purcell |
Consent Order as to Respondents Ting N. Chang and Michael Jason Morgan |
AP-17-20 |
01/24/2018
|
Andrew Denney, CRD No. 4751722 |
Consent Order |
AP-18-01 |
01/09/2018
|
Joseph Alan Likens, CRD No. 3084903 |
Consent Order |
AP-17-30 |
12/20/2017
|
Industrial Realty Development, LLC; and Carol Costello |
Consent Order |
AP-17-11 |
12/19/2017
|
WFB Management Group, LLC; Michael R. Stephan; Luis A. Cota; Steven C. Rice; and Bernard G. D'Andrea |
Consent Order as to Respondents WFB Management Group, LLC; Luis A. Cota; Steven C. Rice; and Bernard G. D'Andrea |
AP-17-23 |
12/19/2017
|
Oakbridge Financial Services, Inc., CRD No. 16323; Private Label Money Management, Inc., CRD No. 154952; Steven Larson, CRD No. 2422755; Michael Standley, CRD No. 2422939; and Kathryn Winter, CRD No. 4523089 |
Consent Order as to Respondent Kathryn Winter |
AP-16-11 |
12/13/2017
|
Wilbanks Securities, Inc., CRD No. 40673; Aaron Wilbanks & Associates, Inc., CRD No. 118304; and Aaron B. Wilbanks, CRD No. 1983697 |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, Costs and Other Administrative Relief Should not be Imposed |
AP-17-31 |
12/11/2017
|
Ivan T. North, CRD No. 6602994 |
Consent Order |
AP-17-27 |
11/09/2017
|
Rumelia Capital |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-17-29 |
11/07/2017
|
Assemblies of God Loan Fund |
Consent Order |
AP-17-28 |
10/31/2017
|
Flash Forward Publications LLC; and Kingsley Charles Barham, CRD No. 12433 |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-16-39 |
10/30/2017
|
Investment Midwest LLC and Renee Goodman |
Final Order to Cease and Desist and Order Awarding Restitution, Costs, and Civil Penalties |
AP-14-02 |
10/20/2017
|
Unity Oil & Gas, a/k/a Unity Oil & Gas LLC; and David E. Roper |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-17-26 |
10/10/2017
|
Akbar & Associates Legal Corp.; Integrity Benefits Solution Corp.; and Malik Akbar |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-17-25 |
10/02/2017
|
Chadwick W. Brooks, CRD #1968067; ABM Management, Inc.; ABM Management, Intl., Ltd; Amcap Premier, LP; Doctors Investment Group, LP; and Cloud Nine Investments, LLC |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-17-16 |
09/21/2017
|
Renegade Investment Properties, Inc. |
Consent Order |
AP-17-24 |
09/19/2017
|
Cambridge Adult Day Center Washington LLC; Universal Exports Limited II, LLC; Broadco, LLC; Broadway Fund I, LLC; Fordyce Brown Enterprises, LP; Anne Reid Products, LLC; Shaun Hayes; Charles Lehnbeuter; and William Darmstaedter, II |
Final Order to Cease and Desist as to Respondents Cambridge Adult Day Center Washington, LLC; Universal Exports Limited II, LLC; Broadco, LLC; Broadway Fund I, LLC; Fordyce Brown Enterprises, LP; Anne Reid Products, LLC; and Shaun Hayes and Order Awarding Restitution, Civil Penalties, and Costs |
AP-17-09 |
09/14/2017
|
Cristol Enterprises, LLC; Cristea Holdings, LLC; Christopher Cristea; and David Corey Tolle |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-14-03 |
09/14/2017
|
WFB Management Group, LLC; Michael R. Stephan; Luis A. Cota; Steven C. Rice; and Bernard G. D'Andrea |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-17-23 |
09/12/2017
|
Richard C. Renshaw; d/b/a Innovative Financial Solutions and d/b/a IFS Advisor; and Investors Unlimited, LLC |
Consent Order |
AP-17-21 |
09/07/2017
|
Thomas K. Elder, CRD No. 1502491 |
Consent Order |
AP-17-19 |
09/06/2017
|
Innovest Club, Inc.; Whyremote, Inc.; and Colin P. Purcell |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-17-22 |
08/28/2017
|
Robert J. Wodicker, CRD No. 2336465 |
Final Order to Cease and Desist and Order Awarding Civil Penalties, Costs, and Other Administrative Relief |
AP-17-14 |
08/14/2017
|
Pharyn Resources, Inc.; and Phillip M. Hudnall |
Consent Order |
AP-17-17 |
08/10/2017
|
Aspen Wealth Management, Inc., CRD# 116061 |
Consent Order |
AP-17-10 |
08/08/2017
|
Ipractice Group, Inc.; Ting N. Chang; Michael Jason Morgan; and Colin P. Purcell |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-17-20 |
08/08/2017
|
Whoistrustee.com Limited d/b/a Binaryoptionrobot.com |
Final Order to Cease and Desist and Order Awarding Civil Penalties and Costs |
AP-17-13 |
07/31/2017
|
Cambridge Adult Day Center Washington LLC; Universal Exports Limited II, LLC: Broadco, LLC; Broadway Fund I, LLC; Fordyce Brown Enterprises, LP; Anne Reid Products, LLC; Shaun Hayes; Charles Lehnbeuter; and William Darmstaedter, II |
Consent Order as to Respondent Lehnbeuter |
AP-17-09 |
07/12/2017
|
Adam Marc Gulin, CRD No. 1271827 |
Consent Order |
AP-17-12 |
07/07/2017
|
Cambridge Adult Day Center Washington LLC; Universal Exports Limited II, LLC; Broadco, LLC; Broadway Fund I, LLC; Fordyce Brown Enterprises, LP; Anne Reid Products, LLC; Shaun Hayes; Charles Lehnbeuter; and William Darmstaedter, II |
Consent Order as to Respondent William Darmstaedter, II |
AP-17-09 |
07/05/2017
|
Michael Burnos; and Allied Trading Group |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-17-07 |
06/26/2017
|
Chadwick W. Brooks, CRD #1968067; ABM Management, Inc.; ABM Management, Intl., Ltd.; Amcap Premier, LP; Doctors Investment Group, LP; and Cloud Nine Investments, LLC |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-17-16 |
06/23/2017
|
Robert J. Wodicker, CRD No. 2336465 |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties, Costs, and Other Administrative Relief Should not be Imposed |
AP-17-14 |
06/19/2017
|
Whoistrustee.com Limited d/b/a Binaryoptionrobot.com |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should not be Imposed |
AP-17-13 |
06/16/2017
|
Debbie Rulon, CRD No. 2300010 |
Consent Order |
AP-17-08 |
05/30/2017
|
Carol Costello; and Industrial Realty Development, LLC |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-17-11 |
05/25/2017
|
Cambridge Adult Day Center Washington LLC; Universal Exports Limited II, LLC; Broadco, LLC; Broadway Fund I, LLC; Fordyce Brown Enterprises, LP; Anne Reid Products, LLC; Shaun Hayes; Charles Lehnbeuter; and William Darmstaedter, II |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-17-09 |
05/19/2017
|
Douglas Bagwell; and Douglas Bagwell & Co., LLC |
Consent Order |
AP-16-28 |
05/16/2017
|
Stafford Financial Firm; and Mark Q. Stafford |
Final Order to Cease and Desist and Order Awarding Restitution, Costs, and Civil Penalties |
AP-17-04 |
05/15/2017
|
MarketsTheWorld Limited d/b/a "Markets World" and d/b/a "MarketsWorld" |
Final Order to Cease and Desist and Order Awarding Civil Penalties and Costs |
AP-16-41 |
05/11/2017
|
Manzur Ahmed Mazumder, CRD No. 2780858 |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-16-48 |
05/03/2017
|
Red Oak Compliance Solutions, LLC |
Consent Order |
AP-17-06 |
05/01/2017
|
Michael Burnos; and Allied Trading Group |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-17-07 |
04/28/2017
|
Agricola Associates, LLC; Frederick C. Voegtli; and William J. Matula |
Amended Consent Order |
AP-15-15 |
04/26/2017
|
Thunderstruck Investments Limited d/b/a Tradethunder.com |
Final Order to Cease and Desist and Order Awarding Civil Penalties and Costs |
AP-16-35 |
04/21/2017
|
Personal Financial Group, CRD# 116806 |
Consent Order |
AP-17-05 |
04/20/2017
|
TRADER'S WAY, d/b/a TRADERSWAY, d/b/a TRADER'SWAY, and d/b/a TRADERS WAY |
Consent Order |
AP-16-46 |
03/14/2017
|
Douglas A. Richardson, CPA, LLC; and Douglas A. Richardson |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-17-03 |
03/07/2017
|
Mad Baby Pictures, LLC; and Patrick H. Pinkston |
Consent Order |
AP-16-07 |
03/06/2017 |
Stafford Financial Firm; and Mark Q. Stafford |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-17-04 |
03/06/2017 |
Westpark Capital, Inc., CRD No. 39914, and John Reilly, CRD No. 870804 |
Consent Order |
AP-17-02 |
03/03/2017 |
A.G. Edwards & Sons, Inc. (N/K/A "Wells Fargo Clearing Services, LLC"), CRD No. 4 |
Consent Order |
AP-17-01 |
02/16/2017 |
Shannon Kathleen Daniels, CRD No. 4606771, d/b/a MTSF |
Consent Order |
AP-16-42 |
02/16/2017 |
Central States Capital Markets, LLC, CRD No. 155291 |
Consent Order |
AP-16-67 |
12/27/2016 |
Elite Investment Advisors, LLC, CRD No. 118389 and Brian T. Bingham, CRD No. 4530526 |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, Costs, and Other Administrative Relief Should not be Imposed |
AP-16-49 |
12/22/2016 |
Zulutoys Limited, d/b/a RBOptions.com; Jordan Gatsby; and Joseph Wolf |
Consent Order |
AP-16-18 |
12/15/2016 |
Manzur Ahmed Mazumder, CRD No. 2780858 |
Amended Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-16-48 |
12/13/2016 |
Pike Financial Group, LLC; and Fred Tepen, CRD #2140017 |
Consent Order |
AP-10-39 |
12/05/2016 |
Maximum Performance, Inc. and Howard E. Roberts |
Consent Order |
AP-15-49 |
12/05/2016 |
Manzur Ahmed Mazumder, CRD No. 2780858 |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-16-48 |
12/05/2016 |
Trader's Way, d/b/a Tradersway, d/b/a Trader'sway, and d/b/a Traders Way |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-16-46 |
12/05/2016 |
Shannon Kathleen Daniels, CRD No. 4606771, d/b/a MTSF |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, Costs, and Other Administrative Relief Should not be Imposed |
AP-16-42 |
12/05/2016 |
Landmark Financial Planning, LLC, CRD No. 147878 and Brant Jeremy Donis, CRD No. 5259554
|
Consent Order |
AP-16-34 |
12/02/2016 |
Heartland Capital Advisors, L.C., CRD No. 116127 and Kenneth Allen Woodruff, CRD 1322753
|
Consent Order |
AP-16-21 |
12/01/2016 |
Lerona Impex SA d/b/a Finpari and Finpari.com |
Consent Order |
AP-16-29 |
11/28/2016 |
Bluegrass Capital Advisors, LLC, CRD No. 147805 |
Consent Order |
AP-16-45 |
11/15/2016 |
Shawn Greeves |
Consent Order |
AP-16-23 |
11/01/2016 |
The Lampo Group, LLC |
Consent Order |
AP-16-26 |
10/25/2016 |
Flash Forward Publications LLC and Kingsley Charles Barham, CRD No. 12433 |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-16-39 |
10/19/2016 |
Becky V. Halphin, CRD No. 2421711 |
Consent Order |
AP-16-44 |
10/18/2016 |
MarketsTheWorld Limited, d/b/a "Markets World" and d/b/a "MarketsWorld" |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-16-41 |
10/18/2016 |
Steven Bumbera, CRD No. 4686154 |
Consent Order |
AP-16-40 |
10/12/2016 |
Douglas Bagwell and Douglas Bagwell & Co., LLC |
Order to Cease and Desist and Order to Show Cause why Respondents Should not be Censured, and Why Civil Penalties, Costs and Other Administrative Relief Should not be Imposed |
AP-16-28 |
10/11/2016 |
Zulutoys Limited, d/b/a RBOptions.com; Jordan Gatsby; and Joseph Wolf |
Final Order to Cease and Desist and Order Awarding Restitution, Costs, and Civil Penalties |
AP-16-18 |
9/30/2016 |
Champion Management International, LLC; Oracle Forex Fund, LP; Daniel Keith Steele; and Judy Dianne Steele |
Final Order to Cease and Desist and Order Awarding Restitution, Costs, and Civil Penalties |
AP-13-19 |
9/29/2016 |
Thunderstruck Investments Limited d/b/a Tradethunder.com |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-16-35 |
9/29/2016 |
Wealthcare, LLC, CRD No. 170382 and James Barry Watts, CRD No. 2482375 |
Consent Order |
AP-16-31 |
9/28/2016 |
Bremen Investment Company, LLC; Harvest Marketplace, LLC; and Sterling Moody |
Consent Order |
AP-16-36 |
9/27/2016 |
Michael J. Farinella, CRD No. 5297170 |
Consent Order |
AP-16-38 |
9/21/2016 |
Alison Nicole Andrews, CRD No. 6196235 and Diana Sue Chadwick, CRD No. 3139436 |
Consent Order |
AP-16-33 |
9/19/2016 |
Pro Trader Institute, LLC and National Marketing Enterprises, Inc. |
Consent Order |
AP-16-30 |
9/07/2016 |
Landmark Financial Planning, LLC, CRD No. 147878 and Brant Jeremy Donis, CRD No. 5259554 |
Order to Cease and Desist and Order to Show Cause why Respondents Should not be Censured, and why Civil Penalties and Other Administrative Relief Should not be Imposed |
AP-16-34 |
9/02/2016 |
Ernst & Associates, LLC and Edward Chase Ernst |
Consent Order |
AP-16-32 |
8/22/2016 |
James D. Stinson, Jr., CRD No. 4005905 |
Consent Order |
AP-16-16 |
8/15/2016 |
Richard Heyl |
Consent Order |
AP-16-27 |
8/15/2016 |
Wealthcare, LLC, CRD No. 170382 and James Barry Watts, CRD No. 2482375 |
Order to Show Cause why Respondents Should not be Censured, and why Civil Penalties, and Other Administrative Relief Should not be Imposed |
AP-16-31 |
7/28/2016 |
Lerona Impex SA d/b/a Finpari and Finpari.com |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-16-29 |
7/27/2016 |
Shawn Greeves |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-16-23 |
7/25/2016 |
Penson Associates, LLC and William R. Penson, Jr., Individually and doing business as Penson Associates, LLC |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-15-25 |
7/21/2016 |
PIF Financial Services, LLC, et al. |
Final Order to Cease and Desist as to PIF Financial Services, LLC; Premier Mortgage Solutions, LLC; Michael Kitchen; Dion Monroe; and Shannon R. Ingram and Order Awarding Restitution, Civil Penalties, and Costs |
AP-12-32 |
7/19/2016 |
Charles Russell Williams II, CRD No. 467541 |
Consent Order |
AP-15-18 |
7/15/2016 |
Michael J. Burke and Shannon K. Burke |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-15-32 |
