Administrative Actions - 2010

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Order #

Date Issued Respondents Action Contact Case Number
CO-2010-0001 01/06/2010 Envizions Computer Entertainment
      Corporation
Derrick Samuels
Consent Order Chuck Jones S08-0481
CO-2010-0002 01/07/2010 Credit Suisse Securities (USA) LLC. Consent Order Kim Lewis S09-0325
CD-2010-0003 01/08/2010




 

03/19/2010
 

09/25/2013

First Capital Trading
G & G Financial Services
Hallmark Management Inc.
Gregory Earle Pomeroy
Glenn Lavon Gillman
John B. Gillman

First Capital Trading
Gregory Earle Pomeroy

G & G Financial Services
Hallmark Management
John B Gillman
Glenn Lavon Gillman

Cease & Desist




 

Final Order Due to No Response

Final Order

  S09-0008
CD-2009-0004
CD-2010-0004



 

OV-2009-0004

01/08/2010



 

03/30/2010

Carina Technology, Incorporated
Magna Vista Group, Incorporated
Jay W. Newkirk
Peggy L. Sammon
Ralph G. Petroff

Carina Technology, Incorporated
Magna Vista Group, Incorporated
Jay W. Newkirk
Peggy L. Sammon
Ralph G. Petroff

Cease & Desist



 

Order to Vacate

Jerry Hankins S09-0320
CD-2010-0005 01/29/2010

11/01/2010

Nobletrading.Com, Inc.

Nobletrading.Com, Inc.

Cease & Desist

Final Order of the Commission

Lisa Tolar S09-0416
CD-2010-0006 02/01/2010






 

03/19/2010
 

05/18/2010

MJG Enterprises, Incorporated
Mike's Lock Club
Anthony Mark Boscarino
     AKA Mike Brown
     AKA Anthony Kokas
Marguerite Jeane Gerhert
     AKA Marguerite Boscarino
Ronald N. Davenport

Ronald N. Davenport
 

MJG Enterprises, Incorporated
Mike's Lock Club
Anthony Mark Boscarino
Marguerite Jeane Gerhert

Cease & Desist






 

Final Order Due to No Response

Final Order Due to No Response

Jerry Hankins S09-0138
CO-2010-0007 02/10/2010 Morgan Stanley & Co. Incorporated
        (CD #8209)
Consent Order Kim Lewis S10-0051
CD-2010-0008
 
02/18/2010






 

11/01/2010

 

03/07/2011


08/25/2015

Tix Ranch Well #1 Joint Venture
North American Drilling Corp
Larry M. Koonce
Michael Suarez
Derek Castleberry
Harley Garvin
Jerry Zepeda
Matthew Nerbonne

Harley Garvin

 

Michael Suarez
Matthew Nerbonne

Jerry Zepeda

Cease & Desist






 

Final Order  Failure to Schedule Informal Hearing

Final Order Due to No Response.

Final Order Due to No Response.

Mike Wilkerson S09-0466
OB-2010-0009 02/23/2010 Steven A. Cantor Order to Bar Kim Lewis S07-0482
CD-2010-0010 03/01/2010

03/30/2010

Joseph Neville Wier

All Respondents

Cease & Desist

Final Order Due to no Response

Chip Harrison S09-0492
CD-2010-0011

 

CO-2010-0011

03/01/2010

 

11/27/2012

10/27/2010

Tri-Crescent Energy Corp
William Joseph Hill
Bradley Burns

William Joseph Hill

Tri-Crescent Energy Corp
Bradley Burns

Cease & Desist

 

Consent Order

Final Order Due to No Response

Mike Gantt S10-0010
CD-2010-0012


 

CO-2010-0012

03/02/2010


 

08/02/2010

Capital Management Advisors Inc.
Consolidated Capital Mgmt
Teddy Joe Propes
Tommie Jacob Goggans

Capital Management Advisors Inc.
Consolidated Capital Mgmt
Teddy Joe Propes
Tommie Jacob Goggans

Cease & Desist


 

Consent Order

Mike Gantt S08-0380
CD-2010-0013


 

OV-2010-0013

03/03/2010


 

11/14/2011

Gulf Coast Western LLC.
Charles Reed Cagle
Matthew Harris Fleeger
Daniel Lamontagne

