Administrative Actions - 2009

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Order #

Date Issued Respondents Action Contact Case Number
CD-2009-0001 01/06/2009

 

02/27/2009

Cinema Partners LLC
Films Unlimited LLC
Scott Einbinder

All Respondents

Cease & Desist

 

Final Order Due to no Response

Rossi Peters S08-0376
CD-2009-0002 01/26/2009 Grissom Research Inc
Mark E. Doering
Cease & Desist Mike Wilkerson S08-0236
CD-2009-0003 02/13/2009

 

07/21/2009

 

08/07/2009

Barren Resources Group LLC
Gary Bryant Hogan
William L Moore

Barren Resources Group LLC
Gary Bryant Hogan
 

William L Moore

Cease & Desist

 

Final Order Due to no Response

Final Order, Agreed to by Respondent

Chuck James S08-0536
CD-2009-0004 02/17/2009

 

10/20/2009

Unity Invest & Trust LLC
Ramon Antonio Richardson
Michael Daniel Banks

All Respondents

Cease & Desist

 

Final Order Due to no Response

Mike Gantt S09-0020
CD-2009-0005 02/18/2009

 

05/11/2009

Lyons Ward & Associates LLC
Gene Collins
John Stable

All Respondents

Cease & Desist

 

Due to failure of Respondents to take possession of the Order

Mike Gantt S09-0055
CD-2009-0007 03/13/2009





 

06/10/2009

Credit Restoration and Mortgage
      Consulting, LLC.
20/20 Credit Repair and Mortgage
      Consulting
Credit Restoration Mortgage
      Corporation
John Craig Dickson

All Respondents

Cease & Desist





 

Final Order Per Legal Division Following an Administrative Hearing. 

Jerry Hankins S08-0518
CD-2009-0008 04/14/2009

10/21/2009

Sam Jones Carroll III

All Respondents

Cease & Desist

Final Order Due to no Response

Rossie Peters S08-0328
CO-2009-0009 04/23/2009 Ameriprise Financial services, Inc. Consent Order Ricky Locklar S07-0293
CD-2009-0010 04/23/2009



 

08/12/2009


11/28/2012

Starboard Capital, Inc
Starboard Alabama Investments, LLC
Matthew A. Gibson
Patrick M. Daleiden


Starboard Capital inc
Patrick Daleiden

Matthew A. Gibson

Cease & Desist



 

Final Order Due to no Response.

Final Order - Commission Decision following Informal/Criminal Hearings

Randy Jones S09-0081
CO-2009-0011 06/10/2009
 
WACHOVIA Securities , LLC
WACHOVIA Capital markets, LLC
Consent Order Kim Lewis S09-0121
CO-2009-0012 06/04/2009 CITIGROUP Global Markets Inc. Consent Order Kim Lewis S09-0120
CD-2009-0013 06/02/2009
 

07/09/2009

Little River investments
Thomas Vernon Warren

All Respondents

Cease & Desist
 

Final Order Due to not Exercising His Right for a Hearing

Chuck James S09-0120
SC-2009-0014 06/10/2009 Park Avenue Securities, LLC Show Cause Jerry Hankins S08-0431
CD-2009-0015 06/10/2009 Castle Consultants, LLC
Christopher Scott Miller
Cease & Desist Jerry Hankins S08-0431
CO-2009-0016 06/16/2009 Prosper Marketplace, Inc. Consent Order Randy Jones S08-0122
CO-2009-0017 06/29/2009

 
Bank of America Securities LLC
Bank of America Investment
       Services, Inc.
Consent Order

 
Kim Lewis S08-0229
CD-2009-0018 07/13/2009
 

08/25/2009

Hawkins international Inc.
Reginald Leonard Hawkins

All Respondents

Cease & Desist
 

Final Order Due to no Response

Chuck James S09-0212
SC-2009-0019
 

CO-2009-0019

07/17/2009
 

02/18/2010

Morgan Keegan & Company
James T. Ritt

Morgan Keegan & Company
James T. Ritt

Show Cause
 

Consent Order

Ricky Locklar
 

Ricky Locklar

S00-0093
SC-2009-0020 07/21/2009 Morgan Keegan and Company, Inc. Show Cause Kim Lewis S08-0367
CD-2009-0021 07/30/2009

04/12/2009

Lonnie Howard Correll

All Respondents

Cease & Desist

Final Order Failure to Schedule Hearing

Mike Wilkerson S07-0384
CD-2009-0022 08/07/2009







11/05/2014
Polymer Global Holdings Inc.
Imperial Rubber holdings Inc.
Infinity Cross Ties Inc.
Frederick Tayton Dencer
Louis John Mensonides
Peter George Szondy
Jo Ann Burkhart