7/11/2016 |
Lucas Branstetter |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-15-17 |
7/11/2016 |
Riverside Lease, LLC; Terina K. Carney, Individually and doing business as Riverside Lease, LLC; and Christopher Schafer |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-15-03 |
6/27/2016 |
CCRP Investments LLC; Shih Hung Chou a/k/a Sam Chou; and Scott Brookshire |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-15-48 |
6/23/2016 |
Heartland Capital Advisors, L.C., CRD No. 116127 and Kenneth Allen Woodruff, CRD No. 1322753 |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-16-21 |
6/22/2016 |
Moloney Securities Co., Inc., CRD No. 38535 and Louis R. Smith II, CRD No. 1058757 |
Consent Order |
AP-16-25 |
6/20/2016 |
Matthew J. Brock, CRD No. 4517427 |
Consent Order |
AP-16-19 |
6/06/2016 |
Oakbridge Financial Services, Inc., CRD No. 16323; Private Label Money Management, Inc., CRD No. 154952; Steven Larson, CRD No. 2422755; Michael Standley, CRD No. 2422939; and Kathryn Winter, CRD No. 4523089 |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, Costs, Censures, and Bars/Conditions Should not be Imposed |
AP-16-11 |
5/12/2016 |
Maurice P. Liberman |
Consent Order |
AP-16-22 |
5/10/2016 |
Edward J. Petersheim |
Consent Order |
AP-16-20 |
5/02/2016 |
Texas International Resources, LLC and Brian Howe |
Consent Order |
AP-16-15 |
5/02/2016 |
James D. Stinson, Jr., CRD No. 4005905 |
Order to Cease and Desist and Order to Show Cause why Restitution, Costs and Censure Should not be Imposed |
AP-16-16 |
4/28/2016 |
Mark VIII Holdings, LLC a/k/a Mark VIII Holding Company a/k/a Mark VIII, LLC; International Mark VIII, LLC; and Gary Robert Doss |
Final Order to Cease and Desist and Order Awarding Restitution and Civil Penalties as to Respondents Mark VIII Holdings, LLC a/k/a Mark VIII Holdings Company a/k/a Mark VIII, LLC; International Mark VIII, LLC; and Gary Robert Doss |
AP-08-33 |
4/27/2016 |
Zulutoys Limited, d/b/a RBOptions.com; Jordan Gatsby; and Joseph Wolf |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed View Press Release |
AP-16-18 |
4/26/2016 |
QuickSliver Business Group, Inc.; Thomas Matzen; Allen Bonk; Quantum Business Golf International, Inc.; and the Midas Group of Companies, Inc. |
Consent Order |
AP-16-13 |
4/12/2016 |
Kenneth Edward Volkerding, CRD No. 1018371 |
Consent Order View Press Release |
AP-16-03 |
3/30/2016 |
Assemblies of God Credit Union; Intrustus, LLC; and Larry Lister, CRD No. 4395959 |
Consent Order |
AP-16-14 |
3/25/2016 |
John G. Stanford, Jr., d/b/a State Wide Financial Services, and d/b/a Statewide Financial Services, Inc. |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-15-44 |
3/25/2016 |
Central Missouri Energy, LLC and Boyd A. Ware |
Consent Order |
AP-14-19 |
3/17/2016 |
Anthony LaPorta, CRD No. 4066045 |
Consent Order |
AP-16-12 |
3/07/2016 |
Meyers Associates, L.P. Corporation, CRD No. 34171 and Sukhwan Michael Yun, CRD No. 5640757 |
Final Order to Cease and Desist as to Respondent Meyers Associates, L.O. and Order Awarding Civil Penalties |
AP-10-42 |
2/26/2016 |
Peter J. Donovan, CRD No. 4827771 |
Consent Order |
AP-16-09 |
2/26/2016 |
Gary W. Ott, CRD No. 826866 |
Consent Order |
AP-16-10 |
2/25/2016 |
Michael G. Ott, CRD No. 5131748 |
Consent Order |
AP-16-08 |
2/25/2016 |
Allegiant Retirement Group and Richard Moder |
Consent Order |
AP-16-05 |
2/24/2016 |
Mad Baby Pictures, LLC and Patrick Pinkston |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-16-07 |
2/18/2016 |
ITB Asset Management, Inc.; Prescott Capital Management, Inc.; Susan Baldwin Prescott; and Daniel M. Prescott |
Consent Order |
AP-16-01 |
2/18/2016 |
SpotFN.com: Spot FN, LLC; James Kingsley; Binary Holdings; and Binary Academics |
Final Order to Cease and Desist and Order Awarding Costs, Restitution, and Civil Penalties |
AP-15-12 |
2/11/2016 |
Morgan Keegan & Company, inc., CRD No. 4161 |
Consent Order View Press Release |
AP-16-04 |
2/08/2016 |
Mark Petschel; Ultra Global International, Inc.; Bizbuzz, Inc.; GlobalVerge,Inc.; and E-Verge International, Inc. |
Consent Order |
AP-16-06 |
2/05/2016 |
FSG Fundraising, LLC and JoAnna L. Rich, CRD No. 3108743 |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-15-27 |
2/04/2016 |
MWA Financial Services, Inc., CRD No. 11263 |
Consent Order View Press Release |
AP-16-02 |
1/27/2016 |
Synergy Oil, LLC; Robert Falco; and Tony Pistilli |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-15-13 |
1/20/2016 |
SPC Brands, Inc.; Spectrum Pet Care, Inc.; and Spectrum Pet Food, Inc. |
Final Order to Cease and Desist as to Respondents SPC Brands, Inc., Spectrum Pet Care, inc., Spectrum Pet Foods, Inc., and Order Awarding Restitution, Civil Penalties, and Costs |
AP-11-13a |
1/19/2016 |
Consolidated Food Group, Inc. and Frank Renick, Deceased |
Order of Dismissal |
AP-11-13b |
1/19/2016 |
CCRP Investments LLC; Shih Hung Chou a/k/a Sam Chou; and Scott Brookshire |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-15-48 |
1/06/2016 |
Summit Wealth Strategies, LLC of St. Louis, CRD No. 171314 and Brent Spicuzza, CRD No. 4134728 |
Consent Order |
AP-15-51 |
12/30/2015 |
AflacAssist.com, LLC; Lance Himes; and Leary Darling |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-15-26 |
12/23/2015 |
Pike Financial Group, LLC and Fred Tepen |
Amended Order to Cease and Desist and Order to Show Cause why Restitution and Costs Should not be Imposed |
AP-10-39 |
12/23/2015 |
Maximum Performance, Inc. and Howard E. Roberts |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed View Press Release |
AP-15-49 |
12/23/2015 |
Sylvester A. Phillips and First Option, LLC d/b/a First Option Realty |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-14-21 |
12/16/2015 |
Eckman Wealth Management, LLC, CRD No. 159934; Daryl D. Eckman, CRD No. 1614453; and Edward H. Prince, CRD No. 4647442 |
Consent Order |
AP-15-33 |
12/16/2015 |
Wallace Neal Jordan and Gundaker/Jordan American Holdings, Inc. |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-15-07 |
12/15/2015 |
LPL Financial LLC |
Consent Order View Press Release |
AP-15-42 |
12/03/2015 |
John G. Stanford, Jr., CRD No. 2201648 d/b/a State Wide Financial Services, and d/b/a Statewide Financial Services Inc |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed View Press Release |
AP-15-44 |
11/25/2015 |
MacKenzie Realty Capital, Inc. |
Consent Order |
AP-15-45 |
11/23/2015 |
Joel Cansler |
Consent Order View Press Release |
AP-15-31 |
11/19/2015 |
Agricola Associates, LLC; Frederick C. Voegtli; and William J. Matula |
Consent Order |
AP-15-15 |
11/19/2015 |
JAD-LJD Investments, L.L.C. and James Devoto |
Consent Order |
AP-15-40 |
11/16/2015 |
Chad Slagle, CRD No. 4750156, and Slagle Financial, LLC, CRD No. 149976 |
Consent Order |
AP-15-41 |
11/02/2015 |
Michael Inderlied, CRD No. 2131074, and Timothy Payne, CRD No. 2688766 |
Consent Order |
AP-15-39 |
11/02/2015 |
Legend Equities Corporation, CRD No. 104761 |
Consent Order
|
AP-15-37 |
10/29/2015 |
William "Bill" Martinoli |
Consent Order |
AP-15-36 |
10/26/2015 |
Shawn Nye |
Consent Order |
AP-15-35 |
10/26/2015 |
Robert Davidson |
Consent Order |
AP-15-34 |
10/26/2015 |
Ozark Investor's Group, LLC and Herman P. Beck, Individually and Doing Business as Back 40 Group, Inc. |
Final Order to Cease and Desist and Order Awarding Restitution and Costs |
AP-14-10 |
10/21/2015 |
Pop N Go, Inc., Melvin Wyman, and Kirk Porter |
Final Order to Cease and Desist and Order Awarding Civil Penalties, Restitution, and Costs as to the Remaining Respondents |
AP-11-25 |
10/21/2015 |
AflacAssist.com, LLC; Lance Himes; and Leary Darling |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed View Press Release |
AP-15-26 |
10/15/2015 |
FSG Fundraising, LLC and Joanna L. Rich, CRD No. 3108743 |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed View Press Release |
AP-15-27 |
10/06/2015 |
Robert Stack Beyer II, CRD No. 2602180 and The Heroic Life Assurance Company, LLC |
Final Order to Cease and Desist and Order Awarding Restitution, Costs, and Civil Penalties |
AP-15-20 |
09/30/15 |
Michael J. Burke and Shannon K. Burke |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed View Press Release |
AP-15-32 |
09/28/2015 |
Penson Associates, LLC; and William R. Penson, Jr., Individually and doing business as Penson Associates, LLC |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed View Press Release |
AP-15-25 |
09/21/2015 |
Citigroup Global Markets Inc. |
Consent Order |
AP-15-23 |
09/09/2015 |
Richard C. Chinnery |
Consent Order |
AP-15-02 |
09/02/2015 |
Douglas W. Coe, CRD # 2208877 |
Consent Order |
AP-15-30 |
08/31/2015 |
Crossroads Asset Management LLC, CRD # 145951 and Douglas Stehl, CRD # 1345563 |
Consent Order |
AP-15-29 |
08/20/2015 |
Casper "Marty" Unterreiner |
Consent Order |
AP-15-28 |
08/07/2015 |
MSM Capital Holdings, Inc. and Manzur Ahmed Mazumder |
Final Order to Cease and Desist and Order Awarding Restitution and Costs, and Imposing Civil Penalties |
AP-13-18 |
08/07/2015 |
W&M Capital Management, LLC, CRD 166094, and Harry Allen Ward, CRD 5614564 |
Consent Order |
AP-15-22 |
07/14/2015 |
Parkland Securities, LLC, f/k/a Sammons Securities Company, LLC |
Consent Order View Press Release |
AP-15-16 |
07/01/2015 |
Successful Resource Management, LTD, CRD No. 110317 |
Consent Order |
AP-15-24 |
07/07/2015 |
Edward J. Barfield, CRD No. 4257082 |
Consent Order |
AP-15-14 |
07/01/2015 |
ProEquities, CRD No.15708 |
Consent Order View Press Release |
AP-15-21 |
06/09/2015 |
The Princeton Partnership, LLC and Robert M. Palmer, CRD No. 2541910 |
Final Order to Cease and Desist and Order Awarding Costs and Imposing Disgorgement and Civil Penalties |
AP-10-35 |
05/22/2015 |
Raymond E. Clay, Sr., CRD #2491012 |
Final Order to Cease and Desist and Order Awarding Civil Penalties, Costs, and Restitution |
AP-11-06 |
05/22/2015 |
Richard Craig Stitt |
Final Order to Cease and Desist and Order Awarding Restitution and Imposing Civil Penalties |
AP-12-14 |
05/22/2015 |
Robert Stack Beyer II and The Heroic Life Assurance Company, LLC |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed View Press Release |
AP-15-20 |
05/18/2015 |
Cuprill Wealth Coaching, LLC, CRD# 166461 |
Consent Order |
AP-15-19 |
04/28/2015 |
Hanson Holdings, LLC; IBS Investments, LLC; and Christopher Hanson |
Final Order to Cease and Desist and Order Awarding Restitution and Costs, and Imposing Civil Penalties |
AP-12-25 |
04/27/2015 |
Jeffrey James Mejia |
Final Order to Cease and Desist and to Pay Restitution, Disgorgement, Civil Penalties, and Costs |
AP-13-16 |
04/24/2015 |
Heyl Partners Station Plaza, LLC and Richard Heyl |
Consent Order |
AP-15-10 |
04/23/2015 |
Bankers Life and Casualty Company |
Consent Order View Press Release |
AP-15-11 |
04/22/2015 |
Charles Russell Williams II, CRD. No. 467541 |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed View Press Release |
AP-15-18 |
04/22/2015 |
Synergy Oil, LLC, Robert Falco, and Tony Pistilli |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed View Press Release |
AP-15-13 |
04/21/2015 |
Lucas Wayne Branstetter |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed View Press Release |
AP-15-17 |
04/16/2015 |
SpotFN.com: Spot FN, LLC; James Kingsley; Binary Holdings; and Binary Academics |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should not be Imposed View Press Release |
AP-15-12 |
04/02/2015 |
The Davidan Corporation, dba Bankcard Empire; Lajobejo, LLC dba Bankcard Empire; David Adam Mersky; and Leslie Spencer Mersky |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs as to Respondents |
AP-12-23b |
03/30/2015 |
Ultimate Business Solutions, LLC and Nikki Kriens |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-12-23a |
03/25/2015 |
Ultimate Business Solutions, LLC, Nikki Kriens, and Bruce Kriens |
Order of Dismissal |
AP-12-23a |
03/24/2015 |
Storm Crow Investments, LLC, Michael Hathman, and Steven Scharf. |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs. |
AP-15-04 |
03/24/2015 |
Wallace Neal Jordan and Gundaker/Jordan American Holdings, Inc. |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed. |
AP-15-07 |
03/23/2015 |
Unity Management Group, Inc., f/k/a Unity Auto Parts; Michael Oliver; Eddie Schlib; Kenneth Clyde Wiedrich; and Lindsey Vinson |
Stop Order Pursuant to §409.3-302(d), RSMo. |
AP-15-08 |
03/20/2015 |
Dearborn Investment Fund, L.C. and Richard Andrew Gallaher, CRD No. 1921881 |
Consent Order |
AP-15-09 |
03/16/2015 |
Securities Service Network, Inc.; SSN Advisory, Inc. |
Consent Order View Press Release |
AP-15-06 |
03/05/2015 |
Richard C. Chinnery |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not Be Imposed View Press Release |
AP-15-02 |
02/18/2015 |
Riverside Lease, LLC; Terina K. Carney, Individually and doing business as Riverside Lease, LLC; and Christopher Schafer |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not Be Imposed View Press Release |
AP-15-03 |
01/22/2015 |
Gaines B. Smith CRD# 1305480 |
Consent Order |
AP-15-05 |
02/17/2015 |
