Administrative Actions - 2016

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Order #

Date Issued Respondents Action Contact Case Number
CO-2016-0002
02/09/2016
LPL Financial LLC
Consent Order

Ricky Locklar S14-0013
CO-2016-0003

03/15/2016
First Kentucky Securities Corporation
Consent Order
Ashlee Gould
S16-0033
CD-2016-0005 05/23/2016 INVESTINGCI.com
Louis Berk
Tomas Goldmark
Cease & Desist Randy Jones S15-0172
CD-2016-0007 08/01/2016


03/21/2017
Monte Cristo Resorts International
Randall Wayne Smith

All Respondents
Cease & Desist


Final Order - No Response
Michael Wilkerson S16-0016
CD-2016-0008 08/05/2016







10/06/2016
Gatekeeper Investment Group, LLC
Enterprise World Trust, LLC
David Evans
Ivol R. Green
James W. Strickhausen
Paul G. Vesnaver
Lisa Hagan

Enterprise World Trust, LLC
Paul Vesnaver
Cease and Desist







Final Order - No Response
Michael Wilkerson S15-0167
CO-2016-0010 09/28/2016

Theodore Stanley Hudson II
My Monex
Consent Order

Mark Mitchell S14-0031
CD-2016-0011 12/05/2016







01/09/2017
Cunningham Energy LLC
Ryan E. Cunningham
Kevin Thibeau
James Lockhart
Michael Merritt
Douglas Hardwick
Jan Peter Bolton

Michael Merritt
Cease and Desist







Final Order - No Response
Mark Mitchell S16-0160
CD-2016-0012 12/15/2016





01/19/2017
Clifton Curtis Sneed
MCS Consulting LLC
Wendell Smith
Rontese L. Miller
MILBO LLC

Clifton Curtis Sneed
MCS Consulting LLC
Wendell Smith
MILBO LLC


Cease and Desist





Final Order - No Response




Michael Wilkerson S15-0155