Administrative Actions - 2013

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Order #

Date Issued Respondents Action Contact Case Number
OB-2013-0001 02/15/2013 David Darrell Anthony Order to Bar Mike Gantt S12-0067
OB-2013-0002 02/15/2013

04/24/2013

William David Thomas, Jr

William David Thomas, Jr

Order to Bar

Final - No RESP

Mike Gantt S11-0243
CD-2013-0003



 

 





 

OV-2013-0003


OB-2013-0003

02/20/2013




 

09/24/2013

11/05/2013


 

10/24/2013


02/07/2014

 

02/07/2014
 

02/07/2014
 

 

Westover Energy Trading Partners, LLC
RAMCO and Associates, LLC
Mercator Associates, LLC
Yaman Huseyin Sencan
Stephen Merry

Yaman Huseyin Sencan

Westover Energy Trading Partners, LLC
RAMCO and Associates, LLC
Stephen Merry

Mercator Associates LLC

Westover Energy Trading Partners, LLC
RAMCO and Associates, LLC

Yaman Huseyin Sencan
Stephen Merry


Stephen Merry
RAMCO and Associates, LLC

Yaman Huseyin Sencan
Westover Energy Trading Partners, LLC
 

Cease and Desist




 

Final - No RESP

Final - No RESP


 

Order to Vacate



Order of Bar

 

Final - No RESP
 

Final - No RESP

Jerry Hankins S12-0218
CD-2013-0005 03/14/2013




 

05/25/2013




06/23/2014

Inter Reef LTD
   d/b/a Profitable Sunrise
Roman Novak
Radoslav Novak
Melton McClanahan
Adam York

Inter Reef LTD
   d/b/a Profitable Sunrise
Roman Novak
Radoslav Novak
Melton McClanahan


Adam York

Cease & Desist




 

Final Order Due to No Response




Final Order Due to No Response

Rossie Peters S13-0060
CD-2013-0006






CD-2013-0006a
03/12/2013

 

10/31/2013


09/05/2014

Arizona Gold Corporation
Don L. Jenkins
Jack Young

All Respondents


Arizona Gold Corporation
Don L Jenkins
James Albert Ashpole
    aka: Jack Young

Cease & Desist

 

Final Order Due to No Response

Cease & Desist -Amended

Mike Gantt S12-0245
CD-2013-0007 03/21/2013







 

06/04/2013


 

05/06/2014

Sabine Partnership #3, LTD
Insignia Energy Group, Inc
IEG Permian Basin, LLC
Martin D. Lewis
Melaina Bowden
   aka Melaina
N. Frederick
   aka Melaina
Frederick-Bowden

Sabine Partnership #3, LTD
Insignia Energy Group, Inc
IEG Permian Basin, LLC
Martin D. Lewis

Melaina Bowden
   aka Melaina N. Frederick
   aka Melaina Frederick-Bowden

Cease & Desist







 

Final Order Due to No Response


Final Order Due to No Response

Charles Traywick S12-0151
CD-2013-0008 03/27/2013


 

06/12/2013

HI-Tech Energy Inc
John Louis Wetzel
Fredrick Murphy
John Vanderfield

All Respondents

Cease & Desist


 

Final Order Due to No Response

Mike Gantt S13-0041
CD-2013-0009 05/10/2013

 

06/10/2013

Tri State Investment LLC
Roy Allen Tucker
Terica S Weeks

All Respondents

Cease & Desist

 

Final Order Due to their waiver of hearing

Jerry Hankins S13-0009
CD-2013-0010 05/13/2013

04/22/2014

Neil Philip Berman

Neil Philip Berman
Cease & Desist

Final - No RESP

Mike Wilkerson S12-0214
CD-2013-0011






CD-2013-0011A
05/15/2013



06/24/2013


07/05/2013


02/25/2016

Hessel Trading, Inc.
TOPFINANCIAL.COM
Norman James Secor
Steven Eugene Walker

All Respondents



Wealthlab, Inc.



Wealthlab, Inc.

Cease & Desist



Final Order - No Response

Cease & Desist -Amended

Final Order - No Response
Chip Harrison S11-0240
CD-2013-0012 05/17/2013 Kemako World, Incorporated
ANH Tran
   aka  Tuyet A. Musick
   aka  Tuyet A. Richmond
Cease & Desist Jerry Hankins S13-0030
CD-2013-0013














CO-2013-0013a

CO-2013-0013b
06/05/2013







 09/19/2013
 

 02/21/2014




 09/18/2014

 06/05/2014
Felmina Alliance LTD
Phil Burrell
John Moton, Jr
Helen Smith
Thomas Marrin Bickham
Darlene Mensinger
James Kirk
Terrence B Scott, Sr


Terrence B Scott, Sr
John Moton, Jr



Felmina Alliance LTD
Phil Burrell
James Kirk
Darlene Mensinger

Helen Smith


Thomas Marrin Bickham
Cease & Desist






 

Final - No RESP
 

Final - No RESP


Consent Order

Consent Order

Rossie Peters S13-0078
CD-2013-0015 06/25/2013







10/01/2013
Drinkrite Inc
The Visuals Group Inc
Enterprise Financial Group
Pristine Solutions Inc
Bevrich Corporation
Scott William Absher
Donna Mae Le Gore
Thomas Melvin Downs
Thomas Michael Haws

All Respondents
Cease & Desist







Final Order - No Response
Chuck James S13-0119
CO-2013-0016 09/27/2013 RBC Capital Markets, LLC Consent Order Joseph Borg S13-0188
OB-2013-0017 11/08/2013

03/16/2017
James Mark McLaughlin


James Mark McLaughlin
Order to Bar

Final Order - Insufficient Response by Respondent
Mike Gantt S12-0303
CD-2013-0018 12/19/2013


04/17/2017
National Business Services Inc
Jamie Screws Williams


All Respondents
Cease & Desist


Final Order - Commission Decision
Chuck James S13-0176
CD-2013-0019 12/20/2013
 

02/10/2014

Hard Rock Properties LLC
Jason Caudle


All Respondents

Cease & Desist
 

Final - No RESP

Rossie Peters S13-0104