Virtual Mining, Corporation, d/b/a BTC Mining Corporation; Active Mining Corporation; Kenneth E. Slaughter, Individually and d/b/a Active Mining Cooperative, Virtual Active Mining |
Final Order to Cease and Desist and Order Awarding Costs and Imposing Disgorgement and Civil Penalties. |
AP-14-09 |
02/06/2015 |
Mark A. Kistler and Marilyn H. Kistler |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs. |
AP-14-16 |
01/30/2015 |
Storm Crow Investments, LLC; Michael Hathman; and Steven Scharf |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not Be Imposed View Press Release |
AP-15-04 |
01/29/2015 |
Jan Skola |
Order Granting Motion to Dismiss |
AP-07-08 |
01/21/2015 |
Lavender Farms, LLC and Paul Benton Weeks III |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not Be Imposed View Press Release |
AP-15-01 |
01/15/2015 |
Staci Stanley |
Consent Order |
AP-14-18 |
12/31/2014 |
Jamie B Campany et al J Dunetz |
Consent Order as to Respondent Jeffrey Dunetz |
AP-10-31 |
12/18/2014 |
T.D.F. Global Investments LLC; First Option, LLC d/b/a First Option Realty; and Sylvester A. Phillips d/b/a Innovative Investments, LLC |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not Be Imposed |
AP-14-21 |
12/18/2014 |
Peak Wealth Group, LLC |
Consent Order |
AP-14-20 |
12/09/2014 |
Central Missouri Energy, LLC; and Boyd A. Ware |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not Be Imposed |
AP-14-19 |
11/07/2014 |
Trinity Capital Management, LLC and Bradford Bagby |
Consent Order |
AP-14-17 |
09/26/2014 |
J.P. Morgan Securities, LLC |
Consent Order |
AP-14-15 |
09/11/2014 |
Mark A. Kistler and Marilyn H. Kistler |
Order to Cease and Desist and Order to Show Cause Why Restitution, Disgorgement, Civil Penalties, and Costs Should Not Be Imposed |
AP-14-16 |
09/08/2014 |
Earn Like a Pro, LLC |
Consent Order |
AP-14-14 |
08/14/2014 |
Cincinnati Analysts, Inc., CRD # 5478 |
Consent Order |
AP-14-12 |
07/28/2014 |
Novak & Powell Financial Service, Inc., CRD # 112970 |
Consent Order |
AP-14-13 |
07/22/2014 |
Section 8 Creations, Inc. and Antonio Patrick |
Final Order to Cease and Desist and Order Awarding Restitution and Costs, and Imposing Civil Penalties |
AP-12-27 |
07/15/2014 |
RBC Capital Markets, LLC |
Consent Order |
AP-14-11 |
07/02/2014 |
Woodbury Financial Services, Inc. |
Consent Order |
AP-14-08 |
06/25/2014 |
Brad Eugene Cooper and Cooper Financial Solutions, LLC |
Consent Order |
AP-14-06 |
06/17/2014 |
Ozark Investor's Group, LLC; and Herman P. Beck, Individually and doing business as Back 40 Group, Inc. |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should not be Imposed |
AP-14-10 |
06/12/2014 |
Jamie B. Campany, CRD # 2367888; Global Bullion Exchange, LLC; The Bullion Group, Inc.; Barclay Trading Group, Inc.; Wjs Funding, Inc., D/B/A Capital Asset Management Seedub Capital Ventures, Inc.; Brian Ekasala, CRD # 2294855; Frank Gaudino; Bancroft Wright; John Adam King II; Vincent Leardi; and Jeff Duentz |
Final Order to Cease and Desist and Payment of Civil Penalties and Costs |
AP-10-31 |
06/05/2014 |
Virtual Mining, Corporation, D/B/A Btc Mining Corporation; Active Mining Corporation; Kenneth E. Slaughter, Individually and D/B/A Active Mining Cooperative, Virtual Activemining |
Order to Cease and Desist and Show Cause Why Restitution, Civil Penalties, and Costs Should Not Be Imposed |
AP-14-09 |
06/02/2014 |
Kevin M. Brown; Invision Investments of Columbus, LLC; Invision Investments of St. Louis, LLC; and Invision Holdings LLC |
Final Order to Cease and Desist and Order Awarding Restitution, Civil Penalties, and Costs |
AP-11-27 |
05/23/2014 |
AJ&J Investment Group, Inc.; Michael Alan Leeper, Jr.; and Eugene Lester Barnes |
Final Order to Cease and Desist and Order Awarding Restitution and Costs, and Imposing Civil Penalties |
AP-14-01 |
05/22/2014 |
Investment Midwest LLC; and Renee Goodman |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not Be Imposed |
AP-14-02 |
05/22/2014 |
Bryant George Roadifer |
Consent Order |
AP-14-07 |
05/14/2014 |
John McCarty |
Consent Order |
AP-14-06 |
05/13/2014 |
Multicast Entertainment.TV Corporation; and Darryl Mitchell |
Consent Order |
AP-13-03 |
04/17/2014 |
AJ&J Investment Group, Inc.; Michael Alan Leeper, Jr.; and Eugene Lester Barnes |
Order to Cease and Desist and Order to Show Cause Why Restitution, Disgorgement, Civil Penalties, and Costs Should Not Be Imposed |
AP-14-01 |
03/05/2014 |
Cristol Enterprises, LLC; Cristea Holdings, LLC; Christopher Cristea; and David Corey Tolle |
Order to Cease and Desist and Order to Show Cause Why Restitution, Disgorgement, Civil Penalties, and Costs Should Not Be Imposed |
AP-14-03 |
02/24/2014 |
Longhorn Properties, LLC d/b/a Longhorn Properties of Missouri, LLC; Henry T. Hammond a/k/a Tommy Hammond; Reliance, Inc.; and Landel Ewing |
Order to Cease and Desist and Order to Show Cause Why Restitution, Disgorgement, Civil Penalties, and Costs Should Not Be Imposed |
AP-14-04 |
02/14/2014 |
Edward William Goetz |
Order Amending Consent Order |
AP-04-64 |
02/10/2014 |
Huntleigh Securities Corporation |
Order Waiving Penalties |
AP-10-33 |
02/07/2014 |
LPL Financial, LLC |
Consent Order |
AP-13-21 |
12/17/2013 |
UBS Financial Services |
Consent Order |
AP-13-23 |
12/04/2013 |
Sagepoint Financial, Inc. |
Consent Order |
AP-13-22 |
12/04/2013 |
Morgan Keegan & Company, Inc., CRD No. 4161; William Kevin Thompson, CRD No. 3152399; Richard Temple Murray, Jr., CRD No. 1132444; and Kevin Lee Edwards, CRD No. 1616603 |
Order of Dismissal as to All Respondents |
AP-13-11 |
12/02/2013 |
MSM Capital Holdings, Inc., and Manzur Ahmed Mazumder |
Order to Cease and Desist and Order to Show Cause Why Restitution, Disgorgement, Civil Penalties, and Costs Should Not Be Imposed |
AP-13-18 |
11/18/2013 |
J. Andrew Jackson & Co. LLC, CRD # 155044 and Joseph A. Jackson CRD # 5486412 |
Order to Cancel Registrations of J. Andrew Jackson & Co. LLC and Joseph A. Jackson |
AP-13-17 |
10/31/2013 |
PIF Financial Services, LLC, et al. |
Consent Order as to Respondent Daniel P. Hance |
AP-12-32 |
10/31/2013 |
Champion Management International, LLC; Oracle Forex Fund, LP; Daniel Keith Steele; and Judy DIane Steele |
Order to Cease and Desist and Order to Show Cause Why Restitution, Disgorgement, Civil Penalties, and Costs Should Not Be Imposed |
AP-13-19 |
09/25/2013 |
Jeffrey James Mejia |
Order to Cease and Desist and Order to Show Cause Why Restitution, Disgorgement, Civil Penalties, and Costs Should Not Be Imposed |
AP-13-16 |
09/03/2013 |
Dale Raymond Isaak, CRD # 2973687 |
Consent Order |
AP-13-15 |
08/21/2013 |
PIF Financial Services, LLC, et al. |
Consent Order as to Respondent Garlanda Kitchen |
AP-12-32 |
07/29/2013 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Consent Order |
AP-13-14 |
07/31/2013 |
Tag and Tackle Outfitters, LLC; Daniel S. Janik; and Deborah S. Janik |
Consent Order |
AP-13-13 |
06/06/2013 |
Greg John Campbell |
Consent Order |
AP-13-01 |
05/04/2013 |
Lisa D. Krempasky |
Consent Order |
AP-13-07 |
04/23/2013 |
Paul A. Schneider |
Consent Order |
AP-13-12 |
04/23/2013 |
MVP Network, Inc.; and Paul A. Schneider |
Final Order to Cease and Desist and Order Awarding Costs and Imposing Civil Penalties |
AP-12-18 |
04/23/2013 |
Morgan Keegan & Company, Inc., CRD # 4161; William Kevin Thompson, CRD # 3152399; Richard Temple Murray, Jr., CRD # 1132444; and Kevin Lee Edwards, CRD # 1616603 |
Order to Cease and Desist and to Show Cause Why Restitution, Civil Penalties, Costs, and Other Relief Should Not Be Imposed |
AP-13-11 |
04/04/2013 |
Berthel Fisher & Company Financial Services, Inc., CRD #13609; and Vernon K. Pogue, CRD #1794079 |
Consent Order |
AP-13-10 |
03/14/2013 |
Moore Financial Management and Danny Moore |
Order of Dismissal |
AP-12-12 |
03/14/2013 |
Multicast Entertainment.TV Corporation; and Daryl Mitchell |
Order to Cease and Desist and Order to Show Cause Why Restitution, Disgorgement, Civil Penalties, and Costs Should Not Be Imposed |
AP-13-03 |
03/06/2013 |
Greg John Campbell, CRD # 4732999 |
Order to Cease and Desist and Order to Show Cause Why Restitution, Disgorgement, Civil Penalties, and Costs Should Not Be Imposed |
AP-13-01 |
02/19/2013 |
PIF Financial Services, LLC; Premier Mortgage Solutions, LLC; Michael Kitchen; Daniel P. Hance, Sr.; Dion Monroe; Shannon R. Ingram; and Garlanda Kitchen |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not Be Imposed View Press Release |
AP-12-32 |
12/07/2012 |
Delbert R. Loney and Raymond L. Bartle |
Order of Dismissal as to Respondent Raymond L. Bartle |
AP-12-11 |
11/08/2012 |
eCity, Inc.; Genshare Acquisition, Inc.; Benedict H. Van; Enrico Blandin; and Lori Arzamendi |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Costs as to Respondents Enrico Blandin and Genshare Acquisition, Inc. |
AP-12-04 |
10/25/2012 |
Solar Evolution, Inc.; and Evangelos Papakiristis |
Final Order to Cease and Desist and Order Awarding Restitution and Imposing Civil Penalties and Costs |
AP-12-24 |
10/25/2012 |
UVEST Financial Services Group, Inc., CRD # 13787 |
Consent Order |
AP-12-19 |
10/16/2012 |
Freedom Ridge Partners, LLC; and Darin Hustead |
Final Order to Cease and Desist and Order Awarding Restitution and Costs and Imposing Civil Penalties |
AP-10-40 |
10/10/2012 |
eCity, Inc.; Genshare Acquisition, Inc.; Benedict H. Van; Enrico Blandin; and Lori Arzamendi |
Consent Order as to eCity, Inc., and Benedict H. Van |
AP-12-04 |
10/05/2012 |
eCity, Inc.; Genshare Acquisition, Inc.; Benedict H. Van; Enrico Blandin; and Lori Arzamendi |
Consent Order as to Respondent Lori Arzamendi |
AP-12-04 |
10/01/2012 |
Brandon Thornton |
Final Order to Cease and Desist and Order Awarding Restitution and Costs, and Imposing Civil Penalties |
AP-12-16 |
09/27/2012 |
Grahame Rhodes |
Final Order to Cease and Desist and Order Awarding Restitution and Costs and Imposing Civil Penalties |
AP-12-17 |
09/25/2012 |
ProEquities, Inc., CRD #15708 |
Consent Order |
AP-12-21 |
09/24/2012 |
Delbert R. Loney and Raymond L. Bartle |
Final Order to Cease and Desist and Payment of Restitution, Civil Penalties, and Costs as to Respondent Delbert R. Loney |
AP-12-11 |
09/06/2012 |
Section 8 Creations, Inc.; Jag Distribution; and Antonio Patrick |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not be Imposed |
AP-12-27 |
09/05/2012 |
Hanson Holdings, LLC; IBS Investments, LLC, and Christopher Hanson, CRD # 3030551 |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not be Imposed View Press Release |
AP-12-25 |
08/30/2012 |
Wulf, Bates and Murphy, CRD #107678 |
Summary Order Denying Application for Investment Adviser Registration |
AP-12-26 |
08/17/2012 |
Bankers Life and Casualty Company; and BLC Financial Services, Inc. |
Consent Order |
AP-12-20 |
08/06/2012 |
Renaud & Company, LLC, CRD # 115337; and Matthew Renaud, CRD # 2320797 |
Consent Order |
AP-12-15 |
08/03/2012 |
Richard Craig Stitt |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not be Imposed View Press Release |
AP-12-14 |
07/31/2012 |
Solar Evolution, Inc.; and Evangelos Papakiristis |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not be Imposed View Press Release |
AP-12-24 |
07/26/2012 |
The Davidan Corporation d/b/a Bankcard Empire; Lajobejo LLC d/b/a Bankcard Empire; Ultimate Business Solutions, LLC; David Adam Mersky; Leslie Spencer Mersky, CRD# 1374944; Bruce Kriens, Jr.; and Nikki Kriens |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not be Imposed View Press Release |
AP-12-23 |
07/11/2012 |
Brandon Thornton |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not be Imposed |
AP-12-16 |
07/10/2012 |
David C. Grammer; Jana Baxter; Both d/b/a Boydoplex |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Restitution and Costs |
AP-11-21 |
07/03/2012 |
Richard Joseph Gumerman dba Gumerman Trading Co. |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Restitution and Costs |
AP-11-33 |
06/06/2012 |
Grahame Rhodes |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not be Imposed View Press Release |
AP-12-17 |
06/06/2012 |
MVP Network, Inc.; and Paul A. Schneider |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not be Imposed View Press Release |
AP-12-18 |
05/30/2012 |
Edward Conner; David J. Reisner; Performance Financial Services, Inc.; Network Services, Inc. aka Network Services Depot, Inc. aka Network Services Distribution, Inc.; and 360 Wireless, Inc. |
Amended Order of Restitution |
AP-06-33 |
05/29/2012 |
Pop N Go, Inc.; Melvin Wyman, and Kirk Porter |
Consent Order as to Respondent Kirk Porter |
AP-11-25 |
04/20/2012 |
E*Trade Securities LLC, CRD # 29106 |
Administrative Consent Order |
AP-12-10 |
04/11/2012 |
LendingClub Corporation |
Consent Order View Press Release |
AP-12-02 |
04/11/2012 |
Delbert R. Loney and Raymond L. Bartle |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not be Imposed |
AP-12-11 |
04/06/2012 |
Paragon Financial Group, Inc.; EK Marketing, Inc.; Brian Ekasala, CRD # 2294855; and Susan Garrard |
Final Order to Ceast and Desist and Payment of Restitution, Civil Penalties, and Costs as to Respondents Suzan Garrard and Paragon Financial Group, Inc. |
AP-10-06 |
04/06/2012 |
Valuepoint Partners, Inc., CRD # 116734 |