Gulf Coast Western LLC.
Charles Reed Cagle
Matthew Harris Fleeger
Daniel Lamontagne

Cease & Desist


 

Order to Vacate

Mike Gantt S09-0263
OR-2010-0014

 

03/05/2010

10/21/2010

Timothy M. Gautney

Timothy M. Gautney

Order to Revoke

Final Order By Commission Decision

Mike Wilkerson S03-0008
CO-2010-0015 03/08/2010 American General Securities Incorporated Consent Order Chip Harrison S05-0282
SC-2010-0016






 

CO-2010-0016

 

OV-2010-0016

04/07/2010






 

06/22/2011

 

10/07/2011

Morgan Asset Management, Inc.
MK Holding, Inc.
Morgan Keegan & Company, Inc.
Regions Financial Corporation
James C. Kelsoe, Jr.
Brian B. Sullivan
Gary S. Stringer
Michele F. Wood

Morgan Asset Management, Inc.
Morgan Keegan & Company, Inc.
James C. Kelsoe, Jr.

Brian B. Sullivan
Gary S. Stringer
Michele F. Wood

Show Cause Order






 

Consent Order

 

Order to Vacate

Mike Gantt S08-0056
CD-2010-0017 04/06/2010




06/29/2010
Heritage Diamond Joint Venture
Heritage Capital Partners Funds LLC
Brent J Anderson
James P McKeon

All Respondents
Cease & Desist




Final Order - No Response
Rossie Peters S09-0437
SC-2010-0018 04/06/2010 Jefferson Capital Partners, LLC
Kevin Lee Jefferson
Show Cause Order Charles Traywick S08-0337
OD-2010-0019 04/16/2010 Justice Management Team
John Charles Justice
Order of Denial Tina Tell S10-0100
CD-2010-0020 04/19/2010



 

06/18/2010

Sure Line Acceptance Corporation
Faithful Stewards, Incorporated
James W. Kirk
Glen E. Smith, Jr.
Thom Kimmel

Faithful Stewards, Incorporated
Thom Kimmel

Cease & Desist



 

Final Order Due to No Response

Jerry Hankins S09-0222
CD-2010-0021 04/28/2010





 

04/12/2011

Berkshire Resource LLC
Berkshire (40L) LLP
Berkshire 2006-05 LLP
Jason T Rose
Michael Wood
Byron Hogan
Bruce Fox

All Respondents

Cease & Desist





 

Final Order

Rossi Peters S08-0422
CO-2010-0022 05/14/2010 Corporate Property Associates 15 Inc. Consent Order Mike Wilkerson S08-0421
CO-2010-0024 05/13/2010 Stifel, Nicolaus & Company, Incorporated Consent Order Kim Lewis S10-0111
CD-2010-0025


 


 

CO-2010-0025

06/03/2010


 

09/01/2010
 

07/03/2012

Oklahoma Force Pool Joint Venture #3
BluePac Management LLC
Stanley Rose
Jeff Quiane

Jeff Quiane
 

Oklahoma Force Pool Joint Venture #3
BluePac Management LLC
Stanley Rose

Cease & Desist


 

Final Order Due to No Response

Consent Order

M Wilkerson S10-0012
OB-2010-0026

 

06/14/2010

07/26/2010

Chang Liu Levy

Chang Liu Levy

Order to Bar

Final Order Due to No Response

Randy Jones S10-0072
CD-2010-0027 06/14/2010


10/04/2016
HP Technology, Inc
Kevin David Palm

Kevin David Palm
Cease & Desist


Final Order Due to No Response
Charles Traywick S08-0417
CD-2010-0030 06/15/2010




02/08/2016
USA Marketing Group
Elite Marketing
Edward Lincoln Forehand
Ashley Murcko

All Respondents
Cease & Desist




Final Order - Commission Decision
Chuck James S09-0469
CD-2010-0031



 

OV-2010-2031

CO-2010-0031

06/28/2010



 

07/07/2010

02/07/2012

BCL, LLC
Frank B Poticny
CPMG, Inc
Sanctus Partners
Limited Partnership

CPMG, Inc

BCL, LLC
Frank B. Poticny
Sanctus Partners Limited Partnership

Cease & Desist



 

Order to Vacate

Consent Order

Randy Jones



 

 

