Administrative Actions - 2004
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Order # |
Date Issued | Respondents | Action | Case Number |
| CD-2004-0001 | 01/07/2004 | PDI Real Estate William D. Paul |
Cease & Desist | S02-0224 |
| SC-2004-0002> OV-2004-0002 OB-2004-0002 |
01/20/2004 01/10/2007 05/28/2008 04/01/2010 |
MAX International Broker/Dealer Corp Edwin Joseph Forte III David S. Isolano Edwin Joseph Forte III MAX International Broker/Dealer Corp. David S. Isolano Edwin Joseph Forte III |
Show Cause Final Order due to no Response Order to Vacate Order to Bar |
S03-0016 |
| CD-2004-0004> CO-2004-0004 CO-2004-0004 CO-2004-0004 |
01/26/2004 05/31/2005 10/04/2005 12/09/2011 |
Amerifirst Foundation INC. National Community; Foundation Ralph S. Larsen Lonnie Hawkins Allen Goodmensen Tom Mclaughlin Barbara Mincey Howard Smith Mike Sheppard Jim Wolter S. Howard Smith Barbara Mincey Amerifirst Foundation, INC. Lonnie Hawkins Allen Goodmensen Michael McLaughlin Jim Wolter |
Cease & Desist Consent Order Consent Order Consent Order |
S02-0107 |
| CO-2004-0005> | 03/26/2004 | AMSouth Investment Services, INC. | Consent Order | S04-0064 |
| CD-2004-0006 | 03/22/2004 | Atkins & Associates Dendrick Atkins |
Cease & Desist | S03-0192 |
| CD-2004-0007 | 04/06/2004 | Heyman International, INC. OMNI Fasteners Components Corp Timothy Heyman Donald Earnest Watts Betty Holmes Watts |
Cease & Desist | S03-0004 |
| CD-2004-0008 | 04/23/2004 | G & G Partnership Gary Lee Jones Grover Phillips |
Cease & Desist | S04-0104 |
| CD-2004-0009 | 04/30/2004 | Sparkle Spring Water, Inc. Edward M. Chapman |
Cease & Desist | S03-0027 |
| CD-2004-0010 | 05/13/2004 | Diversified Consultants Terrie Burton |
Cease & Desist | S01-0194 |
| CD-2004-0011 | 05/13/2004 | American Option Service ("AOS") Shane R Wachtel |
Cease & Desist | S04-0066 |
| CD-2004-0012 OV-2004-0012 |
05/24/2004 12-09-2004 |
Presidential FX, Inc. Summer Mote Kera Freeman Presidential FX, Inc. Summer Mote Kera Freeman |
Cease & Desist Order to Vacate |
S04-0050 |
| CD-2004-0013 | 06/09/2004 | Platinum Investment Corp Platinum Investment Holding Corp Andrew Antonucci All Respondents |
Cease & Desist Final Order due to no Response |
S02-0149 |
| CD-2004-0014 | 06/18/2004 | Learn Waterhouse, Inc Randall T. (Randy) Treadwell Arnulfo M. Ascosta Steve Hunter Larry Landis Keith Trawick |
Cease & Desist | S04-0142 |
| CD-2004-0016 | 07/24/2004 | Tim Forehand & Associates LLC Timothy Earl Forehand Debra Holte Forehand |
Cease & Desist | S04-0082 |
| CD-2004-0017 CO-2004-0017 |
08/24/2004 03/24/2010 |
Resource Development International David Edwards James Edwards Ronald W Smith Resource Development International David Edwards James Edwards Ronald W. Smith |
Cease & Desist Consent Order |
S02-0029 |
| CD-2004-0018 | 08/24/2004 | Moola Zoola Inc Robert Arbuckle |
Cease & Desist | S04-0222 |
| CD-2004-0019 | 08/24/2004 | The Loan Shoppe, Inc Charles E. Carver |
Cease & Desist | S04-0208 |
| CD-2004-0020 | 08/26/2004 | C & C Vencap Corporation Houston Wireless Partners, LLC Robert Pozsony William Cella |
Cease & Desist | S03-0116 |
| CD-2004-0021 | 09/15/2004 | International Product Investment Corporation IPIC Atlantic LLC Gregory Setser Cynthia Setser Charnelle Setsen Torsten Thomas Henschke |
Cease & Desist | |
| SC-2004-0022 | 10-12-2004 | Park Avenue Securities, LLC Randall L. Wells Jeffrey L. Chapman |
Show Cause | S04-0142 |
| CD-2004-0023 | 10-12-2004 | Fay Chancey Jeffery L. Chapman Billy Hall, II Brian Heath Hughes Jody Hughes Charles McVay Laurie D. McVay Patricia A. Trawick Randall L. Wells |
Cease & Desist | S04-0142 |
| CD-2004-0024 | 10-25-2004 | 4J Financial Services, LLC Winston Ross |
Cease & Desist | S03-0117 |
| CO-2004-0025 | 12-08-2004 | Crescent Securities Group, Inc. | Consent Order | S04-0385 |