Consent Order |
AP-12-13 |
04/05/2012 |
Moore Financial Management; and Danny Moore, CRD # 1402817 |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not be Imposed View Press Release |
AP-12-12 |
03/20/2012 |
Richard K. Johnson |
Consent Order |
AP-12-03 |
03/19/2012 |
Jamie B. Campany, CRD # 2367888; Global Bullion Exchange, LLC; The Bullion Group, Inc.; Barclay Trading Group, Inc.; Wjs Funding, Inc., D/B/A Capital Asset Management; Seedub Capital Ventures, Inc.; Brian Ekasala, CRD # 2294855; Frank Gaudino; Bancroft Wright; John Adam King II; Vincent Leardi; and Jeff Duentz |
Consent Order as to Respondent Brian Ekasala |
AP-10-31 |
03/05/2012 |
Jamie B. Campany, CRD # 2367888; Global Bullion Exchange, LLC; The Bullion Group, Inc.; Barclay Trading Group, Inc.; Wjs Funding, Inc., D/B/A Capital Asset Management; Seedub Capital Ventures, Inc.; Brian Ekasala, CRD # 2294855; Frank Gaudino; Bancroft Wright; John Adam King II; Vincent Leardi; and Jeff Duentz |
Consent Order as to Respondent Bancroft Wright |
AP-10-31 |
03/05/2012 |
Jamie B. Campany, CRD # 2367888; Global Bullion Exchange, LLC; The Bullion Group, Inc.; Barclay Trading Group, Inc.; Wjs Funding, Inc., D/B/A Capital Asset Management; Seedub Capital Ventures, Inc.; Brian Ekasala, CRD # 2294855; Frank Gaudino; Bancroft Wright; John Adam King II; Vincent Leardi; and Jeff Duentz |
Consent Order as to Respondent John Adam King II |
AP-10-31 |
03/05/2012 |
Paragon Financial Group, Inc.; EK Marketing, Inc.; Brian Ekasala, CRD # 2294855; and Susan Garrard |
Consent Order as to EK Marketing, Inc., & Brian Ekasala |
AP-10-06 |
02/29/2012 |
Blackbay Capital Advisors, CRD # 116888 |
Consent Order |
AP-12-09 |
02/23/2012 |
eCity, Inc.; Genshare Acquisition, Inc.; Benedict H. Van; Enrico Blandin; and Lori Arzamendi |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not Be Imposed View Press Release |
AP-12-04 |
02/21/2012 |
R.C. Transport, LLC; Robert Corder; Michael A. Santiago a/k/a Mike Santee; and General Investments, LLC |
Final Order to Cease and Desist and Order Imposing Civil Penalties, and Awarding Costs and Restitution |
AP-10-02 |
02/02/2012 |
Stifel, Nicolaus & Company, Inc., CRD # 793 |
Consent Order View Press Release |
AP-12-01 |
01/24/2012 |
Bryan Carrold Binkholder, CRD # 3111556 |
Consent Order |
AP-11-29 |
12/29/2011 |
Richard Joseph Gumerman, CRD # 2254339 dba Gumerman Trading Co. |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not Be Imposed View Press Release |
AP-11-33 |
12/29/2011 |
Hugh Vincent Murray, III, CRD # 826261 |
Consent Order View Press Release |
AP-11-32 |
12/22/2011 |
Forsyth Securities, Inc., CRD # 16323 |
Consent Order View Press Release |
AP-11-28 |
12/22/2011 |
Jason Mitchell Guillen; and Cherie Michelle Lee |
Final Order to Cease and Desist and Order Imposing Civil Penalties, Awarding Costs and to Pay Restitution as to All Respondents |
AP-11-26 |
12/16/2011 |
Morgan Asset Management, Inc., CRD # 111715; and Morgan Keegan & Company, Inc., CRD # 4161 |
Consent Order |
AP-11-24 |
12/13/2011 |
Paul E. Burkemper, CRD # 2222925; Ilya Vishnevetsky; I.P. Holding, L.L.C.; and VSR Financial Services, Inc., CRD # 14503 |
Consent Order as to Respondent VSR Financial Services, Inc. |
AP-10-09 |
12/01/2011 |
Kevin M. Brown; Invision Investments of Columbus, LLC; Invision Investments of St. Louis, LLC; and Invision Holdings, LLC |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not Be Imposed View Press Release |
AP-11-27 |
11/21/2011 |
Raymond James & Associates, Inc.; and Raymond James Financial Services, Inc. |
Consent Order |
AP-11-23 |
11/04/2011 |
Pop N Go, Inc.; Melvin Wyman; and Kirk Porter |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not Be Imposed View Press Release |
AP-11-25 |
10/31/2011 |
James Staley; Wealth Financial International, LLC; B&B Equity Group, LLC a/k/a B$B Equity Group, LLC a/k/a B and B Equity Group; Robert Koppel; Global Equity Resources, LLC; Global Equity Preservation, Inc. a/k/a Global Equity Preservation Trust; Robert L. Eberle |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Costs as to All Respondents, Disgorgement as to Respondents James Staley and Wealth Financial International, LLC, and Restitution as to Respondents B&B Equity Group, LLC a/k/a B$B Equity Group, LLC a/k/a B and B Equity Group, Robert Koppel, Global Equity Resources, LLC, Global Equity Preservation, Inc. a/k/a Global Equity Preservation Trust, and Robert L. Eberle |
AP-09-14 |
10/25/2011 |
Jason Mitchell Guillen; and Cherie Michelle Lee |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not Be Imposed View Press Release |
AP-11-26 |
10/18/2011 |
Daniel Meredith d/b/a Meredith Construction and Meredith Holding |
Final Order to Cease and Desist and Order Imposing Civil Penalties, Awarding Costs and to Pay Restitution |
AP-11-01 |
10/13/2011 |
Farmington Investment Corporation; and Thomas Terry |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Costs and Restitution |
AP-10-18 |
09/21/2011 |
Ronald W. Shepard, d/b/a Shepard and Associates and Tow-Safe; The Real Estate LLC; and Safety Solutions USA, LLC |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Costs |
AP-10-19 |
08/18/2011 |
William P. Kelly d/b/a Financial Stability Group, Inc. |
Consent Order |
AP-11-20 |
07/14/2011 |
Buraness Management, LLC; Isaac Williams; and Latonjia Roddy |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Costs as to Respondents Buraness Management, LLC and Latonjia Roddy |
AP-10-37 |
07/07/2011 |
Armod L. Hinkle; and Gina M. Hinkle |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Costs as to Respondent Armod Hinkle |
AP-09-33 |
06/29/2011 |
Paul E. Burkemper, CRD # 2222925; Ilya Vishnevetsky; I.P. Holding, L.L.C.; and VSR Financial Services, Inc., CRD # 14503 |
Consent Order as to Respondent Burkemper |
AP-10-09 |
06/29/2011 |
Kokhala Energy, Inc.; and Kevin O'Brien |
Consent Order |
AP-11-07 |
06/28/2011 |
David C. Grammer; Jana Baxter; Both d/b/a Boydoplex |
Order to Cease and Desist and Order to Show Cause why Civil Penalties, Costs, and Restitution Should Not be Imposed View Press Release |
AP-11-21 |
05/31/2011 |
Tracy Wayne Mitchell, CRD # 5521674; and Guidepost Financial Limited Liability Company |
Consent Order |
AP-10-45 |
05/24/2011 |
SPC Brands, Inc.; Spectrum Pet Care, Inc.; Spectrum Pet Foods, Inc.; Consolidated Food Group, Inc.; and Frank Renick |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties, and Costs Should Not be Imposed View Press Release |
AP-11-13 |
05/19/2011 |
Buraness Management, LLC; Isaac Williams; and Latonjia Roddy |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Costs as to Respondent Isaac Williams |
AP-10-37 |
05/12/2011 |
Meyers Associates, L.P. Corporation, CRD #34171; and Sukhwan Michael Yun, CRD #5640757 |
Consent Order as to Sukhwan Michael Yun |
AP-10-42 |
05/04/2011 |
Berthel Fisher & Company Financial Services, Inc., CRD # 13609 |
Consent Order |
AP-11-12 |
04/25/2011 |
A.G. Edwards & Sons, Inc., CRD # 4 |
Consent Order View Press Release |
AP-11-14 |
04/18/2011 |
Joshua D. Gould, CRD # 4617397 |
Consent Order |
AP-11-17 |
04/15/2011 |
James A. Bayer, CRD # 1011184 |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Costs |
AP-11-16 |
04/12/2011 |
Farmington Investment Corporation; and Thomas Terry |
Amended Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties and Costs Should Not be Imposed |
AP-10-18 |
04/12/2011 |
Jamie B. Campany, CRD # 2367888; Global Bullion Exchange, LLC; The Bullion Group, Inc.; Barclay Trading Group, Inc.; Wjs Funding, Inc., D/B/A Capital Asset Management; Seedub Capital Ventures, Inc.; Brian Ekasala, CRD # 2294855; Frank Gaudino; Bancroft Wright; John Adam King II; Vincent Leardi; and Jeff Duentz |
Consent Order as to Respondent Frank Gaudino |
AP-10-31 |
04/07/2011 |
Capital Management Services, Inc., CRD # 118260 |
Consent Order |
AP-11-18 |
04/05/2011 |
MFA Incorporated |
Consent Order |
AP-11-19 |
03/24/2011 |
Oleksiy Stetsura |
Consent Order |
AP-10-38 |
03/22/2011 |
Derek Robertson |
Consent Order |
AP-10-38 |
03/16/2011 |
Daniel Meredith d/b/a Meredith Construction; and Meredith Holding |
Order to Cease and Desist and Order to Show Cause why Civil Penalties, Costs, and Restitution Should Not be Imposed View Press Release |
AP-11-01 |
02/28/2011 |
Joshua D. Gould, CRD # 4617397 |
Order to Cease and Desist and Order to Show Cause why Civil Penalties, Costs, and Restitution Should Not be Imposed View Press Release |
AP-11-17 |
02/22/2011 |
Financial Network Investment Corporation, CRD # 13572 |
Consent Order |
AP-10-38 |
02/22/2011 |
James A. Bayer, CRD # 1011184 |
Order to Cease and Desist and Order to Show Cause why Civil Penalties, Costs, and Restitution Should Not be Imposed |
AP-11-16 |
01/31/2011 |
Michael Lees |
Consent Order View Press Release |
AP-10-11 |
01/21/2011 |
Raymond E. Clay, Sr., CRD # 2491012 |
Order to Cease and Desist and Order to Show Cause why Civil Penalties, Costs, and Restitution Should Not be Imposed |
AP-11-06 |
01/20/2011 |
James E. Otto |
Consent Order View Press Release |
AP-10-11 |
01/18/2011 |
Chaparral I, LLC; Morris Allen Bird, Sr.; Morris Allen Bird, Jr.; and Turnpoint International I, LLC |
Consent Order as to Respondents Morris Allen Bird, Sr., Morris Allen Bird, Jr., Chaparral I, LLC, and Turnpoint International I, LLC View Press Release |
AP-09-25 |
01/13/2011 |
Tracy Wayne Mitchell, CRD # 5521674; and Guidepost Financial Limited Liability Company |
Order to Cease and Desist and Order to Show Cause why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-10-45 |
12/30/2010 |
Paul E. Burkemper, CRD # 2222925; Ilya Vishnevetsky; I.P. Holding, L.L.C.; and VSR Financial Services, Inc., CRD # 14503 |
Final Order to Cease and Desist and Payment of Civil Penalties and Costs as to Respondents Ilya Vishnevetsky and I.P. Holding, LLC |
AP-10-09 |
12/23/2010 |
Freedom Ridge Partners, LLC; and Darin Hustead |
Order to Cease and Desist and Order to Show Cause why Civil Penalties, Costs, and Restitution Should Not be Imposed View Press Release |
AP-10-40 |
12/21/2010 |
Meyers Associates, L.P. Corporation, CRD #34171; and Sukhwan Michael Yun, CRD #5640757 |
Order to Cease and Desist and Order to Show Cause why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-10-42 |
12/16/2010 |
Pike Financial Group, LLC; and Fred Tepen, CRD # 2140017 |
Order to Cease and Desist and Order to Show Cause why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-10-39 |
12/15/2010 |
Huntleigh Securities Corporation, CRD # 7456 |
Consent Order View Press Release |
AP-10-33 |
12/13/2010 |
James S. McClellan, Jr., CRD # 325492 |
Consent Order View Press Release |
AP-10-30 |
12/13/2010 |
Financial Network Investment Corporation, CRD #13572; Oleksiy Stetsura, CRD #5701018; and Derek Robertson, CRD #5369180 |
Order to Cease and Desist and Order to Show Cause why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-10-38 |
11/23/2010 |
Buraness Management, LLC; Isaac Williams; and Latonjia Roddy |
Order to Cease and Desist and Order to Show Cause why Civil Penalties and Costs Should Not be Imposed |
AP-10-37 |
11/15/2010 |
Armod L. Hinkle; and Gina M. Hinkle |
Consent Order as to Respondent Gina Hinkle |
AP-09-33 |
11/02/2010 |
AXA Advisors, LLC, CRD # 6627 |
Consent Order View Press Release |
AP-10-24 |
10/28/2010 |
Citigroup Global Markets Inc, CRD # 7059; and Gordon Hamilton, CRD # 1685613 |
Consent Order View Press Release |
AP-10-22 |
10/20/2010 |
Princeton Partnership, LLC, and Robert M. Palmer, CRD # 2541910 |
Order to Cease and Desist and Order to Show Cause why Restitution, Civil Penalties and Costs Should Not be Imposed |
AP-10-35 |
10/13/2010 |
Jamie B. Campany, CRD # 2367888; Global Bullion Exchange, LLC; The Bullion Group, Inc.; Barclay Trading Group, Inc.; Wjs Funding, Inc., D/B/A Capital Asset Management; Seedub Capital Ventures, Inc.; Brian Ekasala, CRD # 2294855; Frank Gaudino; Bancroft Wright; John Adam King II; Vincent Leardi; and Jeff Duentz |
Summary Order to Cease and Desist and Order to Show Cause why Civil Penalties Should Not be Imposed View Press Release |
AP-10-31 |
08/25/2010 |
LPL Financial Corp, CRD # 6413 |
Consent Order |
AP-10-16 |
08/11/2010 |
Goldman, Sachs & Co., CRD # 361 |
Consent Order View Press Release |
AP-10-21 |
07/20/2010 |
James E. Otto, CRD # 1566081; and Michael Lees, CRD # 867965 |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-10-11 |
07/14/2010 |
Bankers Life and Casualty Company |
Consent Order View Press Release |
AP-10-27 |
07/14/2010 |
Edward D. Jones & Co., L.P., CRD # 250 |
Consent Order View Press Release |
AP-10-15 |
07/09/2010 |
Legacy Financial Assurance Group, Inc.; and J. Scott Schlueter |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Costs |
AP-09-37 |
06/08/2010 |
Neal Von Nickels, CRD # 733561 |
Consent Order |
AP-10-17 |
06/04/2010 |
Farmington Investment Corporation; and Thomas Terry |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-10-18 |
06/02/2010 |
Bill Paul Gibson, CRD # 2837328 |
Consent Order |
AP-10-12 |
05/24/2010 |
Petro America Corporation; Owen Hawkins; and Martin Roper |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Costs View Press Release |