S09-0189
CO-2010-0033 06/21/2010 UBS Securities, LLC
UBS Financial Services Inc.
Consent Order Kim Lewis S08-0179
CO-2010-0034 06/21/2010 Goldman, Sachs & Co Consent Order Kim Lewis S10-0208
CD-2010-0035 06/22/2010




05/07/2014
Infraegis, Inc
Gregory E Webb
C Robert Abbott
James R Zilka

All Respondents
Cease & Desist




Final Order - Failure to Respond
Rossie Peters S09-0360
CD-2010-0036
 

CO-2010-0036

07/01/2010
 

10/04/2010

GIGAPIX Studios, Inc
Christopher J. Blauvelt

GIGAPIX Studios, Inc
Christopher J. Blauvelt

Cease & Desist
 

Consent Order

Randy Jones
 

Randy Jones

S10-0045
SC-2010-0037

OS-2010-0037

07/09/2010

10/12/2010

11/02/2010

Jesup & Lamont Securities Corp.

Jesup & Lamont Securities Corp.

Jesup & Lamont Securities Corp.

Show Cause Order

Suspension Order

Final Order of Revocation

Lisa Tolar S10-0274
CO-2010-0038 07/12/2010 TD Ameritrade, Inc. Consent Order Kim Lewis S09-0093
CD-2010-0042 08/16/2010
 

12/21/2010

Thomas Washington Campbell, III
TCA Investment Group, LTD

All Respondents

Cease & Desist
 

Final Order Due to No Response

Chip Harrison S09-0448
CD-2010-0043

 

CO-2010-0043

08/17/2010

 

12-30-2010

Xcelplus Global Holdings Inc
John Michael Parsons
Henry Harrison Parrish

Clean Energy Pathways, Inc. (formerly named)
Xcelplus Global Holdings Inc
John Michael Parsons
Henry Harrison Parrish

Cease & Desist

 

Consent Order

Chuck James S10-0081
CD-2010-0044 08/18/2010




 

11/02/2010

Maxiflex, Limited Liability Corporation
Maxiflex Distribution Company,
       Limited Liability Corporation
Maxifles Southeastern Distribution Company
       Limited Liability Corporation
Gary Ventrella

All Respondents

Cease & Desist




 

Final Order Due to No Response

Jerry Hankins S10-0200
SC-2010-0045

CO-2010-0045

08/19/2010

02/08/2011

Mona Kilgore Wooten

Mona Kilgore Wooten

Show Cause

Consent Order

Jerry Hankins S08-0024
CD-2010-0046 08/23/2010







 

10/17/2012

Loma Novia Joint Venture
Bayside Petroleum Company Inc
Gordon H. Johnson
George C. Burrell
James T. Ling
Janet Cunningham
John L. Griffiths Jr.
Sam E. Nicholson
Mike Fisher

All Respondents

Cease & Desist







 

Final Order

Chuck James S10-0099
CD-2010-0047 08/24/2010


 

04/15/2011

 

06/01/2011

Gully/Riley Project
Energy Exploration Inc.
Scott Pike Peacock
Jack Lee Markwell

Gully/Riley Project
Energy Exploration Inc.
Jack Lee Markwell

Scott Pike Peacock

Cease & Desist


 

Final Order

 

Final Order Due to No Response

Chuck James S10-0011
CD-2010-0048 08/24/2010


 

10/04/2010

Fusion Energy, LLC
Red Ruby #2 Joint Venture
William Scott Court
Pat Hughes

All Respondents

Cease & Desist


 

Final Order Due to No Response

Charles Traywick S20-0289
SC-2010-0049

CO-2010-0049

08/26/2010

08/02/2011

Cheryl Phillips Brewer

Cheryl Phillips Brewer

Show Cause

Consent Order

Jerry Hankins S09-0341
CD-2010-0051 10/18/2010



 

01/11/2011

Cort Petroleum
RSLBEE, LLC
NW Premont, L.P.
Richard Waskom
Todd Selke

All Respondents

Cease & Desist



 

Final Order Due to No Response

Randy Jones S10-0164
CD-2010-0052


 

OV-2010-0052

10/25/2010


 

01/21/2011

03/27/2015

Rodney Howard Lankford
LA Cortez Energy, Inc.
Lighthouse Capital Corp
C & L Associates, LLC

