Index of Orders
To obtain an official copy of any order contact the securities division at (573) 751-4704 or email the division.
| Matter | Summary Description | Case No. | Date Signed |
|---|---|---|---|
| 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 |
| Freeedom 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 Costs View 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-08-19 | 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 |
| Doug Hemke CRD # 1204584 | Consent Order | AP-08-07 | 03/14/2008 |
Rate Search, Inc.;
Clayton Analytical Services, Inc.; |
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 |
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.; |
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 |
Consent Order | AP-07-56 | 01/28/2008 |
R.A.M. Developments, LLC;
Brandon L. Larson; and |
Order of Dismissal as to Respondent Brandon L. Larson | AP-07-56 | 01/28/2008 |
Quantum Wealth Management, LLC; and |
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; |
Consent Order | AP-07-10 | 12/10/2007 |
Capital Funding Management, Inc.: |
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.; |
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 |
Broadview Asset Management, LLC; |
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 |
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 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; |
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 |
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 |
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; |
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; |
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 |
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 |
Consent Order | AP-07-42 | 09/07/2007 |
Integrity Solutions Financial Services, LLC; |
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., |
Consent Order | AP-07-05 | 08/30/2007 |
Target Oil & Gas Corporation; and |
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.; |
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 |
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 |
First Nevada Marketing, Inc.; |
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; |
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; |
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. |
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; |
Final Order to Cease and Desist and Order Imposing Civil Penalties and Costs | AP-06-35 | 02/08/2007 |
Michael Glenn Grimes; and |
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.; |
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.; |
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., |
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.; 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; |
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. |
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  |
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 |
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 |
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.; 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 Engery 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 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 |
| Sandeep S. Gazahi, CRD # 2731705 | Consent Order | AP-04-93 | 02/15/2005 |
| Professional Resource Network, LLC Walter B. Mickey a/k/a J.R. Mickey | Consent Order | AP-05-04 | 02/02/2005 |
| George J. Kurtis, CRD # 2184319 | Consent Order | AP-04-90 | 01/25/2005 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 | |
| Joon H. Rhee, CRD # 2167218 | Consent Order | AP-04-88 | |
| NEW CENTURY INVESTMENTS, LLC; and H. KENT DESSELLE | Order to cease and desist and order referring matter for further action | AP-08-13 | 6/30/2008 |