AP-08-26 |
05/19/2010 |
Ronald W. Shepard, d/b/a Shepard and Associates and Tow-Safe; The Real Estate LLC; and Safety Solutions USA, LLC |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-10-19 |
05/19/2010 |
UBS Securities, LLC, CRD #7654; and UBS Financial Services, Inc., CRD # 8174 |
Consent Order View Press Release |
AP-10-14 |
05/13/2010 |
The Hubbard Group, PC; Holding Group International, LTD; and Murphy M. Hubbard |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Costs View Press Release |
AP-09-34 |
05/13/2010 |
R.C. Transport, LLC; Robert Corder; Michael A Santiago a/k/a Mike Santee; and General Investments, LLC |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-10-02 |
04/30/2010 |
Boulder Wealth Management, LLC, CRD # 147809 |
Consent Order |
AP-09-27 |
04/20/2010 |
Mark Greenway |
Findings of Fact, Conclusions of Law and Final Order |
AP-08-34 |
03/26/2010 |
Mark Andrew McEwen |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Costs |
AP-09-28 |
03/23/2010 |
Greenleaf Companies, LLC; The Real Estate Company of Missouri; Eric C. Gagnepain; and Scott A. Dasal |
Order Imposing Civil Penalties and Costs |
AP-08-32 |
03/19/2010 |
Stifel, Nicolaus & Company, Incorporated |
Consent Order View Press Release |
AP-10-03 |
03/10/2010 |
Craig Laverne McClaskey, CRD # 1990517 |
Consent Order |
AP-10-07 |
02/26/2010 |
Paul E. Burkemper, CRD # 2222925; Ilya Vishnevetsky; I.P. Holding, L.L.C.; and VSR Financial Services, Inc., CRD # 14503 |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties, Censure and Costs Should Not Be Imposed View Press Release |
AP-10-09 |
02/26/2010 |
Gregory C. Ray, CRD # 4676237 |
Consent Order |
AP-10-01 |
02/19/2010 |
Paragon Financial Group, Inc.; EK Marketing, Inc.; Brian Ekasala, CRD # 2294855; and Susan Garrard |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed |
AP-10-06 |
02/18/2010 |
Kenneth Neely, CRD # 1586038 |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Costs |
AP-09-41 |
02/17/2010 |
Jolee M. Martin, CRD # 2452488 |
Consent Order |
AP-09-35 |
02/11/2010 |
The Duncan Group; The Duncan Group, LLC; The Duncan Group Investments, LLC; The Duncan Group Equity Partners, LLC; and Aaron Duncan |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Costs |
AP-09-24 |
02/04/2010 |
Safe Harbor Financial LLC; Travis Winnett; and Erron L. Wright, Jr. |
Consent Order as to Respondent Erron L. Wright, Jr. |
AP-09-18 |
02/01/2010 |
Stifel, Nicolaus & Company, Incorporated, CRD # 793 |
Consent Order |
AP-10-05 |
01/22/2010 |
Deutsche Bank Securities Inc., CRD # 2525 |
Consent Order |
AP-10-04 |
01/14/2010 |
Mark VIII Holdings, LLC a/k/a Mark VIII Holding Company a/k/a Mark VIII, LLC; International Mark VIII, LLC; Gary Doss; and Michael D. Adamovich |
Consent Order |
AP-08-33 |
12/22/2009 |
Terry W. Simpkins |
Consent Order |
AP-08-11 |
12/11/2009 |
Investment Professionals, Inc., CRD # 30184 |
Consent Order View Press Release |
AP-09-46 |
12/02/2009 |
Craig Laverne McClaskey, CRD # 1990517 |
Order of Summary Suspension of Agent Registration View Press Release |
AP-09-47 |
12/01/2009 |
Morgan Stanley & Co. Incorporated, CRD # 8209 |
Consent Order View Press Release |
AP-09-45 |
11/24/2009 |
Credit Suisse Securities (USA) LLC |
Consent Order |
AP-09-38 |
11/20/2009 |
Nu-Corp International Technologies, Inc.; Boyd B. Greene; James S. Dodson, a/k/a Steve Dodson; and Judy C. Jones |
Final Order to Cease and Desist as to All Respondents |
AP-09-13 |
11/13/2009 |
Kenneth Neely, CRD # 1586038 |
Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, and Costs Should Not be Imposed View Press Release |
AP-09-41 |
11/04/2009 |
Paramount Financial LLC, CRD # 113500 |
Consent Order |
AP-09-36 |
10/26/2009 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated, CRD # 7691 |
Consent Order View Press Release |
AP-09-40 |
10/22/2009 |
NatCity Investments, Inc., CRD # 17490 |
Consent Order View Press Release |
AP-09-42 |
10/20/2009 |
Linden Asset Management, Inc. |
Consent Order |
AP-09-44 |
10/15/2009 |
Legacy Financial Assurance Group, Inc.; and J. Scott Schlueter, CRD # 2263712 |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-09-37 |
10/13/2009 |
Armod L. Hinkle and Gina M. Hinkle |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-09-33 |
09/22/2009 |
JPMorgan Chase & Co. |
Consent Order View Press Release |
AP-09-31 |
09/21/2009 |
Datatex Investment Services, Inc. CRD # 105440 |
Consent Order |
AP-09-22 |
08/28/2009 |
JoLee M. Martin, CRD # 2452488 |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed |
AP-09-35 |
08/25/2009 |
The Hubbard Group, PC; Holding Group International, LTD; and Murphy M. Hubbard |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-09-34 |
08/20/2009 |
Travis Winnett; Safe Harbor Financial LLC; and Erron L. Wright, Jr. |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Costs as to Respondent Safe Harbor Financial LLC and Respondent Travis Ray Winnett |
AP-09-18 |
08/12/2009 |
Max Sean Nelson, CRD # 3049381 |
Consent Order |
AP-09-21 |
08/05/2009 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Consent Order View Press Release |
AP-09-23 |
07/30/2009 |
RBC Capital Markets Corporation, CRD # 31194 |
Consent Order View Press Release |
AP-09-32 |
07/30/2009 |
Warren & Massey Asset Management LTD., Inc; Deborah Reynolds; and Michael Church |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Costs |
AP-09-10 |
07/27/2009 |
Greenleaf Companies, LLC; The Real Estate Company of Missouri, LLC; Eric C. Gagnepain; and Scott A. Dasal |
Final Order to Cease and Desist |
AP-08-32 |
07/14/2009 |
Mark Andrew McEwen, CRD # 4613500 |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-09-28 |
07/09/2009 |
Chaparral I, LLC; Morris Allen Bird, Sr.; Morris Allen Bird, Jr.; and Turnpoint International I, LLC |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-09-25 |
06/22/2009 |
Prosper Marketplace, Inc. |
Consent Order |
AP-09-26 |
06/15/2009 |
The Duncan Group; The Duncan Group, LLC; The Duncan Group Investments, LLC; The Duncan Group Equity Partners, LLC; and Aaron Duncan |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed |
AP-09-24 |
06/12/2009 |
Rate Search, Inc.; Clayton Analytical Services, Inc.; Scott Luster; and Clark Schultz |
Final Order to Cease and Desist and as to Respondents Rate Search, Inc., and Scott Luster |
AP-08-10 |
06/12/2009 |
GemSafe Plastics, Inc., World Coin Net, Inc., and David Benjamin Cooper |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Costs |
AP-09-09 |
06/12/2009 |
Green Forest Investment and Development Company, LLC, Central Consulting Services, and Glenn Boxwell |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding CostsView Press Release |
AP-09-06 |
06/02/2009 |
ShareValue, Inc.; and Richard F. Reynolds |
Final Order to Cease and Desist and Payment of Civil Penalties and Costs as to All Respondents |
AP-09-03 |
05/28/2009 |
UBS Financial Services, Inc. CRD # 8174 |
Consent Order View Press Release |
AP-09-19 |
05/20/2009 |
Safe Harbor Financial LLC; Travis Ray Winnett; and Erron L. Wright, Jr. |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-09-18 |
05/18/2009 |
Banc of America Securities LLC, Banc of America Investment Services, Inc. |
Consent Order View Press Release |
AP-09-20 |
05/13/2009 |
Princor Financial Services Corporation |
Consent Order View Press Release |
AP-09-16 |
05/04/2009 |
Gregory F. Bolts, CRD # 1032440 |
Consent Order |
AP-09-17 |
04/30/2009 |
Citigroup Global Markets Inc. |
Consent Order View Press Release |
AP-09-11 |
04/09/2009 |
Aisle 411, Inc. |
Consent Order |
AP-09-15 |
04/07/2009 |
James Staley; Wealth Financial International, LLC; B&B Equity Group, LLC a/k/a B$B Equity Group, LLC a/k/a B and B Equity Group; Robert Koppel; Larry Banks; Global Equity Resources, LLC; Global Equity Preservation, Inc. a/k/a Global Equity Preservation Trust; Robert L. Eberle |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-09-14 |
03/31/2009 |
Nu-Corp International Technologies, Inc.; Boyd B. Greene; James S. Dodson, a/k/a Steve Dodson; and Judy C. Jones |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed |
AP-09-13 |
03/25/2009 |
Mike Ball |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Costs |
AP-08-35 |
03/19/2009 |
GemSafe Plastics, Inc., World Coin Net, Inc., and David Benjamin Cooper |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-09-09 |
03/03/2009 |
Rate Search, Inc., Clayton Analytical Services, Inc., Scott Luster, and Clark Schultz |
Consent Order as to Clayton Analytical Services, Inc. and Clark R. Schultz |
AP-08-10 |
02/23/2009 |
Green Forest Investment and Development Company, LLC, Central Consulting Services, and Glenn Boxwell |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-09-06 |
02/23/2009 |
Warren & Massey Asset Management LTD., Inc; Deborah Reynolds; and Michael Church |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed |
AP-09-10 |
02/19/2009 |
Securian Financial Services, Inc CRD # 15296 |
Consent Order View Press Release |
AP-09-02 |
02/17/2009 |
Michael Bennitt, CRD # 1785944 |
Consent Order View Press Release |
AP-08-30 |
02/17/2009 |
Raymond James Financial Services, Inc. |
Consent Order View Press Release |
AP-09-01 |
02/17/2009 |
Premier Capital Advisors, Inc. |
Consent Order |
AP-09-04 |
02/02/2009 |
Michael L. Klinghammer, CRD # 1799509 |
Consent Order |
AP-08-29 |
02/02/2009 |
Stephen M. Coleman, Daedalus Capital, LLC, Chicken Little Fund Group, Daedalus ALPHA, Inc., and ALPHA Strategy Fund, L.P. |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Costs as to All Respondents View Press Release |
AP-07-41 |
01/30/2009 |
ShareValue, Inc.; and Richard F. Reynolds |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed |
AP-09-03 |
01/26/2009 |
Mike Ball |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed |
AP-08-35 |
01/14/2009 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Consent Order |
AP-08-15 |
01/13/2009 |
Woodbury Financial Services, Inc. |
Consent Order |
AP-08-25 |
01/07/2009 |
Mark Greenway |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-08-34 |
12/29/2008 |
Mark VIII Holdings, LLC a/k/a Mark VIII Holding Company a/k/a Mark VIII, LLC; International Mark VIII, LLC; Gary Robert Doss; and Michael D. Adamovich |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-08-33 |
12/22/2008 |
Greenleaf Companies, LLC; The Real Estate Company of Missouri, LLC; Eric C. Gagnepain; and Scott A. Dasal |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-08-32 |
12/16/2008 |
Wachovia Securities, LLC; and Wachovia Capital Markets, LLC |
Consent Order |
AP-08-28 |
12/11/2008 |
Warner Construction; Cloud Niner, LLC; Tammy L. Warner; and Daniel Warner |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Charging Costs |
AP-08-18 |
12/04/2008 |
Integrity Solutions Financial Services, LLC; Integrity Solutions Tax Consultants, Inc.; Everett Bias, a/k/a Everett Sanchez Bias; John Campbell, a/k/a/ John Campbell-Bey; and Peter Hall |
Order Imposing Civil Penalties and Charging Costs |
AP-07-46 |
12/01/2008 |
Dorian Saunders, CRD # 4577155 |
Consent Order |
AP-08-31 |
11/24/2008 |
New Century Investments, LLC; and H. Kent Desselle |
Consent Order View Press Release |
AP-08-13 |
11/24/2008 |
Commerce Brokerage Services, Inc. |
Consent Order View Press Release |
AP-08-27 |
11/18/2008 |
Petro America Corporation; Owen Hawkins; and Martin Roper |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-08-26 |
11/12/2008 |
RCH Investment Group, Inc.; RCH Investment Corp.; Rippee Custom Homes, LLC; Randy Allen Rippee; and Frankee Lee Allen Rippee |
Final Order to Cease and Desist and for Payment of Civil Penalties and Costs |
AP-08-01 |
09/24/2008 |
Robert T. Anderson, CRD # 2229293 |
Consent Order |
AP-08-22 |
09/16/2008 |
UMB Financial Services, Inc. |
Consent Order |
AP-08-21 |
09/12/2008 |
Warner Construction; Cloud Niner, LLC; Tammy Warner; and Daniel Warner |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed |
AP-08-18 |
09/11/2008 |
Brandon Stuerke, and Guardian Financial Group, LLC |
Consent Order |
AP-08-20 |
09/09/2008 |
Integrity Solutions Financial Services, LLC; Integrity Solutions Tax Consultants, Inc.; Everett Bias, a/k/a Everett Sanchez Bias; John Campbell, a/k/a/ John Campbell-Bey; and Peter Hall |
Final Order to Cease and Desist |
AP-07-46 |
09/04/2008 |
Stephen M. Coleman, Daedalus Capital, LLC, Chicken Little Fund Group, Daedalus Alpha Inc., and Alpha Strategy Fund, L.P. |
Amendment to Order to Cease and Desist and Order to Show Cause why Civil Penalties and Costs Should not be Imposed |
AP-07-41 |
08/27/2008 |
Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation |
Order of Payment From the Investor Restitution Fund |
AO-03-17 |
08/25/2008 |
Deutsche Bank Securities, Inc. |
Order of Payment From the Investor Restitution Fund |
AP-06-49 |
08/25/2008 |
Morgan Stanley & Co. Incorporated |
Order of Payment From the Investor Restitution Fund |
AO-03-19 |
08/25/2008 |
Goldman, Sachs & Co. |
Order of Payment From the Investor Restitution Fund |
AO-03-15 |
08/25/2008 |
UBS Warburg LLC and UBS PaineWebber Inc. |