Lighthouse Capital Corp

Rodney Lankford

Cease & Desist


 

Order to Vacate

Final Order

Kim Lewis S10-0320
CD-2010-0053



 

CD-2010-0053A

10/25/2010



 

02/10/2011




 

12/13/2010
 

Universal Wood Products, LLC
Century Lumber and Land, LLC
Milton Timber, LLC
James Leonard Craft
Glenn Lavon Gillman

Universal Wood Products, LLC
Century Lumber and Land, LLC
Milton Timber, LLC
James Leonard Craft
Glenn Lavon Gillman
Douglas Michael Dnford
 

Universal Wood Products, LLC
Century Lumber and Land, LLC
Milton Timber, LLC
James Leonard Craft
Glenn Lavon Gillman
Douglas Michael Danford

Cease & Desist



 

Cease & Desist




 

Final Order
No Response
Hearing
Hearing
Hearing
No Response
No Response

Jerry Hankins S10-0313
CO-2010-0055 11/09/2010 Wells Fargo Investments, LLC Consent Order Kim Lewis S08-0538
CD-2010-0056 11/22/2010 U.S. Emerald GP, LLP
U.S. Emerald Energy Company, L.P.
Old Town Bay Joint Venture
Michael L. F. Slavin
Cease & Desist Chip Harrison S10-0215
CD-2012-0058 11/23/2010





 

11/07/2012

Freaky Deaky Limited Partnership
Freaky Deaky Movie LLC
Freaky Deaky Partners LLC
Final Cut Productions Inc
Steven M Berez
Ross Angel
Delitha Floyd

All Respondents

Cease & Desist





 

Final Order Due to No Response

Jerry Hankins S10-0293
SC-2010-0059












 

CO-2010-0059
 

OV-2010-0059

CO-2010-0059
 

CO-2010-0059
 

CO-2010-0059
 

CO-2010-0059
 

CO-2010-0059
 

CO-2010-0059
 

CO-2010-0059
 

OB-2010-0059

CO-2010-0059
 

12/14/2010












 

04/08/2011
 

04/27/2011

07/11/2011
 

07/11/2011
 

07/11/2011
 

08/02/2011
 

09/28/2011
 

10/31/2011
 

06/12/2012
 

05/21/2012

03/05/2013

First Legacy Investors Inc
Reliance Securities LLC
First Legacy Securities LLC
Henry E. Walker
Ronald Wayne Lankford
Charles Thomas Cammack Jr.
Paul Clayton Conner
Steve Jeffrey Cummings
Rita Michelle Farmer
Jeremy Shane Hay
Jason Tilton Latham
Melinda Cook McCullough
William Slay Stevens
Darryl Richard Wilson

Paul Clayton Conner
 

Rita Michelle Farmer

Jeremy Shane Hay
 

Melinda McCullough
 

Darryl Wilson
 

Ronald Wayne Lankford
 

William Slay Stevens
 

Steve Jeffrey Cummings
 

Charles Thomas Cammack Jr
 

Henry E. Walker

Jason Tilton Latham

Show Cause












 

Limited Consent Order

Order to Vacate

LimitedCLimited Consent Order

Limited Consent Order Limited Consent Order

Limited Consent Order

Limited Consent Order

Limited Consent Order

Limited Consent Order

Order to Bar

Limited Consent Order

Mike Wilkerson S10-0068
CD-2010-0060 12/14/2010

03/22/2017
Jack Melvin Glover Jr.

Jack Melvin Glover Jr.
Cease & Desist

Final Order - Commision Decision
Mike Wilkerson S10-0290
CD-2010-0061 12/14/2010
 

11/07/2011

USA Meats, Inc.
Carl Douglas Smedley

All Respondents

Cease & Desist
 

Final Order Due to No Response

Randy Jones S10-0171
CD-2010-0062 12/25/2010


04/09/2015
Medical Connections Holdings Inc.
Anthony Nicolosi

All Respondents
Cease & Desist


Final Order
Mike Gantt S10-0093
CD-2010-0064 12/21/2010



 

03/28/2011

City Capital Corporation
Ephren W. Taylor Jr.
Kinetra Dixon
City Petroleum, LLC
City Laundry Services, LLC

All Respondents

Cease & Desist



 

Final Order

Mike Gantt S10-0214