Administrative Actions - 2003
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Order # |
Date Issued | Respondents | Action | Case Number |
| CD-2003-0001 | 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 | S99-0128 |
| CD-2003-0002 OV-2003-0002 |
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 |
S03-0001 |
| CD-2003-0003 | 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 | S02-0021 |
| OB-2003-0004 | 02/28/2003 | James K. Matter | Order of Bar | S01-0181 |
| CD-2003-0005 | 03/03/2003 | Foster Gas Corporation Toby D. Mason Thomas A. Lewis |
Cease & Desist | S02-0206 |
| CD-2003-0006 | 03/06/2003 | Charles Wadkins | Cease & Desist | S02-0151 |
| OB-2003-0007 | 03/18/2003 | Weddington Bishop Kelly Jr | Order of Bar | S00-0331 |
| CD-2003-0008 | 04/17/2003 | The Albert Schweitzer Society USA, Inc. Harold R. Fetter Francis P. Havey JMJ Corporation, N.V. et al |
Cease & Desist | S99-0198 |
| CD-2003-0009 | 04/17/2003 | Iron Horse Petroleum, Inc. AKA Iron Horse Petroleum Eric Collins Paul Willis Thomas Labry |
Cease & Desist | S01-0169 |
| CO-2003-0010 | 04/24/2003 | Lehman Brothers Inc. | Consent Order Addendum A |
S02-0095 |
| CD-2003-0011 | 06/06/2003 | Trade Partners Inc. Sojkara LLC Christine M. Zmudka Robert Seitters John A Murphy |
Cease & Desist | 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 |
S02-0205 |
| OB-2003-0013 | 07/07/2003 | Christian Negohosian | Order of Bar | S02-0197 |
| CD-2003-0014 | 07/15/2003 | Jed Philip Kaplan Kaplan & Co. Securities, Inc. |
Cease & Desist | S03-0097 |
| CD-2003-0015 | 07/28/2003 | LSI Regional Development Center Investment Dave McDaniel |
Cease & Desist | S03-0086 |
| SC-2003-0016 | 08/01/2003 | Gold Coast Securities Inc. Tae P Ho |
Show Cause | S03-0101 |
| CD-2003-0017 | 08/20/2003 | Life Time Capital, INC Robert Comstock Lloyd Rodgers Linda G. Rodgers William Mattox, Jr. |
Cease & Desist | S03-0019 |
| CO-2003-0018 Addendum |
08/21/2003 | UBS Warburg LLC UBS Paine Webber INC |
Consent Order | S03-0068 |
| CD-2003-0019 | 08/29/2003 | Gadsden LP Road Runner Asset Management |
Cease & Desist | 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 |
S02-0091 |
| OB-2003-0021 | 08/28/2003 | David Leo Dennis | Order of Bar | 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 |
S02-0227 S03-0073 |
| CO-2003-0023 Addendum |
09/10/2003 | Bear Stearns & Co., INC. | Consent Order | S03-0073 |
| CO-2003-0024 Addendum |
09/10/2003 | Morgan Stanley & Co., INC. | Consent Order | S03-0074 |
| OB-2003-0025 | 09/18/2003 | Robert Martire | Order of Bar | S95-0082 |
| OB-2003-0026 | 09/18/2003 | Morton Glickman | Order of Bar | S95-0082 |
| CD-2003-0027 | 09/18/2003 | Yellow Pages Nationwide, Inc. Bryan Gottman |
Cease & Desist | S03-0043 |
| CO-2003-0028 Addendum |
09/23/2003 | J P Morgan Securities, INC. | Consent Order | S03-0069 |
| CO-2003-0029 Addendum |
09/23/2003 | U S Bancorp Piper Jaffray INC. | Consent Order | S03-0071 |
| SC-2003-0030 CO-2003-0030 |
09/30/2003 08/26/2004 |
T Phillip Webb T. Phillip Webb |
Show Cause Consent Order |
S03-0026 |
| CO-2003-0031 Addendum |
10/06/2003 | Goldman Sachs & Co. | Consent Order | S03-0072 |
| CO-2003-0032 Addendum |
10/21/2003 | Citigroup Global Markets INC. (Formerly known as Salomon Smith Barney INC.) |
Consent Order | S03-0070 |
| CO-2003-0033 Addendum |
10/27/2003 | Credit Suisse First Boston LLC. (Formerly known as Credit Suisse First Boston Corporation |
Consent Order | S03-0212 |
| CD-2003-0034 | 11/24/2003 | John J. Francisco Frank Lawing Boldhorizon Aerospace Inc. |
Cease & Desist | S03-0105 |
| CD-2003-0035 | 12/22/2003 | Cheaha Management, LLC Palisades Partners, LLC Wayne Harris Smith Vernon W. Banks |
Cease & Desist | 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 |
S03-0137 |