Order of Payment From the Investor Restitution Fund |
AO-03-20 |
08/25/2008 |
R.C. Transport, LLC |
Consent Order |
AP-08-19 |
08/13/2008 |
Daniel Sutton, CRD # 2661448 |
Consent Order |
AP-08-17 |
08/05/2008 |
St. James Credit Company; Dustin Deluca; and Leslie Koerber |
Order Imposing Civil Penalty and Charging Costs Against Respondent Dustin Deluca |
AP-07-51 |
08/05/2008 |
Wyoming Financial Securities, Inc.; Doyle E. Gustus; and Steven Schilson |
Amendment to Consent Order |
AP-05-36 |
07/16/2008 |
Morgan Stanley & Co. Incorporated |
Consent Order |
AP-08-12 |
07/15/2008 |
Kern Asset Management, Inc. (CRD # 141132); and Andrew E. Kern (CRD # 5169299) |
Consent Order |
AP-08-16 |
07/08/2008 |
Louis E. Robinson; and LER Investment Properties, LLC |
Consent Order |
AP-08-09 |
07/02/2008 |
New Century Investments, LLC; and H. Kent Desselle |
Order to Cease and Desist and Order Referring Matter for Further Action |
AP-08-13 |
06/30/2008 |
Charles D. Medelberg CRD # 1021432 |
Consent Order |
AP-08-14 |
06/10/2008 |
St. James Credit Company; Dustin DeLuca; and Leslie Koerber |
Final Order to Cease and Desist as to Respondents St. James Credit Company and Dustin Deluca |
AP-07-51 |
05/28/2008 |
Stephen D. Godfrey III CRD # 1866559 |
Consent Order |
AP-08-03 |
05/27/2008 |
St. James Credit Company; Dustin DeLuca; and Leslie Koerber |
Final Order to Cease and Desist as to Respondent Leslie Koerber and Order Imposing Civil Penalties and Costs |
AP-07-51 |
05/16/2008 |
Andrew Garrett, Inc. |
Consent Order |
AP-08-06 |
04/28/2008 |
Superior Manufacturing, Inc.; Kevin Wesley Gross; and Wendy Gross |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Costs |
AP-08-08 |
04/24/2008 |
Eidelman Capital Management CRD # 105443 |
Consent Order |
AP-08-04 |
04/21/2008 |
Terry W. Simpkins |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should not be Imposed View Press Release |
AP-08-11 |
04/21/2008 |
Central Missouri Commodities, Inc., Thomas Stuart, Tonya D. Beamer and R.J. O'Brien & Associates, LLC |
Consent Order |
AP-07-59 |
04/18/2008 |
Cobble Creek Homes, LLC; Mark Cope; and David Cope |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Costs |
AP-07-62 |
04/15/2008 |
Target Oil and Gas Corporation; and Michael Smith |
Order Granting Motion to Withdraw Petition for Final Order to Cease and Desist and Payment of Civil Penalties and Costs |
AP-07-44 |
02/22/2008 |
Doug Hemke CRD # 1204584 |
Consent Order |
AP-08-07 |
03/14/2008 |
Rate Search, Inc.; Clayton Analytical Services, Inc.; Scott Luster; and Clark Schultz |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should not be Imposed |
AP-08-10 |
02/19/2008 |
Michael G. Grimes; and Financial Solutions & Associates, Inc. |
Findings of Fact, Conclusions of Law and Final Order |
AP-07-04 |
02/04/2008 |
Superior Manufacturing, Inc.; Kevin Wesley Gross; and Wendy Gross |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should not be Imposed |
AP-08-08 |
02/01/2008 |
RCH Investment Group, Inc.; RCH Investment Corp.; Rippee Custom Homes, LLC; Randy Allen Rippee; and Frankee Lee Allen Rippee |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should not be Imposed View Press Release |
AP-08-01 |
01/30/2008 |
R.A.M. Developments, LLC; and Ray E. Larson |
Consent Order |
AP-07-56 |
01/28/2008 |
R.A.M. Developments, LLC; Brandon L. Larson; and Ray E. Larson |
Order of Dismissal as to Respondent Brandon L. Larson |
AP-07-56 |
01/28/2008 |
Quantum Wealth Management, LLC; and Thomas Joseph Grady |
Amended Consent Order |
AP-07-42 |
01/28/2008 |
Planet EV’s Inc.; Daren Luedtke; and Danny Douglas |
Consent Order |
AP-07-36 |
12/20/2007 |
Cobble Creek Homes, LLC; Mark Cope; and David Cope |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should not be Imposed |
AP-07-62 |
12/17/2007 |
Girard Augustus Munsch, Jr, CRD # 342851 |
Consent Order View Press Release |
AP-07-49 |
12/14/2007 |
Key West Investment Group, LLC; Key West Property & Development, Inc. a/k/a Key West Property Development, Inc.; Douglas K. Dalton; and Jeffrey C. Hanlen |
Consent Order |
AP-07-10 |
12/10/2007 |
Capital Funding Management, Inc.: Delbert R. Huelle; and Steven E. Gwin |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Costs View Press Release |
AP-07-40 |
12/06/2007 |
First Nevada Marketing, Inc.; Leatson B. Landes; Steven E. Gwin |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Costs View Press Release |
AP-07-35 |
12/06/2007 |
UBS Financial Services, Inc., CRD # 8174 |
Consent Order View Press Release |
AP-07-16 |
12/03/2007 |
Jason M. Guillen |
Amendment to Final Order |
AP-07-11 |
11/21/2007 |
Broadview Asset Management, LLC; Dean E. Bradley |
Consent Order |
AP-07-48 |
11/20/2007 |
Alan Glor, CRD # 2341019 |
Consent Order |
AP-07-61 |
11/19/2007 |
Dale A. Engel; Market Bias Investors, LLC; and Mid-State Properties, LLC d/b/a Mid-State Advisors |
Consent Order |
AP-07-54 |
11/19/2007 |
Sutterfield Financial Group, Inc. |
Consent Order |
AP-07-55 |
11/16/2007 |
Investment Centers of America, Inc. |
Consent Order View Press Release |
AP-07-50 |
11/09/2007 |
Brandon Leroy Stuerke, CRD # 4582244 and Guardian Financial Group |
Consent Order |
AP-07-39 |
11/08/2007 |
Stephen M. Coleman, CRD #1004434; Daedalus Capital, LLC, CRD #112705; and Chicken Little Fund Group, CRD #135592 |
Order of Referral for Findings of Fact and Conclusions of Law Regarding Revocation of Registration View Press Release |
AP-07-41 |
10/25/2007 |
Stephen M. Coleman, CRD # 1004434; Daedalus Capital, LLC, CRD # 112705; and Chicken Little Fund Group, CRD # 135592 |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should not be Imposed View Press Release |
AP-07-41 |
10/25/2007 |
Christopher L. Walker, and William T. Keen |
Consent Order View Press Release |
AP-07-37 |
10/22/2007 |
McAdams Wright Ragen, Inc. |
Consent Order |
AP-07-53 |
10/18/2007 |
Capital Funding Management, Inc.; Delbert R. Huelle; Steven Edward Gwin; and Eric Krause |
Order of Dismissal as to Respondent Eric Krause |
AP-07-40 |
10/17/2007 |
R.A.M. Developments, LLC; Brandon L. Larson; and Ray E. Larson |
Order to Cease and Desist and Order to Show why Civil Penalties and Costs Should not be Imposed |
AP-07-56 |
10/15/2007 |
Dale A. Engel; Market Bias Investors, LLC; and Mid-State Properties, LLC d/b/a Mid-State Advisors |
Order to Cease and Desist and Order to Show why Civil Penalties and Costs Should not be Imposed |
AP-07-54 |
10/10/2007 |
St. James Credit Company; Dustin DeLuca; and Leslie Koerber |
Order to Cease and Desist and to Show why Civil Penalties and Costs Should not be Imposed |
AP-07-51 |
10/04/2007 |
Louis E. Robinson; and LER Investment Properties, LLC |
Order to Cease and Desist and Order to Show Cause why Civil Penalties and Costs Should not be Imposed |
AP-07-52 |
09/27/2007 |
Janet Ellingson |
Consent Order |
AP-07-47 |
09/21/2007 |
Quantum Wealth Management, LLC, and Thomas Joseph Grady |
Consent Order |
AP-07-42 |
09/07/2007 |
Integrity Solutions Financial Services, LLC; Integrity Solutions Tax Consultants, Inc.; Everett Bias a/k/a Everett Sanchez Bias; John Campbell a/k/a John Campbell-Bey; and Peter Hall |
Order to Cease and Desist and Order to Show Cause why Civil Penalties and Costs Should not be Imposed |
AP-07-46 |
09/04/2007 |
Great American Investors, Inc., CRD No. 28489; and David K. Richards, CRD No. 375518 |
Consent Order |
AP-07-05 |
08/30/2007 |
Target Oil & Gas Corporation; and Michael Smith |
Order to Cease and Desist and Order to Show Cause why Civil Penalties and Costs Should not be Imposed |
AP-07-44 |
08/27/2007 |
John L. Berra, and Lonedell Investment Company, Inc. |
Consent Order |
AP-07-26 |
08/24/2007 |
3MOM, Inc.; JMichael Investments, LLC; John Sheehan aka John Michael aka John Michael Sheehan; and Alesia Sheehan |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Costs |
AP-07-07 |
08/20/2007 |
Charles D. Womble, CRD # 519446 |
Consent Order |
AP-07-24 |
08/15/2007 |
Brandon Leroy Stuerke, CRD # 4582244 and Guardian Financial Group |
Order to Cease and Desist and to Show Cause Why Civil Penalties and Costs Should Not Be Imposed |
AP-07-39 |
07/24/2007 |
Capital Funding Management, Inc.; Delbert R. Huelle; Steven Edward Gwin; and Eric Krause |
Order to Cease and Desist and to Show Cause Why Civil Penalties and Costs Should Not Be Imposed View Press Release |
AP-07-40 |
07/18/2007 |
Senior Resources, LLC and Becky Halphin |
Consent Order |
AP-07-06 |
07/02/2007 |
First Nevada Marketing, Inc.; Leatson B. Landes; and Steven Edward Gwin |
Order to Cease and Desist and to Show Cause why Civil Penalties and Costs Should not be Imposed View Press Release |
AP-07-35 |
06/15/2007 |
Robert J. Ketchum, CRD # 2490769 |
Consent Order |
AP-07-18 |
06/07/2007 |
Dennis V. Edwards |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Payment of Costs |
AP-06-10 |
05/24/2007 |
Charles D. Womble, CRD # 2519446 |
Order to Show Cause why Respondent Should not be Censured and why Civil Penalties Should not be Imposed |
AP-07-24 |
05/22/2007 |
Berthel, Fisher & Company Financial Services, Inc. |
Consent Order View Press Release |
AP-07-21 |
05/17/2007 |
Bird & Associates, LLC; Island Falls Financial, Inc.; Ideal Financial Services, Inc.; The Spear of Destiny, LLC; Calvin Bird; Kevin Richard Hackenberg; and Francis L. Gibson |
Findings of Fact, Conclusions of Law and Final Order |
AP-06-18 |
05/16/2007 |
Strand, Atkinson, Williams & York, Inc. |
Consent Order |
AP-07-20 |
05/10/2007 |
Timothy H. Puyear, CRD # 2598183 |
Consent Order |
AP-07-13 |
05/10/2007 |
Edward Conner; David J. Reisner; Performance Financial Services, Inc.; Network Services, Inc. aka Network Services Depot, Inc. aka Network Services Distribution, Inc.; and 360 Wireless, Inc., |
Final Order to Cease and Desist as to Respondents Conner and Reisner and Order Imposing Civil Penalties and Restitution |
AP-06-33 |
04/18/2007 |
Jason Mitchell Guillen |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Restitution |
AP-07-11 |
04/13/2007 |
Pine Cone Capital LLC |
Consent Order |
AP-07-12 |
04/10/2007 |
Robert J. Ketchum, CRD # 2490769 |
Order to Cease and Desist, Order Barring Respondent from Registration Pending Administrative Proceeding, and Order to Show Cause why Civil Penalties and Costs Should not be Imposed |
AP-07-18 |
04/06/2007 |
Key West Investment Group, LLC; Key West Property & Development, Inc. a/k/a Key West Property Development, Inc.; Douglas K. Dalton; and Jeffrey C. Hanlen |
Order to Cease and Desist and Order to Show Cause why Civil Penalties and Costs Should not be Imposed |
AP-07-10 |
03/30/2007 |
Gregory Dale Bergman dba Clayton Financial Group, CRD # 2787786 |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Costs |
AP-06-28 |
03/29/2007 |
Yucatan Resorts, S.A. Resort Holdings International, Inc.; Resort Holdings International, S.A.; World Phantasy Tours, Inc. d/b/a Majesty Travel; Rustyn L. Plunkett; Jayaprakash N. Ghanti; Kirankumar N. Ghanti; Michael E. Kelly; and Carl R. Todd, |
Order to Cease and Desist and to Show Cause why Civil Penalties and Costs Should not be Imposed View Press Release |
AP-07-09 |
03/14/2007 |
Mark L. Henry, CRD # 2363168 |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Awarding Costs |
AP-06-30 |
03/01/2007 |
Jan Skola |
Order to Cease and Desist and to Show Cause Why Civil Penalties and Costs Should Not Be Imposed |
AP-07-08 |
02/16/2007 |
Energy Savings, LLC; Texas Energy Investment Solutions, Inc.; The Energy Investment Group; The Energy Savings Group, LLC; Scott Fleischmann; and Preston Fleischmann |
Final Order to Cease and Desist and Order Imposing Civil Penalties Awarding Costs |
AP-06-08 |
02/08/2007 |
Rolfund.Com; Crunkland Records Ltd; Crunkvest Ltd; Christopher A. Hogan; and Other Related Entities and Individuals Participating or About to Participate in the Sale of Securities as Described in the Order |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Costs |
AP-06-35 |
02/08/2007 |
Michael Glenn Grimes; and Financial Solutions & Associates, Inc. |
Order to Cease and Desist and to Show Cause Why Civil Penalties and Costs Should Not Be Imposed View Press Release |
AP-07-04 |
02/07/2007 |
Barrington Capital Management, Inc., CRD # 105005 |
Consent Order View Press Release |
AP-07-01 |
02/07/2007 |
3MOM, Inc.; JMichael Investments, LLC; John Sheehan aka John Michael aka John Michael Sheehan; and Alesia Sheehan |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not Be Imposed View Press Release |
AP-07-07 |
01/31/2007 |
Canady Holdings, Inc.; Jacqueline Boykin; Julie M. Teng; and Laurence Young |
Consent Order as to Respondent Julie M. Teng |
AP-06-16 |
01/31/2007 |
Canady Holdings, Inc., et al. |
Order Dismissing Respondents Boykin and Young |
AP-06-16 |
01/31/2007 |
Great American Investors, Inc., CRD No. 28489; and David K. Richards, CRD No. 375518 |
Order to Cease and Desist and to Show Cause Why Respondents Should Not Be Censured and Why Civil Penalties and Costs Should Not Be Imposed |
AP-07-05 |
01/30/2007 |
AFG Capital Management, Inc. and James A. Freese, CRD # 2635569 |
Final Order to Cease and Desist and Awarding Civil Penalties and Costs of Investigation |
