Alabama Securities Commission

Administrative Actions - 2005

2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001

Order #	Date Issued	Respondents	Action	Contact	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	Reuben Redd	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	Chris Young Randy McNeill Ricky Locklar	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	Chris Young Kim Lewis	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	David Williams	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	Anita Smith	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	Steve Brantley	S03-0081
CO-2005-0008	03/15/2005	Thomas Weisel Partners, LLC	Consent Order	Ricky Locklar	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	Steve Brantley	S04-0434
OR-2005-0010	03/28/2005	L. H. Ross & Company, INC. Franklyn Ross Michelin	Order of Revocation	Anita Smith	S05-0080
CO-2005-0011 Addendum A	03/31/2005	Deutsche Bank Securities, INC.	Consent Order	Ricky Locklar	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	Anita Smith	S05-0067
CD-2005-0013	04/07/2005	Phymed Partners, INC. James Lamar McMichael Nancy Wise McMichael	Cease & Desist	Kim Lewis	S03-0063
SC-2005-0014	04/07/2005	Franklin Financial Services Corp.	Show Cause	Kim Lewis	S03-0063
OB-2005-0015	04/07/2005	Robert Michael Seahorn John Colvin Colin Prest	Order to Bar	Kim Lewis	S03-0063
CD-2005-0016	04/08/2005	Alden Lee Company, INC. Richard Joseph Lee	Cease & Desist	Chip Harrison	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	Chip Harrison	S05-0091
CD-2005-0018 CO-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	Rossi Peters Rossi Peters	S05-0035
CO-2005-0019	04/21/2005	The Meta Company, LLC Gary A. Mitchell	Consent Order	Rena Davis	I05-0136
CO-2005-0020	04/22/2005	Prudential Securities INC.	Consent Order	Ricky Locklar	S01-0024
CD-2005-0021 OV-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. AKA: Angel Homes AKA: Angel Investments Brian Jeffrey Heller Angela Marie Gustin	Cease & Desist Order to Vacate	Chip Harrison	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	Reuben Redd	S03-0154
CD-2005-0023	08/1/2005	People in Profit Systems, INC. PUREINVESTOR.COM, INC. PIC Trust Limited Bryan Marsden	Cease & Desist	Chip Harrison	S05-0095
OB-2005-0024	08/19/2005	Back Bay Capital, INC. Capital Access Partners, LLC Albert Tommie Carazolez	Order to Bar	Mike Wilkerson	S04-0243
CD-2005-0025 CO-2005-0025	08/25/2005 02/23/2006	OceanFront Equity Holdings, Inc. IGS Capital Management Corp. Bradley Pridemore Oceanfront Equity Holdings, Inc. IGS Capital Management Corp. Bradley Pridemore	Cease & Desist Consent Order	Chip Harrison	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	Chip Harrison	S05-0217
CD-2005-0027	08/25/2005	Alpine Petroleum, LLC Jim Morrisett	Cease & Desist	Chip Harrison	S05-0153
CD-2005-0028	09/07/2005	Quadra Pay Land, LLC Eavenson Family LP Michael Eavenson Lorenzo Williams	Cease & Desist	Mike Wilkerson	S05-0090
CD-2005-0029 Addendum A	09/06/2005 01/04/2006 05/24/2006	Mobile Billboards of America, Inc. Tommy White Mobile Billboards of America, Inc. Tommy White Jackie P. Adams Tim Bradshaw J. Wendell Brigance James E. Lush Sandra Lush All Respondents	Cease & Desist Cease & Desist Final Order due to no response	Mike Wilkerson	S02-0378
CD-2005-0030	09/06/2005	TLC Investments LLC. David Lynn Goss	Cease & Desist	Mike Wilkerson	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	Mike Wilkerson	S04-0379
