Administrative Actions - 2003
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Order # |
Date Issued | Respondents | Action | Contact | Case Number |
| CD-2003-001 | 01/29/2003 | Robert Hammond Wilkins Michael Murphy Russo Steve Sample Wesley Earl Yarbrough Grady Roland Christian Donald E. Graham Autoutlet, Inc. Compu-Filter, Inc. Wilkins Management Group, Inc. Reclaim southern Resources, Inc. Russo & Associates Arizona Escrow & Financial Corporation |
Cease & Desist | Reuben Redd | S99-0128 |
| CD-2003-002 OV-2003-002 |
02/05/2003 04/18/2003 |
Cherokee Energy Co., LLC Martin Ray Twist Forrest Hammond Charles White Paul Mueller Cherokee Energy Co., LLC |
Cease & Desist Order To Vacate |
David Williams |
S03-0001 |
| CD-2003-003 | 02/06/2003 | William Pierre Crotts Thomas Date Grabinski Lawrence Dwain Hoover Harold Dewayne Friend Richard Lee Rolfes Donald Dale Deardoff Edgar Alan Kuhn Jalma W. Hunsinger Baptist Foundation of Arizona Arizona Southern Baptist New Church Ventures Inc. Christian Financial Partners In. |
Cease & Desist | Rossi Peters | S02-0021 |
| OB-2003-004 | 02/28/2003 | James K. Matter | Order of Bar | Steve Brantley | S01-0181 |
| CD-2003-005 | 03/03/2003 | Foster Gas Corporation Toby D. Mason Thomas A. Lewis |
Cease & Desist | Kim Lewis | S02-0206 |
| CD-2003-006 | 03/06/2003 | Charles Wadkins | Cease & Desist | Steve Brantley | S02-0151 |
| OB-2003-007 | 03/18/2003 | Weddington Bishop Kelly Jr | Order of Bar | Kim Lewis | S00-0331 |
| CD-2003-008 | 04/17/2003 | The Albert Schweitzer Society USA, Inc. Harold R. Fetter Francis P. Havey JMJ Corporation, N.V. et al |
Cease & Desist | Reuben E. Redd | S99-0198 |
| CD-2003-009 | 04/17/2003 | Iron Horse Petroleum, Inc. AKA Iron Horse Petroleum Eric Collins Paul Willis Thomas Labry |
Cease & Desist | Reuben Redd | S01-0169 |
| CO-2003-0010 | 04/24/2003 | Lehman Brothers Inc. | Consent Order Addendum A |
Ricky Locklar | S02-0095 |
| CD-2003-0011 | 06/06/2003 | Trade Partners Inc. Sojkara LLC Christine M. Zmudka Robert Seitters John A Murphy |
Cease & Desist | David Williams | S02-0117 |
| CD-2003-0012 | 06/10/2003 01/11/2006 |
Terry Harris Patricia Monroe Toney Hulbert Van R Barringer Susan Diane Barringer Anthony Talley Jr. Networker200.com Inc. aka: Networker200 Wealth Builders International Investment Club aka: Wealth Builders International Investment Club Inc. aka: Infinity 200 Investment Group and Investment Club N2K Investment Club All Respondents |
Cease & Desist Final Order - Failure to Respond |
Rueben Redd | S02-0205 |
| OB-2003-0013 | 07/07/2003 | Christian Negohosian | Order of Bar | Ricky Locklar | S02-0197 |
| CD-2003-0014 | 07/15/2003 | Jed Philip Kaplan Kaplan & Co. Securities, Inc. |
Cease & Desist | Jim Pugh | S03-0097 |
| CD-2003-0015 | 07/28/2003 | LSI Regional Development Center Investment Dave McDaniel |
Cease & Desist | David Williams | S03-0086 |
| SC-2003-0016 | 08/01/2003 | Gold Coast Securities Inc. Tae P Ho |
Show Cause | Chris Young | S03-0101 |
| CD-2003-0017 | 08/20/2003 | Life Time Capital, INC Robert Comstock Lloyd Rodgers Linda G. Rodgers William Mattox, Jr. |