All Respondents
Cease & Desist







Final Order - Commission Decision
Chuck James S08-0282
CO-2009-0023 08/18/2009 JPMorgan Chase & Co. Consent Order Kim Lewis S09-0281
CD-2009-0024 10/07/2009
 

10/07/2009

Helping Hands Development Inc.
Deborah F Escott Lumpkin

All Respondents

Cease & Desist
 

Final Order:

Mike Gantt S09-0089
CO-2009-0025 09/11/2009
 
Merrill Lynch, Pierce, Fenner & Smith Incorporated Consent Order
 
Kim Lewis S09-0230
CD-2009-0026 09/21/2009



 

10/28/2009


 

01/05/2010

Wintex, Inc.
Wintex Direct
Winford Lee Tomerlin
Vincent Dunne
John Kampmeyer

Wintex, Inc.
Wintex Direct
Winford Lee Tomerlin
John Kampmeyer

Vincent Dunne

Cease & Desist



 

Final Order Due to No Response

 

Final Order Due to No Response

Charles Traywick S08-0460
CD-2009-0027 09/25/2009




 

11/08/2010

 

12/13/2010
 

02/02/2011
 

02/10/2011

08/03/2011

Westrock Advisors, Inc.
Kenneth A. Chapman
Donald H. Hunter, Jr.
Edna Choi Law
Rees R. Wagner
Andrew Shapiro

Westrock Advisors, Inc.

 

Edna Choi Law
 

Kenneth A. Chapman
Donald H. Hunter, Jr.

Rees R. Wagner

Andrew Shapiro

Cease & Desist




 

Final Order Due to Inadequate Response

Final Order Due to No Response

Final Order Due to No Response

Final Order

Final Order

Tina Tell,
LaShonda Moultrie


 

Lisa Tolar

S08-0252
OD-2009-0028 09/28/2009 Ascension Financial Solutions, Inc. Order of Denial Lisa Tolar S09-0387
SC-2009-0029
 

OB-2009-0029

CO-2009-0029

10/16/2009
 

04/20/2010

06/16/2011

Prestige Financial Center Inc.
Marlon O. Cole

Marlon O. Cole

Marlon O. Cole

Show Cause
 

Order of Bar

Consent Order

Mike Gantt
 

 

S09-0227
CO-2009-0030 10/19/2009 Trubee, Collins & Company, Inc
Anthony Frandina
Consent Order Lashonda Moultrie S09-0389
CO-2009-0031 10/20/2009 RBC Capital Markets Corporation Consent Order Kim Lewis S09-0232
CD-2009-0032
 

CO-2009-0032

10/23/2009
 

06/09/2011

Intraop Medical Corporation
Ronald W. Minor

Intraop Medical Corporation

Cease & Desist
 

Consent Order

Randy Jones S09-0098
CD-2009-0033



 


 





 

OB-2009-0033

 

11/09/2009



 

03/31/2010
 

04/20/2010



 

03/21/2012

 

Intellimesh Systems Inc
Smart Safe Cities Inc
Darren Maull Inc
Darren Oneal Maull
Ted Geiger

Ted Geiger
 

Intellimesh Systems Inc
Smart Safe Cities Inc
Darren Maull Inc
Darren Oneal Maull
 

Darren Oneal Maull

Cease & Desist



 

Final Order Due to No Response

Final Order Due Provided Information was Incomplete and Inadequate.

Order to Bar

Chuck James S09-0317
CD-2009-0034 10/26/2009

 

12/11/2009

Dorothy of OZ, LLC
Box Office Productions III, LLC
Walter F. Price

All Respondents

Cease & Desist

 

Final Order Due to No Response

Charles Traywick S09-0214
CD-2009-0035 10/29/20009
 

12/21/2009

 

01/22/2010
 

Eagle Eye Enterprises
Jack D. Weight III

Jack D. Weight III

 

Eagle Eye Enterprises

Cease & Desist
 

Final Order Due to No Response

Final Order Due to No Response

Charles Traywick S09-0184
CO-2009-0037 11/05/2009 Deutsche Bank securities Inc. Consent Order Kim Lewis S09-0280
CD-2009-0038 11/13/2009
 

01/06/2010

CBS Homes of Alabama, LLC
James Antonic

All Respondents

Cease & Desist
 

Final Order Due to No Response

Randy Jones S09-0337
CO-2009-0039 12/01/2009 Merrill Lynch,Pierce, Fenner & Smith
      Incorporated
Consent Order Joseph Borg S09-0050
CD-2009-0040


 


 

OB-2009-0040

12/14/2009


 

02/09/2011
 

07/11/2011

Winsome Investment Trust
Covenant Family Trust
Robert Joseph Andres
Lewis Stanley Scogin

All Respondents
 

Lewis Stanley Scogin

Cease & Desist


 

Final Order Due to No Response

Order of Bar

Rossie Peters S09-0137