SC-2005-0032 CO-2005-0032	09/26/2005 10/05/2005	Morgan Keegan & Company Woodley Harnnon Bagwell John Allen Jones IV Hampton F Hook Robert Shawn Ellison Morgan Keegan & Company	Show Cause Consent Order	Randy McNeil	S00-0093
OB-2005-0033	09/26/2005	Robert Shawn Ellison	Order of Bar	Randy McNeil	S00-0093
OB-2005-0034	09/26/2005	Hampton F. Hook	Order of Bar	Randy McNeil	S00-0093
OB-2005-0035	09/26/2005	John Allen Jones IV	Order of Bar	Randy McNeil	S00-0093
LR-2005-0036	09/26/2005	George Earl Bagwell	Order of Limited Reinstatement	Randy McNeil	S00-0093
RC-2005-0037	09/26/2005	Woodley Hannon Bagwell	Order of Limited Registration & Censor	Randy McNeil	S00-0093
CD-2005-0038 CO-2005-0038	09/12/2005 08/14/2006	Biotelligent, Inc. Heny Ayati Biotelligent, Inc. Heny Ayati	Cease & Desist Consent Order	Chip Harrison	S05-0218
CD-2005-0039 CD-2005-0039 Addendum	09/12/2005 06/13/2006 12/19/2008	Womans Wall Street, Inc Womans Wall Street, Inc John Lowson Heny Ayati All Respondents	Cease & Desist Cease & Desist Final Order due to no response	Chip Harrison	S05-0216
CD-2005-0040	09/23/2005	Christopher Kyle Croft CK Capital Trading	Cease & Desist	Steve Brantley	S05-0264
CO-2005-0041	09/15/2005	Waddell & Reed, Inc. W & R Insurance Agency, Inc.	Consent Order	Kim Lewis	S05-0099
SC-2005-0042 SC -2005-0042A OR-2005-0042 OB-2005-0042 CO-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 Timothy M. Gautney Loyd Gilford King John Wesley Woodruff, Jr. All Respondents Aura Financial Services Timothy M. Gautney Loyd Gilford King Aura Financial Services Timothy M. Gautney John Wesley Woodruff, Jr. John Wesley Woodruff, Jr. Loyd Gilford King	Show Cause Show Cause Final Order due to Insufficient Response Order to Revoke Final Order for Refusal to Accept Delivery Order of Bar Final Order due to no Response Consent Order	Ricky Locklar Mike Wilkerson	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	Mike Wilkerson	S05-0220
CD-2005-0046	10/18/2005	Eagle Storage & Development, LLC Michael J. Bowen Tony Smalling Scott Williams	Cease & Desist	Mike Wilkerson	S05-0219
CD-2005-0047	10/19/2005	Christopher Reyes Nexidis Platinum Wealth Building Systems	Cease & Desist	Reuben Redd	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	Mike Wilkerson	S05-0028
CD-2005-0049	11/09/2005	Celecast Inc. Heath F. Hyneman Kimberly Gallops Anthony	Cease & Desist	Rossi Peters	S05-0141
CD-2005-0050 OV-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 Onaga, N.A. All Respondents	Cease & Desist Order to Vacate Final Order due to no response	Chip Harrison	S03-0039
CD-2005-0051 Addendum A OV-2005-0051 OV-2005-0051 CO-2005-0051	11/29/2005 12/16/2005 12/16/2005 08/09/2006 08/09/2006	Gravity Entertainment, Inc. Entertainment Holdings, Inc. Steven F. Gagnon Marshall F. Carson Gravity Entertainment, Inc. Entertainment Holdings, Inc. Steven F. Gagnon Marshall F. Carson Marshall F. Carson Gravity Entertainment, Inc Entertainment Holdings, Inc Steven F. Gagnon Marshall F. Carson Gravity Entertainment, Inc Entertainment Holdings, Inc Steven F. Gagnon Marshall F. Carson	Cease & Desist Amended Cease & Desist Order to Vacate Order to Vacate Consent Order	Mike Wilkerson	S05-0234
CD-2005-0052	12/13/2005	Conecuh Brands LLC Kenny May	Cease & Desist	Steve Brantley	S05-0139
CD-2005-0053 CO-2005-0053 CO-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. Brian Alan Guinn Tony Eugene Morrison James Gregory Rice Christopher R. Madrid Northstar Energy, INC. Larry M. Koonce Paul M. Esposito	Cease & Desist Consent Order Consent Order	Steve Brantley Randy Jones Randy Jones	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	Steve Brantley	S05-0415