AP-06-42 |
01/23/2007 |
Robert Olsen; Robert Olsen, P.C. |
Consent Order |
AP-06-51 |
01/22/2007 |
Brookstreet Securities Corp. |
Settlement, Stipulation and Order Thereon |
AP-07-03 |
01/11/2007 |
CRT Enterprises, LLC; Platinum Financial Advisors, LLC, Aka Platinum-Sterling Financial Advisors, LLC; Sterling-Meridian, LLC; Ronald J. Linn; Glenn E. Maske; Carl R. Todd; and Richard E. Riner |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Costs |
AP-06-09 |
01/05/2007 |
Gregory Dale Bergman dba Clayton Financial Group, CRD #2787786 |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not Be Imposed |
AP-06-28 |
12/28/2006 |
James Norris Holland, Jr. d/b/a Solomon James Financial |
Consent Order |
AP-06-15 |
12/14/2006 |
Canady Holdings, Inc., et al. |
Consent Order as to Respondent Canady Holdings, Inc. |
AP-06-16 |
12/06/2006 |
World Securities Group, Inc., CRD # 114473 |
Consent Order View Press Release |
AP-06-48 |
11/27/2006 |
Jolee M. Martin, CRD # 2452488 |
Consent Order View Press Release |
AP-06-47 |
11/27/2006 |
Mark L. Henry, CRD # 2363168 |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not Be Imposed View Press Release |
AP-06-30 |
11/15/2006 |
Deutsche Bank Securities, Inc. |
Consent Order |
AP-06-49 ![pdf file](//www.sos.mo.gov/img/pdf_sm.gif) |
11/03/2006 |
Peridot Capital Management, LLC |
Consent Order |
AP-06-40 |
10/30/2006 |
Caobo Company: and Paul Henry Willms |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Costs |
AP-06-32 |
10/26/2006 |
Great River Soy Processing Cooperative |
Consent Order View Press Release |
AP-06-39 |
10/25/2006 |
Paseo Biofuels, LLC |
Consent Order View Press Release |
AP-06-31 |
10/23/2006 |
Energy Savings, LLC; Texas Energy Investment Solutions, Inc.; The Energy Investment Group; The Energy Savings Group, LLC; Scott Fleischmann; and Preston Fleischmann |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not Be Imposed View Press Release |
AP-06-08 |
10/17/2006 |
Sheldon Jay Harber; Marvin Lee Harber; Robert William Waugh; and The Planning Group, Incorporated D/B/A Asset Strategies, Inc. |
Consent Order |
AP-06-34 |
10/12/2006 |
Wachovia Capital Markets, LLC |
Consent Order |
AP-06-26 ![pdf file](//www.sos.mo.gov/img/pdf_sm.gif) |
10/06/2006 |
Goldline International, Inc. |
Consent Order View Press Release |
AP-06-24 |
10/06/2006 |
Quadra Pay Land, LLC; Eavenson Family Limited Partnership; and Kuhn FLP |
Order to Cease and Desist and Other Administrative Relief |
AP-06-27 |
10/04/2006 |
Thomas Weisel Partners, LLC |
Consent Order |
AP-06-38 ![pdf file](//www.sos.mo.gov/img/pdf_sm.gif) |
09/29/2006 |
Edward Conner; David J. Reisner; Performance Financial Services, Inc.; Network Services, Inc. aka Network Services Depot, Inc. aka Network Services Distribution, Inc.; and 360 Wireless, Inc. |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not Be Imposed View Press Release |
AP-06-33 |
09/28/2006 |
Bird & Associates, LLC; Island Falls Financial, Inc.; Ideal Financial Services, Inc.; The Spear of Destiny, LLC; Calvin Bird; Kevin Richard Hackenberg; and Francis L. Gibson |
Order to Cease and Desist and Other Administrative Penalties View Press Release |
AP-06-18 |
09/26/2006 |
Son & Carter, Inc.; Frank N. Scott;Greg Carter, Sr.; and Greg Carter, Jr. |
Consent Order |
AP-05-21 |
09/22/2006 |
AFG Capital Management, Inc.; and James A. Freese, CRD # 2635569 |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not Be Imposed |
AP-06-42 |
09/13/2006 |
Danny Lee Harris, CRD # 1235305 |
Order to Cease and Desist |
AP-06-37 |
09/08/2006 |
Rolfund.Com; Crunkland Records Ltd Crunkvest Ltd; Christopher A. Hogan; and Other Related Entities and Individuals Participating or About to Participate In The Sale of Securities as Described In The Order |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not Be Imposed |
AP-06-35 |
09/06/2006 |
Petro-America Producing Oil and Gas Wells, Inc.; James Kosanke; and Robert Harris |
Final Order to Cease and Desist and Order Awarding Civil Penalties and Costs of Investigation |
AP-06-20 |
09/05/2006 |
Caobo Company; and Paul Henry Willms |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not Be Imposed View Press Release |
AP-06-32 |
08/29/2006 |
Dennis V. Edwards |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not Be Imposed View Press Release |
AP-06-10 |
08/21/2006 |
Jordan Edwards |
Consent Order View Press Release |
AP-06-29 |
08/11/2006 |
Petro-America Producing Oil and Gas Wells, Inc.; James Kosanke; and Robert Harris |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not Be Imposed View Press Release |
AP-06-20 |
07/06/2006 |
Omni Media & Entertainment, INC. |
Consent Order |
AP-06-19 |
07/06/2006 |
CRT Enterprises, LLC; Platinum Financial Advisors, LLC, aka Platinum-Sterling Financial Advisors, LLC; Sterling-Meridian, LLC; Ronald J. Linn; Glenn E. Maske; Carl R. Todd; and Richard E. Riner |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not Be Imposed View Press Release |
AP-06-09 |
07/05/2006 |
Porterfield Investments, Inc; Dove Enterprises, Inc; Southwest Cellular, Inc; Tele-America, LLC; Jim R. Porterfield; and Linda K. Porterfield |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Costs View Press Release |
AP-06-06 |
06/19/2006 |
Save the Planet Energy Corporation a/k/a Save the Planet USA Company; Krystal Planet Corporation; Krystal Energy Corporation; Troy Helming, and Alysia Carlson Helming; |
Consent Order |
AP-05-42 |
06/19/2006 |
King's Country Music Show a/k/a King's Country Show |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Costs View Press Release |
AP-05-43 |
06/19/2006 |
Shawn E. Aaron, CRD # 2596836 |
Order Barring Agent From Registration |
AP-06-23 |
06/12/2006 |
Son & Carter, Inc.; Frank N. Scott; Greg Carter, Sr.; and Greg Carter, Jr., |
Final Order to Cease and Desist as to Respondent Frank N. Scott |
AP-05-21 |
06/08/2006 |
Christopher John Jacob, CRD # 1501352 |
Consent Order |
AP-04-67 |
06/06/2006 |
Nicholas G. Brown, CRD # 4802446 |
Consent Order |
AP-06-22 |
06/05/2006 |
Edward E. Matthes, CRD #2788055 |
Consent Order View Press Release |
AP-06-17 |
06/01/2006 |
Perry Development and Investing; and Dwayne Perry |
Consent Order |
AP-06-13 |
05/22/2006 |
Canady Holdings, Inc.; Jacqueline Boykin; Julie M. Teng; and Laurence Young |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed. View Press Release |
AP-06-16 |
05/12/2006 |
James Norris Holland, Jr. d/b/a Solomon James Financial |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed and Order Referring Revocation Petition to the Administrative Hearing Commission View Press Release |
AP-06-15 |
04/27/2006 |
Robert M. Salamone, CRD # 4060335 |
Order of Dismissal |
AP-06-12 |
04/20/2006 |
Easterday Exploration, Inc. |
Consent Order |
AP-06-14 |
04/17/2006 |
Kenny Securities Corp. |
Consent Order |
AP-06-11 |
03/08/2006 |
King's Country Music Show |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-05-43 |
03/06/2006 |
Corefunds, Inc.; Robert W. Rapp; and Jan M. Skola;. |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Costs |
AP-05-39 |
03/03/2006 |
Emerging Technologies Development Company; Emerging Technologies Investment Group, L.L.C.; and William P. Alexander |
Consent Order View Press Release |
AP-06-07 |
02/22/2006 |
Andrew Garrett, Inc. |
Consent Order |
AP-06-01 |
02/09/2006 |
Porterfield Investments, Inc.; Dove Enterprises, Inc.; Southwest Cellular, Inc.; Tele-America, LLC; Jim R. Porterfield; and Linda K. Porterfield |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-06-06 |
02/07/2006 |
Super Wealth Team, a/k/a Superwealth, a/k/a Superwealthteam.Com, a/k/a Superwealthteam; David Davinci, a/k/a David Maraldo, a/k/a David Maralado, a/k/a David Marlow; Michael Davinci, a/k/a Michael N. Maraldo; Shanna Davinci, a/k/a Shanna Maraldo, a/k/a Ushanna F. Maraldo, a/k/a Shana Maraldo; DBS, Inc.; David J. Finn |
Final Order to Cease and Desist |
AP-05-34 |
01/26/2006 |
Allan Richard Burbach, Waddell & Reed |
Consent Order View Press Release |
AP-06-03 |
01/10/2006 |
Walnut Street Advisers, Inc., CRD # 1019903 |
Consent Order |
AP-05-46 |
12/29/2005 |
R.M. Duncan Securities, Inc., CRD # 14344 |
Consent Order |
AP-05-44 |
12/28/2005 |
Senior Resources, L.L.C and Becky Halphin |
Consent Order |
AP-05-45 |
12/21/2005 |
Skamp Investments LLC; Donald Schnure; Brown Associates International; International Financials and Investment Advisors; and Ted Brown a/k/a T.R. Brown |
Final Order to Cease and Desist – Brown Associates International, International Financial and Investment Advisors, and Ted Brown a/k/a T.R. Brown View Press Release |
AP-05-22 |
12/14/2005 |
Worldwide Entertainment, Inc.; and Jack Utsick |
Consent Order |
AP-05-41 |
12/05/2005 |
Save The Planet Energy Corporation; Krystal Energy Corporation; Krystal Planet Corporation; Troy Helming; and Alysia Carlson Helming;. |
Order to Cease and Desist, and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-05-42 |
11/30/2005 |
Skamp Investments LLC; Donald Schnure; Brown Associates International; International Financials and Investment Advisors; and Ted Brown a/k/a T.R. Brown |
Final Order to Cease and Desist – Skamp Investments LLC and Donald Schnure |
AP-05-22 |
11/23/2005 |
Gregory M. Hasho, CRD# 1016890 |
Final Order to Cease and Desist |
AP-04-102 |
11/10/2005 |
KLMAX.com; Jerry Wong |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should not be Imposed |
AP-05-33 |
11/07/2005 |
Corefunds, Inc.; Robert W. Rapp; and Jan M. Skola;. |
Order to Cease and Desist, and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-05-39 |
10/27/2005 |
Worldwide Motorcars, LLC |
Consent Order |
AP-05-38 |
10/27/2005 |
Gordon M. Allen, CRD # 1457468 |
Consent Order |
AP-05-30 |
10/13/2005 |
Global Power; Global Wealth Enterprises LLC; Global Wealth Investments LLC; and Andre E. Mitchell et al. |
First Amended Order to Cease and Desist |
AP-05-24 |
10/12/2005 |
Wyoming Financial Securities, Inc.; Doyle E. Gustus; and Steven Schilson |
Consent Order |
AP-05-36 |
09/16/2005 |
Securities Compliance Department, Conrad Shore, Robert James, and John Phoenix |
Order to Cease and Desist and Order Awarding Civil Penalties and Costs of Investigation |
AP-05-29 |
09/15/2005 |
Fleas R Us, Inc., and William Hanson, Sr. |
Final Order to Cease and Desist and Order Awarding Civil Penalties and Costs of Investigation |
AP-05-19 |
09/15/2005 |
Frank D. Williams, d/b/a Stadium Printing of Independence |
Consent Order to Cease and Desist and Order Awarding Civil Penalties and Costs of Investigation |
AP-05-16 |
09/15/2005 |
Super Wealth Team, a/k/a Superwealth, a/k/a Superwealthteam.Com, a/k/a Superwealthteam; David Davinci, a/k/a David Maraldo, a/k/a David Maralado, a/k/a David Marlow; Michael Davinci, a/k/a Michael N. Maraldo; Shanna Davinci, a/k/a Shanna Maraldo, a/k/a Ushanna F. Maraldo, a/k/a Shana Maraldo; DBS, Inc.; David J. Finn |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not Be Imposed |
AP-05-34 |
08/25/2005 |
Bryan Marsden, Pureinvestor.com INC., PIPS INC., and PIC Trust Limited |
Order to Cease and Desist and Order Awarding Civil Penalties and Costs of Investigation |
AP-05-25 |
08/25/2005 |
Skamp Investments LLC; Donald Schnure; Brown Associates International; International Financials and Investment Advisors; and Ted Brown a/k/a T.R. Brown |
Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed |
AP-05-22 |
08/17/2005 |
Genesis Partners, Inc. |
Consent Order |
AP-05-32 |
08/12/2005 |
Edward D. Jones & Co., L.P. |
Consent Order View Press Release |
AP-05-31 |
08/05/2005 |
Son & Carter, Inc. |
Order to Cease and Desist View Press Release |
AP-05-21 |
07/15/2005 |
Securities Compliance Department |
Order to Cease and Desist View Press Release |
AP-05-29 |
07/11/2005 |
Douglas Bagwell, CRD # 4219659 |
Consent Order |
AP-05-28 |
07/08/2005 |
Waddell & Reed, INC. and W&R Insurance Agency, INC. |
Administrative Consent Order View Press Release |
View Consent Order |
06/30/2005 |
Donnye Sommerville |
Order to Cease and Desist and Order Awarding Civil Penalties and Costs of Investigation |
AP-05-14 |
06/29/2005 |
PIPS |
Order to Cease and Desist View Press Release |
AP-05-25 |
06/24/2005 |
Pensions Consultants, Inc., IARD #113914; Brian D. Allen, CRD #2020476; Christopher Thixton, CRD #2654637 |
Consent Order |
AP-05-26 |
06/20/2005 |
Oppenheimer & Co., Inc. |
Consent Order View Press Release |
AP-05-03 |
06/15/2005 |
Everen Securities, Inc. and First Union Securities, Inc. (n/k/a) Wachovia Securities, LLC |
Consent Order View Press Release |
AP-05-20 |
06/13/2005 |
Miller Capital Management, Inc. |
Consent Order |
AP-05-06 |
06/13/2005 |
Global Power; Global Wealth Enterprises LLC; Global Wealth Investments LLC; and Andre E. Mitchell |
Order to Cease and Desist, and Order to Show Cause Why Civil Penalty and Costs Should Not be Imposed View Press Release |
AP-05-24 |
05/31/2005 |
Boris Schneider, CRD # 1773270 |
Consent Order View Press Release |
AP-05-15 |
05/16/2005 |
Fact Financial , LLC; Michael W. Malott; Mary Hogue; and Jonathan Styers |
Consent Order |
AP-04-96 |
04/05/2005 |
Joon H. Rhee, CRD # 2167218 |
Consent Order |
AP-04-88 |