Cease & Desist | David Williams | S03-0019 |
| CO-2003-0018 Addendum |
08/21/2003 | UBS Warburg LLC UBS Paine Webber INC |
Consent Order | Ricky Locklar | S03-0068 |
| CD-2003-0019 | 08/29/2003 | Gadsden LP Road Runner Asset Management |
Cease & Desist | Kim Lewis | S02-0091 |
| SC-2003-0020 OV-2003-0020 CO-2003-0020 CO-2003-0020 |
08/29/2003 10/19/2003 01/24/2004 08/02/2004 |
Rodney Howard Lankford Harry Jelks Vance, JR. Raymond James Investments, Inc. Birchtree Financial Services, Inc. Gunnallen Financial, Inc. Raymond James Investments, Inc. Birchtree Financial Services, Inc. Gunnallen Financial Services, Inc. Rodney Howard Lankford Harry Jelks Vance, Jr. |
Show Cause Order to Vacate Consent Order Consent Order |
Kim Lewis |
S02-0091 |
| OB-2003-0021 | 08/28/2003 | David Leo Dennis | Order of Bar | Kim Lewis | S02-0091 |
| CD-2003-0022 Amended |
08/29/2003 08/29/2003 11/09/2006 |
Positive News Increase, INC. Anthony Darrell Harris Positive News Increase, INC. Anthony Darrell Harris William Brown Judith Brown Will Thomas Brown All Respondents |
Cease & Desist Cease & Desist Final Order Due to no Response |
Rossie Peters Ricky Locklar |
S02-0227 S03-0073 |
| CO-2003-0023 Addendum |
09/10/2003 | Bear Stearns & Co., INC. | Consent Order | Ricky Locklar | S03-0073 |
| CO-2003-0024 Addendum |
09/10/2003 | Morgan Stanley & Co., INC. | Consent Order | Ricky Locklar | S03-0074 |
| OB-2003-0025 | 09/18/2003 | Robert Martire | Order of Bar | Steve Brantley | S95-0082 |
| OB-2003-0026 | 09/18/2003 | Morton Glickman | Order of Bar | Steve Brantley | S95-0082 |
| CD-2003-0027 | 09/18/2003 | Yellow Pages Nationwide, Inc. Bryan Gottman |
Cease & Desist | Charles Harrison | S03-0043 |
| CO-2003-0028 Addendum |
09/23/2003 | J P Morgan Securities, INC. | Consent Order | Ricky Locklar | S03-0069 |
| CO-2003-0029 Addendum |
09/23/2003 | U S Bancorp Piper Jaffray INC. | Consent Order | Ricky Locklar | S03-0071 |
| SC-2003-0030 CO-2003-0030 |
09/30/2003 08/26/2004 |
T Phillip Webb T. Phillip Webb |
Show Cause Consent Order |
Ricky Locklar | S03-0026 |
| CO-2003-0031 Addendum |
10/06/2003 | Goldman Sachs & Co. | Consent Order | Ricky Locklar | S03-0072 |
| CO-2003-0032 Addendum |
10/21/2003 | Citigroup Global Markets INC. (Formerly known as Salomon Smith Barney INC.) |
Consent Order | Ricky Locklar | S03-0070 |
| CO-2003-0033 Addendum |
10/27/2003 | Credit Suisse First Boston LLC. (Formerly known as Credit Suisse First Boston Corporation |
Consent Order | Ricky Locklar | S03-0212 |
| CD-2003-0034 | 11/24/2003 | John J. Francisco Frank Lawing Boldhorizon Aerospace Inc. |
Cease & Desist | Ricky Locklar | S03-0105 |
| CD-2003-0035 | 12/22/2003 | Cheaha Management, LLC Palisades Partners, LLC Wayne Harris Smith Vernon W. Banks |
Cease & Desist | Rossie Peters | S03-0167 |
| CD-2003-0036 | 12-29-2003 10/18/2007 |
Worldwide Wall Street INC SMD Automotive Group INC Michael Allen Von Kanel Douglas D Handley Scott A Frye All Respondents |
Cease & Desist Final Order - Failure to Respond |
David Williams | S03-0137 |
