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Order # |
Date Issued | Respondents | Action | Case Number |
| CD-2005-0001 CO-2005-0001 |
01/04/2005 05/31/2005 |
Alan Scott Daniels Daniels Capital Corporation Alan Scott Daniels Daniels Capital Corporation |
Cease & Desist Consent Order |
S04-0245 |
| SC-2005-0002 CO-2005-0002 OB-2005-0002 |
01/04/2005 07/31/2006 04/19/2007 |
Brian Alan Blackmon Brian Alan Blackmon Brian Alan Blackmon |
Show Cause Consent Order Order to Bar |
S04-0125 |
| CD-2005-0003 OV-2005-0003 |
01/24/2005 05/01/2006 |
Grove Financial Group, INC Grove Financial Group, Inc Leon Martex Grove III |
Cease & Desist Order to Vacate |
S05-0021 |
| CD-2005-0004 | 02/02/2005 06/23/2006 |
Lifeline Imaging, LLC Richard E. King Jr. Gerald L Friede A. Charles Harris Candice Lewis Randy Morton Lifeline Imaging, LLC. Candice Lewis Randy Morton |
Cease & Desist Final Order due to no Response |
S04-0261 |
| CD-2005-0005 CO-2005-0005 |
03/04/2005 10/18/2005 |
Caruba International, LLC Tradewind Holding Company Tradewinds Investments, INC. Ivan F. Shew-A-Tjon (AKA Ivan F. Shew) Stanley Shew-A-Tjon Darryl Reason Luther Carson Rudolph Robles Joel Williford Shelly Fearson Gwendolyn Long Geraldine Smith Mike Nowell Caruba International, LLC. Ivan F. Shew-a-tjon |
Cease & Desist Consent Order |
S04-0422 |
| CD-2005-0007 | 03/07/2005 03/19/2010 |
Riggabella Professional Services, INC. Handleton Management Services M. Kevin Mullen All Respondence |
Cease & Desist Final Order Due to No Response |
S03-0081 |
| CO-2005-0008 | 03/15/2005 | Thomas Weisel Partners, LLC | Consent Order | S04-0431 |
| CD-2005-0009 | 03/17/2005 | Premium Income Corp. A/K/A Supply Premium Income Corp. Complete Estate Services LLC. Gerald Leo Rogers A/K/A Jay Rogers Alexander Igor Shevchenko Fredrick O. Delin A/K/A Fred O. Delin |
Cease & Desist | S04-0434 |
| OR-2005-0010 | 03/28/2005 | L. H. Ross & Company, INC. Franklyn Ross Michelin |
Order of Revocation | S05-0080 |
| CO-2005-0011 | 03/31/2005 | Deutsche Bank Securities, INC. | Consent Order | S04-0430 |
| CD-2005-0012 | 04/07/2005 | Southern Heritage, INC. Freedom Quest USA The Cookie Jar, L.L.P. GITAM, L.L.C. Blessing Center Eagles Club International Money Tree System SSR, L.L.C. W. A. Cochran (AKA William A. Cochran) Bob Glass Mark E. Glass Fredrick Steven Orleans Alan Wright Terry W. Bryant William E. Frazier Teresa Roberson Lonnie E. Honeycutt Jeffery Morrison Terry J. Buck David Easterbrooks Guy W. Foster Ike McCollum Eddie Wood John Pershing Smith H. J. "Red" Tiner |
Cease & Desist | S05-0067 |
| CD-2005-0013 | 04/07/2005 | Phymed Partners, INC. James Lamar McMichael Nancy Wise McMichael |
Cease & Desist |
S03-0063 |
| SC-2005-0014 | 04/07/2005 | Franklin Financial Services Corp. | Show Cause |
S03-0063 |
| OB-2005-0015 | 04/07/2005 | Robert Michael Seahorn John Colvin Colin Prest |
Order to Bar |
S03-0063 |
| CD-2005-0016 | 04/08/2005 | Alden Lee Company, INC. Richard Joseph Lee |
Cease & Desist | S04-0377 |
