Administrative Actions - 2014

2017 | 2016 | 2015 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001

Order #

Date Issued Respondents Action Contact Case Number
CO-2014-0001 01/21/2014 UBS Financial Services, INC Consent Order Rossie Peters S13-0292
CD-2014-0002 02/13/2014

04/23/2014
Derek Neal York

All Respondents
Cease & Desist

Final Order due to No Response
Bobby Sharp S13-0291
CD-2014-0003 03/07/2014




09/08/2014
Westgate Financial Group
Marcus Bell
Andrea Myers
Michael Larable

All Respondents
Cease & Desist




Final Order due to No Response
Rossie Peters S13-0291
CD-2014-0004 03/12/201





03/22/2017
Panther Technology Inc.
The Panther Group Inc.
Panther Business Services Inc.
Brian Christopher Ransom
Deric Keane Williams

All Respondents
Cease & Desist





Final Order - Commission Decision
Chuck James S12-0293
CO-2014-0005 03/19/2014

Dominion Stock Fund, LLC
James Russell McElroy, III
Consent Order Joseph Borg S12-0242
OB-2014-0006 04/10/2014

08/14/2014
Houston Perry Johnson, Ill

All Respondents
Order To Bar

Final - Due to No Response
Chip Harrison S11-0032
CO-2014-0007 08/18/2014 J.P. Morgan Securities, LLC Consent Order Ricky Locklar S14-0041
CD-2014-0009 05/23/2014


03/21/2017
E3 Corp
Jr. N. Asimoa

All Respondents
Cease and Desist


Final Order - Commission Decision
Mike Wilkerson S13-0127
CD-2014-0010 05/23/2014


09/09/2014
Lanesborough Financial Group
James F. Liebes

All Respondents
Cease & Desist


Final - Due to No Response
Mike Wilkerson S13-0264
SC-2014-0011



OV-2014-0011
05/23/2014



11/03/14
Stalwart Capital LLC
Douglas Craig Evans
Don Paul Cloud

All Respondents
Show Cause



Order Vacated




Bobby Sharp
S12-0247
CD-2014-0012 07/02/2014





02/05/2016
Columbia Star Resources Group
Jesse Edmonson
Alita Resources LTD
Nexus Gold Corporation
The Sessions Project

All Respondents
Cease & Desist





Final Order - Commission Decision
Chuck James S14-0018
CD-2014-0013 07/10/2014


09/08/2014
Equity Financial Services
William H. McNeal

All Respondents
Cease & Desist


Final - Due to No Response
Mike Wilkerson S14-0039
CD-2014-0014 07/14/2014

09/12/2014
Bryan Wayne Anderson

All Respondents
Cease & Desist

Final - Due to No Response
Randy Jones S14-0010
CD-2014-0015 07/22/2014

09/12/2014
Jesse Morgan Hinson

All Respondents
Cease & Desist

Final Order - Due to No Response
Rossie Peters S14-0044
CD-2014-0016 07/25/2014


08/25/2014
Keith Michael Rogers
R&P Development, LLC.

All Respondents
Cease & Desist


Final Order - Due to No Response
Mike Gantt S14-0127
CO-2014-0017 09/08/2014 James Houston Sears
Global Financial Private Capital, LLC
Consent Order Chuck James S14-0079
CD-2014-0018 09/10/2014
Certus Senior Services, LLC.
Oak Tree Interactive, LLC
Moore5 Holdins, LLC.
Douglas G. Moore, Jr.
Mark S. Carter
Cease & Desist
Jerry Hankins S14-0143
CD-2014-0019 09/10/2014


10/15/2015
Wilson Bowling, LLC
Woodrow Wilson Bowling, Jr


All Respondents
Cease & Desist


Final Order
Mike Wilkerson S14-0150
CO-2014-0020 10/21/2014 Thomas Floyd Worthy
David Daniel Adams
Consent Order Bobby Sharp S13-0149
OB-2014-0021 12/03/2014

12/12/2014
Melissa Diana Powell

Melissa Diana Powell
Order to Bar

Final - Due to No Response
Charles Traywick S14-0159
OB-2014-0022 12/03/2014

03/11/2015
William Benton Guido

William Benton Guido
Order to Bar

Final Order due to No Response
Chuck James S14-0008