Administrative Actions - 2007

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Order #

Date Issued Respondents Action Contact Case Number
CD-2007-0001 02/01/2007








 

05/15/2007

Trinity Oil & Gas Drilling, Inc.
Spirit Resources, Inc.
Trinity Energy Group, Inc.
Trinity Oil Partners No 2, LLC
Trinity Energy Group International,
       Inc
Trinity Resources, Inc.
Roy Dent
John Holland
Dale Normand

All Respondents

Cease & Desist







 

Final Order due to no Response

Steve Brantley S07-0025
CD-2007-0002 01/29/2007

02/04/2008

Lysle John Fleming Jr.

All Respondents

Cease & Desist

Final Order due to no Response

Mike Gantt S06-0526
CD-2007-0003 01/30/2007


 

03/29/2007

Like Minded Inc.
A&S Investment Club
Gary Lamar Robertson
Tyeshia Laquita Robertson

All Respondents

Cease & Desist


 

Final Order due to no Response

Mike Gantt S06-0212
CD-2007-0004





 

OV-2007-0004

01/30/2007





 

03/19/2008

Brookstone Capital, Inc.
Brookstone Biotech Ventures, L.P.
Brookstone Biotech Ventures, L.P. II
Robert Louis Carver
James Lowell DeMers
Edward Daniel Allan
Scott Michael Moonly

Edward Daniel Allan
Scott Michael Moonly

Cease & Desist





 

Order to Vacate

Chip Harrison





 

 

S06-0038
CD-2007-0005 02/07/2007


08/06/2007
Aspen Exploration Inc.
Mark A. Rand

All Respondents
Cease & Desist


Final Order - No Response
Randy Jones S04-0303
CD-2007-0006 02/23/2007



 

11/06/2008

Ascension Financial Solutions
Kenneth Mueller
Robert Beam
John R Bernier
Richard E. Stewart

All Respondents

Cease & Desist



 

Final Order due to no Response

David Williams S06-0065
CD-2007-0009 04/05/2007
 

08/23/2007

Plexpay Network
Frode Jorgensen

All Respondents

Cease & Desist
 

Final Order due to no Response

Randy Jones S06-0322
CD-2007-0011







 

CO-2007-0011

CO-2007-0011

CO-2007-0011

CO-2007-0011

 

04/19/2007







 

05/15/2007

05/15/2007

05/29/2007

06/11/2007



06/06/2007

American Heritage Church Finance
       Inc.
Bryant Forrest Thompson
Richard Charles Hicks
Garry Keith Beasinger
Thomas Marshall Collins Jr.
Thomas Stewart Davidson
John Michael Greer Sr.
James Adrian Remley

John Michael Greer Sr.

Garry Keith Beasinger

Thomas Stewart Davidson

American Heritage Church Finance Inc.
Bryant Forrest Thompson
Richard Charles Hicks

Thomas Marshall Collins Jr.
James Adrian Remley

Cease & Desist







 

Consent Order

Consent Order

Consent Order

Consent Order

 

Final Order due to no Response

Mike Wilkerson







 

Mike Wilkerson

Mike Wilkerson

Mike Wilkerson

Mike Wilkerson

S05-0334
SC-2007-0013

CO-2007-0013

05/15/2007

12/25/2007

Thomas Lane Butts

Thomas Lane Butts

Show Cause

Consent Order

Randy Jones S05-0422
CD-2007-0014



 




 

OV-2007-0014

05/21/2007



 

06/12/2009


 

06/16/2009

National Foundation of America
Richard K. Olive
Kenny Marks
Hunter Brown Daniel Jr.
Suzanne Nance Daniel

National Foundation of America
Richard K. Olive
Hunter Brown Daniel Jr.
Suzanne Nance Daniel

National Foundation of America
Richard K. Olive
Kenny Marks
Hunter Brown Daniel Jr.
Suzanne Nance Daniel

Cease & Desist



 

Final Order due to no Response

 

Order to Vacate

Mike Gantt



 




 

Mike Gantt

S07-0151
CD-2007-0015 05/29/2007



 

06/09/2009

Allied Energy Group
Allied Syndications, Inc.
Richard Paul Underwood
Steve Stengell
Aaron Grogan

All Respondents

Cease & Desist



 

Final Order due to no Response

David Williams S07-0248
CD-2007-0016 06/06/2007

09/11/2007

Charles Williams

All Respondents

Cease & Desist

Final Order due to no Response

Randy Jones S07-0008
CD-2007-0019











 

CO-2007-0019

07/15/2007











 

12/29/2008
 

01/27/2010

 

05/05/2011

Malory Investments LLC
Ronald Stein
Stephen Strauss
Kenneth Eugene Zelmer, Jr.
Sean Zarinegar
      (aka) Bejahn Zarinegar
Capital Guardian Inc.
Blake William Wilson
     (aka) Arnold Kramer,
                 Arnold Cramer,
                 Irv Kranberg
Christine Fenn
     (aka) Christine Ann Gilbert

Malory Investments LLC
Ronald Stein

Stephen Strauss
Kenneth Eugene Zelmer, Jr.
 