| CD-2005-0017 |
04/11/2005 06/15/2006 |
T. D. & Associates Dennis Timpe Michael Spradley All Respondents |
Cease & Desist Final Order due to no response |
S05-0091 |
|
CD-2005-0018 |
04/11/2005 01/23/2006 |
Fortress Foundation INC. G. T. Funds INC. (AKA: Gods Trust Funds, INC.) Leroy Hoback Thomas Edward Crawford O. Bruce Mikell William E. Schwerdtfeger Gloria N. Streig Ra'nic Streig Schwerdtfeger Raymond M. Streig O. Bruce Mikell |
Cease & Desist Consent Order |
S05-0035
|
| CO-2005-0019 | 04/21/2005 | The Meta Company, LLC Gary A. Mitchell |
Consent Order | I05-0136 |
| CO-2005-0020 | 04/22/2005 | Prudential Securities INC. | Consent Order | S01-0024 |
|
CD-2005-0021 |
05/03/2005 06/18/2008 |
Angel Construction, INC. AKA: Angel Homes AKA: Angel Investments Brian Jeffrey Heller Angela Marie Gustin Angel Construction, INC. |
Cease & Desist Order to Vacate |
S04-0322 |
| CD-2005-0022 |
05/05/2005 10/01/2008 |
Ronald Dover Holland Curtis M Green Revod Foundation INC. All Respondents |
Cease & Desist Final Order due to no Response |
S03-0154 |
| CD-2005-0023 | 08/1/2005 | People in Profit Systems,
INC. PUREINVESTOR.COM, INC. PIC Trust Limited Bryan Marsden |
Cease & Desist | S05-0095 |
| OB-2005-0024 | 08/19/2005 | Back Bay Capital, INC. Capital Access Partners, LLC Albert Tommie Carazolez |
Order to Bar | S04-0243 |
|
CD-2005-0025 |
08/25/2005 02/23/2006 |
OceanFront Equity
Holdings, Inc. IGS Capital Management Corp. Bradley Pridemore Oceanfront Equity
Holdings, Inc. |
Cease & Desist Consent Order |
S05-0163
|
| CD-2005-0026 |
08/25/2005 06/21/2006 |
Freedom Online, INC. Theodore Mahoney Paul Rangel All Respondents |
Cease & Desist Final Order due to no response |
S05-0217 |
| CD-2005-0027 | 08/25/2005 | Alpine Petroleum, LLC Jim Morrisett |
Cease & Desist | S05-0153 |
| CD-2005-0028 | 09/07/2005 | Quadra Pay Land, LLC Eavenson Family LP Michael Eavenson Lorenzo Williams |
Cease & Desist | S05-0090 |
|
CD-2005-0029 |
09/06/2005 01/04/2006 05/24/2006 |
Mobile Billboards of
America, Inc. Tommy White Mobile Billboards of America,
Inc. All Respondents |
Cease & Desist Cease & Desist Final Order due to no response |
S02-0378
|
| CD-2005-0030 | 09/06/2005 | TLC Investments LLC. David Lynn Goss |
Cease & Desist | S03-0128 |
| CD-2005-0031 |
09/07/2005 05/25/2006 |
Universal Luxury Coaches,
LLC. Tommy White James P. Hollis John Lang Scott Spur All Respondents |
Cease & Desist Final Order due to no response |
S04-0379 |
|
SC-2005-0032
|
09/26/2005
|
Morgan Keegan & Company Woodley Harnnon Bagwell John Allen Jones IV Hampton F Hook Robert Shawn Ellison Morgan Keegan & Company |
Show Cause
|
S00-0093
|
| OB-2005-0033 | 09/26/2005 | Robert Shawn Ellison | Order of Bar | S00-0093 |
| OB-2005-0034 | 09/26/2005 | Hampton F. Hook | Order of Bar | S00-0093 |
| OB-2005-0035 | 09/26/2005 | John Allen Jones IV | Order of Bar | S00-0093 |
| LR-2005-0036 | 09/26/2005 | George Earl Bagwell | Order of Limited Reinstatement | S00-0093 |