05/13/2006 |
Waddell & Reed, Inc. CRD# 866; Keith A. Tucker, Chairman of the Board, CRD# 1326245; Robert J. Williams, EVP, CRD # 468213; Robert L. Hechler, Retired, CRD # 800216; Mark P. Buyle, Chief Compliance Officer, CRD # 2656200; Michael J. Bloomberg, Registered Representative, CRD# 1484632; Bobby H. Blosch, Registered Representative, CRD # 1228097; Glenda R. Bond, Registered Representative, CRD # 1959038; Bryan K. Bowles, Registered Representative, CRD # 2238313; Dean K. Buford, Registered Representative, CRD # 1221185; Robert J. Drury, Registered Representative, CRD # 3017581; Phillip K. Fine, Registered Representative, CRD # 2227284; Donald J. Gravlin, Registered Representative, CRD # 1910055; Robert L. Nutt, Jr., Registered Representative, CRD # 1327172; Mary F. Sharek, Registered Representative, CRD # 1069533; John A. Stewart, Registered Representative, CRD # 4299802; Richard A. Surber, Registered Representative, CRD # 2170368; George D. Sutton, Registered Representative, CRD # 1983478; Charles H. Trotter, Registered Representative, CRD # 3009155; Christopher R. Wade, Registered Representative, CRD # 2049695; and Carroll W. Wilkerson, Registered Representative, CRD # 1395035 |
Summary order of Waddell & Reed's Broker-Dealer Registration, Summary Order to Suspend the Above Listed Representatives and Order to Show Cause Why Waddell & Reed, Inc., Tucker, Williams, Hechler, Buyle and the Above Listed Registered Representatives Should Not be Narred and/or Censured View Press Release |
AP-05-13 |
03/25/2005 |
Rothschild Investment Corporation |
Consent Order |
AP-05-11 |
03/24/2005 |
National Asset Management, Inc. |
Consent Order |
AP-05-10 |
03/11/2005 |
Mesa-Data Services, Inc; Kurt J. Holdeman |
Order to Cease and Desist View Press Release |
AP-05-07 |
03/02/2005 |
Absolute Health & Fitness, Inc.; and Micro Cap |
Summary Order to Cease and Desist and Order to Show Cause Why Civil Penalty and Costs Should Not be Imposed View Press Release |
AP-05-09 |
02/25/2005 |
Robert J. Herbert, CRD# 2758055 |
Consent Order |
AP-04-91 |
02/24/2005 |
Sandeep S. Gazahi, CRD # 2731705 |
Consent Order |
AP-04-93 |
02/15/2005 |
ATM Profit Centers, LLC a/k/a ATM Profit Centers and Stephen D. Durfee a/k/a Steve Durfee |
Summary Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed View Press Release |
AP-05-05 |
02/08/2005 |
Professional Resource Network, LLC Walter B. Mickey a/k/a J.R. Mickey |
Consent Order |
AP-05-04 |
02/02/2005 |
Mark P. Goetz, CRD #1559358 |
Consent Order |
AP-05-02 |
02/08/2005 |
Michael Glenn Grimes, CRD#841925 |
Consent Order |
AP-05-01 |
03/29/2005 |
George J. Kurtis, CRD # 2184319 |
Consent Order |
AP-04-90 |
01/25/2005 |
Iftikhar U. Haq, Crd # 4212059 |
Final Order to Cease and Desist, Censure of Agent Registration and Order Awarding Civil Penalties and Investigative Costs |
AP-04-89 |
01/18/2005 |
Elangovan Surendran CRD# 2658729 |
Final Order |
AP-04-87 |
01/06/2005 |
Richard T. Gray, CRD #858965 |
Stipulated Agreement |
AP-04-27 |
01/05/2005 |
Vertical Securities, LLC; Vertical Group, LLC; Daryl Brown |
Consent Order |
AP-04-63 |
01/04/2005 |
Timothy P. Higgins, CRD # 2282547 |
Consent Order |
AP-04-94 |
01/04/2005 |
Varner Technologies, Inc.; Clayton W. Varner; Robert W. Rapp; Richard A. Davis; and Jan M. Skola |
Summary Order to Cease and Desist |
AP-04-100 |
12/22/2004 |
Mid-America Enterprises, Inc., Central States Enterprises, and William G. Mathes |
Summary Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed |
AP-04-98 |
12/13/2004 |
Fact Financial, LLC; Michael W. Malott; Mary Hogue; and Jonathan Styers |
Summary Order to Cease and Desist and Pay Civil Penalties |
AP-04-96 |
12/09/2004 |
The RWS Group, Inc.; RWS Investments; Ronald W. Shepard; Mary L. Shepard; and Jerry C. McGuire |
Finding of Fact, Conclusions of Law and Final Order to Cease and Desist and to Pay Civil Penalties and Costs |
AP-04-33 |
12/01/2004 |
Edward W. Goetz, CRD #17902058 |
Consent Order |
AP-04-64 |
11/30/2004 |
Christian M. Herrera, CRD # 4158466 |
Summary Order to Cease and Desist, Summary Order of Censure, and Order to Show Cause Why Civil Penalty and Costs Should Not be Imposed |
AP-04-95 |
11/29/2004 |
Timothy P. Higgins, CRD# 2282547 |
Summary Order to Cease and Desist, Summary Order Barring Agent from Registration, and Order to Show Cause Why Civil Penalty and Costs Should not be Imposed |
AP-04-94 |
11/29/2004 |
Robert J. Herbert, CRD # 2758055 |
Summary Order to Cease and Desist, Summary Order of Censure, and Order to Show Cause Why Civil Penalty and Costs Should Not be Imposed |
AP-04-91 |
11/29/2004 |
George J. Kurtis, CRD # 2184319 |
Summary Order to Cease and Desist, Summary Order Barring Agent From Registration, and Order to Show Cause Why Civil Penalty and Costs Should Not be Imposed |
AP-04-90 |
11/29/2004 |
Iftikhar U. Haq, CRD # 4212059 |
Summary Order to Cease and Desist, Summary Order of Censure, and Order to Show Cause Why Civil Penalty and Costs Should Not be Imposed |
AP-04-89 |
11/29/2004 |
Joon H. Rhee, CRD # 2167218 |
Summary Order to Cease and Desist, Summary Order Barring Agent From Registration, and Order to Show Cause Why Civil Penalty and Costs Should Not be Imposed |
AP-04-88 |
11/29/2004 |
Elangovan Surendran, CRD # 2658729 |
Summary Order to Cease and Desist, Summary Order Barring Agent From Registration or Association With Any Broker-Dealer, and Order to Show Cause Why Civil Penalty and Costs Should Not be Imposed |
AP-04-87 |
11/22/2004 |
Iftikhar U. Haq, CRD# 4212059 |
Final Order to Cease and Desist, Censure of Agent Registration and Order Awarding Civil Penalties and Investigative Costs |
AP-04-89 |
11/18/2005 |
Dennis P. Cooper |
Consent Order |
AP-04-86 |
11/08/2004 |
Jeffrey A. Robertson |
Order to Cease and Desist |
AP-04-71 |
11/02/2004 |
Rich Eckel, Judy Eckel, and Billings Chapman |
Summary Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should Not be Imposed |
AP-04-73 |
11/02/2004 |
Philip L. Helton |
Consent Order |
AP-04-83 |
10/26/2004 |
Kurt A. Johnson |
Dismissal without Prejudice |
AP-04-75 |
10/08/2004 |
Terry Lane Coleman |
Hearing Order |
AP-04-82 |
10/06/2004 |
Townhomes of Valley Hills, LLC |
Order Increasing the Number of Transactions Permitted by Respondent Under 409.2-202(14), RSMO Cum. 2003 |
AP-04-81 |
10/06/2004 |
Butler, Wick & Co., Inc. (CRD#120) |
Consent Order |
AP-04-70 |
10/06/2004 |
Paul Michael Hulen |
Consent Order |
AP-04-47 |
10/04/2004 |
Living Element Pictures, Inc.; Christopher Gosch, Candance Gosch, Derek Thornsberry, and Patricia Gillum |
Order to Cease and Desist |
AP-04-72 |
09/28/2004 |
Mobile Billboards of America; Outdoor Media Industries; Michael L. Young; Michael A. Lomas; Laurinda Holohan; and Barbara L. Plattenburg |
Order to Cease and Desist |
AP-04-76 |
09/28/2004 |
Kurt A. Johnson CRD# 2008977 |
Order Referring Matter for Filing with Administrative Hearing Commission |
AP-04-75 |
09/27/2004 |
H&R Motors, Inc.; Smart Cash, Inc.; and Johnny J. Sudduth |
Summary Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should not be Imposed |
AP-04-69 |
09/17/2004 |
Pendragon Investment Group, Ltd. and Gregory Strand |
Order to Cease and Desist |
AP-04-09 |
09/15/2004 |
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Tri-City Baptist Church, Inc. d/b/a Tri-City Ministries |
Consent Order |
AP-04-31 |
08/13/2004 |
Phillip Behnen |
Consent Order |
AP-04-62 |
06/29/2004 |
Kenneth M. Bristow, Jr., CRD #2599507 |
Summary Denial of Agent Registration |
AP-04-65 |
06/29/2004 |
Mutual Benefits Corporation; Peter Lombardi; Les Steinger; and Anthony M. Livotti, Jr. |
Order to Cease and Desist |
AP-04-46 |
06/29/2004 |
Arthur Emanuel Cambridge |
Order to Cease and Desist |
AP-04-55 |
06/29/2004 |
Willard T. Jurgensmeyer a/k.a W. T. Jurgensmeyer |
Order to Cease and Desist |
AP-04-59 |
9/29/2004 |
Continental Broker-Dealer Corp (CRD#14048) and Dominick Bianco (CRD#2723092) |
Findings of Fact, Conclusions of Law and Final Order to Cease and Desist, Censure, Bar and to Pay Civil Penalties |
AP-04-02 |
06/24/2004 |
Monterey Del Mar, S.A. and Bob Hibshman |
Order to Cease and Desist |
AP-04-51 |
06/22/2004 |
Richard T. Gray |
Order Referring Matter for Filing with Administrative Hearing Commission |
AP-04-27 |
05/03/2004 |
Rebates International, Inc., Terry Mahon, and Denver Large |
Order to Cease and Desist |
AP-04-26 |
04/30/2004 |
The RWS Group, Inc.; RWS Investments; Ronald W. Shepard; Mary L. Shepard; and Jerry C. McGuire |
Summary Order to Cease and Desist and Order to Show Cause Why Civil Penalties and Costs Should not be Imposed |
AP-04-33 |
04/21/2004 |
Living Element Pictures, Inc.; Christopher Gosch, Candance Gosch, Derek Thornsberry, and Patricia Gillum |
Final Order to Cease and Desist |
AP-04-72 |
04/11/2005 |
Effectiveness Builders Group |
Consent Order |
AP-04-29 |
03/30/2004 |
The Investment Office, Inc. |
Consent Order |
AP-04-24 |
03/30/2004 |
Global Development Holdings, Paul Tucker, Larry Sobol |
Consent Order |
AP-04-28 |
03/26/2004 |
Fellowship of Christian Investors a.k.a. Koinonia Investment Clubs; and Kelsey Garman |
Order to Cease and Desist |
AP-04-22 |
03/09/2004 |
Clifford Earl Van Ittersum CRD #1060059 |
Consent Order |
AP-04-18 |
02/27/2004 |
R. C. Dixon & Associates, Inc. |
Consent Order |
AP-04-12 |
02/13/2004 |
Douglas Allan Siebert, CRD #845842 |
Consent Order |
AP-04-16 |
02/17/2004 |
Wellspring Capital Group, Inc.; Blake Prater; Sharedprofit Program; and Lloyd Low |
Order to Cease and Desist |
AP-04-08 |
02/03/2004 |
National Securities Corporation |
Consent Order |
AP-04-11 |
01/29/2004 |
Wall Street Financial Group, Inc. |
Consent Order |
AP-04-10 |
01/26/2004 |
Merchant Bankcard Network d/b/a ATMmachine.com; d/b/a Mastercard-Visa.com; and Howard Padratzik a/k/a Howard Paddy |
Order to Cease and Desist |
AP-04-06 |
01/26/2004 |
James E. Aldridge, Jr.; Concept Marketing International; and Liberty Commerce Group Trust |
Order to Cease and Desist |
AP-04-03 |
01/23/2004 |
Continental Broker-Dealer Corp (CRD#14048) and Dominick Bianco (CRD#2723092) |
Summary Order to Cease and Desist, Summary Suspension of Agent Registration, Summary Order to Condition and Limit Broker-Dealer Registration, and Order to Show Cause Why Civil Penalties Should not be Imposed |
AP-04-02 |
01/16/2004 |
Clean Air Systems, Inc.; Mark A. Cook; and Randall D. Brasmer |
Order to Cease and Desist |
AP-04-04 |
01/06/2004 |
B&B Worm Farms, Inc.; Lynn Bradley; James Woody; and Lisa Woody |
Final Order to Cease and Desist |
AP-04-01 |
01/02/2004 |
James Richey d/b/a GBY Family Trust |
Order to Cease and Desist |
CD-03-12 |
07/21/2003 |
Organic Systems & Waste Solutions, Inc.; Lawrence L. Bateman; and Andrew Bateman |
Final Order to Cease and Desist |
AP-04-05 |
05/17/2003 |
Ian Caldwell; Alistar McIntyre; Simon McDevitt; Robert S. Hale; Supavadee Tunyakul; David Westcott; and Birchtree Financial Services |
Order to Cease and Desist |
AP-04-07 |
02/05/2003 |
Organic Systems & Waste Solutions, Inc.; Lawrence L. Bateman; and Andrew Bateman |
Order to Cease and Desist |
AP-04-05 |
01/20/2003 |
Heartscan Imagin, LLC; Heartscan, LLC; Heartscan East Coast Imaging, LLC; Heartscan Imaging Unit Investment Trust; Heartscan Unit Investment Trust; Patrick Kavanaugh; Randy Villa; Donald Nelson |
Order to Cease and Desist |
CD-01-34 |
10/31/2001 |
Stanley Helvey |
Order to Cease and Desist |
CD-01-30 |
10/01/2001 |
Southeastern Energy, Inc.; G. Alan Murrell; Buddy Harper |
Order to Cease and Desist |
CD-01-17 |
06/08/2001 |
Profits Plus, Inc.; Pamela J. Harrington |
Order to Cease and Desist |
CD-01-10 |
03/27/2001 |
Kurt Barwick; Barwick Consulting Services, Inc. |
Order to Cease and Desist |
CD-01-07 |
03/13/2001 |
Matthew J. Trainer; Jason A. Trainer; Hardcastle Hedge Fund #1 L.P.; MMI Innovations, Inc., Joel D. Puttcamp |
Order to Cease and Desist |
CD-01-01 |
01/04/2001 |
George J. Kerry |
Order to Cease and Desist |
CD-00-07 |
03/14/2000 |
Starnet Technologies, Inc.; Daniel Colechio, Sr.; Valerie Drexler; Neil Pincus; Charles Horvath |
Cease and Desist Order |
CD-00-04 |
02/01/2000 |
Timothy D. Newman; Shane Dunnaway; Raymond Eppenauer; Timothy Kusgen; David P. Diehl; Jonathan Diehl |
Order to Cease and Desist |
CD-99-51 |
12/22/1999 |
Trident/KD Investment Group, Inc.; Lisa Klinger; Will Grant, Jr. |
Final Order to Cease and Desist |
CD-99-43 |
12/22/1999 |
1 World Center Corporation; Internet & Web Services Corporation; John Emory; Mike Walkington; Steve Moran |
Order to Cease and Desist |
CD-99-44 |
12/16/1999 |
Lelong Investment Group, L.L.C.; James A. Marino; Dan Kelley |
Order to Cease and Desist |
CD-99-45 |
11/30/1999 |
Scat Trade Equities; Nolan D. Crisp; James R. Stauffer; Robert E. Barnett |
Order to Cease and Desist |
CD-99-39 |
11/19/1999 |
Bull & Bear, Ltd.; Robert Terrence Jeep; Jerome Stanford Stein |
Order to Cease and Desist |
CD-99-40 |
10/22/1999 |
Personal Choice Opportunities a/k/a PCO, Inc.; David W. Laing; Next Century, Inc.; Senior Resource Services; James A. Marshall; Charles M. McLaughlin; George William "Bill" Hull d/b/a Bill Hull Insurance Agency |
Order to Cease and Desist |
CD-98-58 |
10/22/1998 |