Blake William Wilson
Christine Fenn
Capital Guardian
Sean Zarinegar

Cease & Desist











 

Consent Order
 

Final Order Due to no Response


Final Order

Ricky Locklar











 

Ricky Locklar

S05-0468











 

S05-0468

CD-2007-0020 07/10/2007 James R Hunt
Creative Research & Testing Co.
Cease & Desist Mike Gantt S07-0203
CD-2007-0021
SC-2007-0021
07/10/2007 Gary Allen Mitchell
The Financial Centre LLC
Cease & Desist Mike Gantt S07-0203
CD-2007-0022 07/10/2007 Gene Grobstein
GG Consulting International LLC
Cease & Desist Mike Gantt S07-0203
CD-2007-0023 07/31/2007

 

08/26/2007

Beaty Ford
    (dba) Barbour Funding
Joseph Earl Beaty

Beaty Ford
   (dba)  Barbour Funding

Cease & Desist

 

Final Order due to no Response

Randy Jones S07-0327
CD-2007-0024

 

CO-2007-0024

08/24/2007

 

09/26/2008

Newman Energy Corporation
Joseph W Newman
Joseph D Nolfe

Newman Energy Corporation
Joseph W Newman
Joseph D Nolfe

Cease & Desist

 

Consent Order

David Williams

 

Ricky Locklar

S07-0221
CD-2007-0025





 

OV-2007-0025

10/12/2007





 

05/19/2008

Center for Senior Planning
Life Partners Holding Inc.
  (dba)  Life Partners Inc.
Sterling Trust Company
Dan Belbeck
Roger Owens
Jerry Poss

Sterling Trust Company

Cease & Desist





 

Order to Vacate

Rossie Peters





 

Kim Lewis

S07-0412
CD-2007-0027 09/26/2007 James William Griffith
American Heritage Publishing and
     Merchandising
American Veterans Marketing, Inc.
   (aka)   American Veterans Hall of
              Honor
Cease & Desist Jerry Hankins S05-0393
CD-2007-0028 10/26/2007 Rodrick Glenn Wall
   (aka) Francious Glenn Wall III.
Cease & Desist Steve Brantley S07-0344
CD-2007-0029 11/14/2007


01/07/2008
Petrologistiks LLC
Rudolph A. Polson

All Respondents
Cease & Desist


Final Order - No Response
Randy Jones S07-0276
CD-2007-0030 11/14/2007 Asif Usman Kiani Cease & Desist Rossie Peters S07-0301
CD-2007-0032
 

CO-2007-0032

12/03/2007
 

01/02/2008

Chapin Davis, Inc.
Harold H. Hoffman Jr.

PATAPSCO Securities, Inc.
  D/B/A Chapin Davis, Inc.
Harold H. Hoffman, Jr.

Cease & Desist
 

Consent Order

Steve Brantley S07-0463
CD-2007-0033
 

CO-2007-0033

12/03/2007
 

01/08/2008

Bill Few Securities, Inc.
John H. Schneider

Bill Few Securities, Inc.
John H. Schneider

Cease & Desist
 

Consent Order

Steve Brantley S07-0466
OD-2007-0034 12/05/2007 GO Credit, Inc.   Steve Brantley S07-0524
CD-2007-0035 12/11/2007


09/24/2009
Bull or Bear Trading Inc.
Scott Anthony Harwell

All Respondents
Cease & Desist


Final Order - Incarceration
Rossie Peters S07-0343
CD-2007-0036


 

OV-2007-0036

12/17/2007


 

04/17/2009

Heartland Energy Development
John Schiffner
Brandon Davis
Charles Reed Cagle

Heartland Energy Development
John Schiffner
Brandon Davis
Charles Reed Cagle

Cease & Desist


 

Order to Vacate

Mike Ghantt S07-0518
CD-2007-0037 12/17/2007

 

01/23/2008

Two Guy's Publications Inc.
Homer F. Jennings
Ronald R. Zuetlau

All Respondents

Cease & Desist

 

Final Order - No Response

Jerry Hankins S07-0438