Investor Protection & Securities:: Enforcement:: Index of Orders

 Index of Orders

To obtain an official copy of any order contact the securities division at (573) 751-4136 or email the division.

Securities Orders

  

Security Orders Listed by Defendant, Summary Description, and Case Number
MatterSummary DescriptionCase No.Date Signed
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

Wealthcare, LLC, CRD 170382; and James Barry Watts, CRD No. 2482375 Dismissed by the Secretary of State's Office AP-19-01

 10/03/2019

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

Wealthcare, LLC, CRD No. 170382; and James Barry Watts, CRD No. 2482375 Order to Cease and Desist and Order to Show Cause Why Restitution, Civil Penalties, Costs, and Other Administrative Relief Should not be Imposed AP-19-01

01/31/2019

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
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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
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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
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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
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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
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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
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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
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AP-15-44 11/25/2015
MacKenzie Realty Capital, Inc. Consent Order AP-15-45 11/23/2015
Joel Cansler Consent Order
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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AP-11-33 12/29/2011
Hugh Vincent Murray, III, CRD # 826261 Consent Order
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AP-11-32 12/22/2011
Forsyth Securities, Inc., CRD # 16323 Consent Order
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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AP-10-39 12/15/2010
Huntleigh Securities Corporation, CRD # 7456 Consent Order
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AP-10-33 12/13/2010
James S. McClellan, Jr., CRD # 325492 Consent Order
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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
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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
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AP-10-24 10/28/2010
Citigroup Global Markets Inc, CRD # 7059; and Gordon Hamilton, CRD # 1685613 Consent Order
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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
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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
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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
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AP-10-11 07/14/2010
Bankers Life and Casualty Company Consent Order
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AP-10-27 07/14/2010
Edward D. Jones & Co., L.P., CRD # 250 Consent Order
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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
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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
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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
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AP-10-19 05/19/2010
UBS Securities, LLC, CRD #7654; and UBS Financial Services, Inc., CRD # 8174 Consent Order
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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
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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
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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
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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
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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
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AP-09-46 12/02/2009
Craig Laverne McClaskey, CRD # 1990517 Order of Summary Suspension of Agent Registration
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AP-09-47 12/01/2009
Morgan Stanley & Co. Incorporated, CRD # 8209 Consent Order
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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
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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
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AP-09-40 10/22/2009
NatCity Investments, Inc., CRD # 17490 Consent Order
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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
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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
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AP-09-33 09/22/2009
JPMorgan Chase & Co. Consent Order
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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
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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
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AP-09-23 07/30/2009
RBC Capital Markets Corporation, CRD # 31194 Consent Order
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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
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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
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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
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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
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AP-09-18 05/18/2009
Banc of America Securities LLC, Banc of America Investment Services, Inc. Consent Order
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AP-09-20 05/13/2009
Princor Financial Services Corporation Consent Order
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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
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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
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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
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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
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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
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AP-09-02 02/17/2009
Michael Bennitt, CRD # 1785944 Consent Order
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AP-08-30 02/17/2009
Raymond James Financial Services, Inc. Consent Order
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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
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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
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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
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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
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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
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AP-08-13 11/24/2008
Commerce Brokerage Services, Inc. Consent Order
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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
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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
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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
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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
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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
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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
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AP-07-35 12/06/2007
UBS Financial Services, Inc., CRD # 8174 Consent Order
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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
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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
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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
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AP-07-41 10/25/2007
Christopher L. Walker, and William T. Keen Consent Order
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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; anMichael 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
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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
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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
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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
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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
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AP-07-04 02/07/2007
Barrington Capital Management, Inc., CRD # 105005 Consent Order
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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
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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
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AP-06-48 11/27/2006
Jolee M. Martin, CRD # 2452488 Consent Order
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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
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AP-06-30 11/15/2006
Deutsche Bank Securities, Inc. Consent Order AP-06-49 pdf file 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
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AP-06-39 10/25/2006
Paseo Biofuels, LLC Consent Order
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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
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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 10/06/2006
Goldline International, Inc. Consent Order
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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 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
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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
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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
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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
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AP-06-10 08/21/2006
Jordan Edwards Consent Order
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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
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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
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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
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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
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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
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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.
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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
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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
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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
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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
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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
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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
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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
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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
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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
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AP-05-31 08/05/2005
Son & Carter, Inc. Order to Cease and Desist
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AP-05-21 07/15/2005
Securities Compliance Department Order to Cease and Desist
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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
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Consent
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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
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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
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AP-05-03 06/15/2005
Everen Securities, Inc. and First Union Securities, Inc. (n/k/a) Wachovia Securities, LLC Consent Order
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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
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AP-05-24 05/31/2005
Boris Schneider, CRD # 1773270 Consent Order
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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
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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
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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
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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
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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
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