| RC-2005-0037 | 09/26/2005 | Woodley Hannon Bagwell | Order of Limited Registration & Censor | S00-0093 |
|
CD-2005-0038 |
09/12/2005 08/14/2006 |
Biotelligent, Inc. Heny Ayati Biotelligent, Inc. |
Cease & Desist Consent Order |
S05-0218
|
| CD-2005-0039 |
09/12/2005
06/13/2006 12/19/2008 |
Womans Wall Street, Inc
Womans Wall Street, Inc All Respondents |
Cease & Desist
Cease & Desist Final Order due to no response |
S05-0216
|
| CD-2005-0040 | 09/23/2005 | Christopher Kyle Croft CK Capital Trading |
Cease & Desist | S05-0264 |
| CO-2005-0041 | 09/15/2005 | Waddell & Reed, Inc. W & R Insurance Agency, Inc. |
Consent Order | S05-0099 |
|
SC-2005-0042
|
09/05/2005 06/11/2009
12/21/2009
12/21/2009
02/04/2010 06/23/2011
08/02/2011 12/13/2011 |
Aura Financial Services Timothy M. Gautney Laura Gautney Black Loyd Gilford King
Aura Financial Services
All Respondents
Aura Financial Services
Aura Financial Services John Wesley Woodruff, Jr.
John Wesley
Woodruff, Jr. Loyd Gilford King |
Show Cause Show Cause
Final Order
due to
Final Order for Refusal to Accept
Final
Order due to no Consent Order |
S03-0008 |
| CD-2005-0044 |
10/12/2005 10/03/2006 |
NJ Affordable Homes Corp. Wayne Puff All Respondents |
Cease & Desist
Final Order due to no response |
S05-0220 |
| CD-2005-0046 | 10/18/2005 | Eagle Storage &
Development, LLC Michael J. Bowen Tony Smalling Scott Williams |
Cease & Desist | S05-0219 |
| CD-2005-0047 | 10/19/2005 | Christopher Reyes Nexidis Platinum Wealth Building Systems |
Cease & Desist | S05-0001 |
| CD-2005-0048 |
11/02/2005 04/12/2007 |
Jayel Accounting
Consultants, Inc W. Joe Phillips Linda D. Phillips All Respondents |
Cease & Desist Final Order due to no response |
S05-0028 |
| CD-2005-0049 | 11/09/2005 | Celecast Inc. Heath F. Hyneman Kimberly Gallops Anthony |
Cease & Desist | S05-0141 |
|
CD-2005-0050 |
11/09/2005 03/15/2006 06/21/2006 |
Horizon Medical Group,
Inc. Martin J Kern Barry Sternberg Living Trusts of America Craig R. Lundahl First Trust Company of Onaga, N.A. First Trust Company of All Respondents |
Cease & Desist Order to Vacate Final Order due to no response |
S03-0039
|
| CD-2005-0051 |
11/29/2005
08/09/2006 08/09/2006 |
Gravity Entertainment,
Inc. Entertainment Holdings, Inc. Steven F. Gagnon Marshall F. Carson Gravity Entertainment,
Inc. Marshall F. Carson
Gravity
Entertainment, Inc Gravity Entertainment,
Inc |
Cease & Desist
Order to Vacate Consent Order |
S05-0234
|
| CD-2005-0052 | 12/13/2005 | Conecuh Brands LLC Kenny May |
Cease & Desist | S05-0139 |
|
CD-2005-0053 |
12/14/2005 05/14/2008 05/14/2005 |
Northstar Energy, Inc. Larry M. Koonce Paul M. Esposito Texas Securities Partners, Inc. Brian Alan Guinn Tony Eugene Morrison James Gregory Rice Christopher R. Madrid Texas Securities
Partners, INC. Northstar Energy, INC. |
Cease & Desist Consent Order Consent Order |
S05-0415 |
| SC-2005-0054 | 12/14/2005 | Texas Securities Partners,
Inc. Brian Alan Guinn Tony Eugene Morrison James Gregory Rice Christopher R. Madrid |
Show Cause | S05-0415 |
