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Order # |
Date Issued | Respondents | Action | Case Number |
CD-2006-0001 |
01/04/2006 |
Key Real Estate Services
LLC. Jeffrey Wayne Brown |
Cease & Desist |
S05-0338 |
CD-2006-0002 |
01/18/2006 07/09/2007 01/22/2009 |
New World Ventures
Investment Inc Blue Dog/Blue Dog Casino Caribbean Internet Investment LTD Lennox Paton Morton Piasetski All Respondents New World Ventures
Investment Inc |
Cease & Desist Final Order due to no Response
|
S05-0311 |
CD-2006-0003 |
01/18/2006 06/01/2006 |
Pro Systems Marketing Inc Joel Duncan All Respondents |
Cease & Desist Final Order due to no Response |
S05-0309 |
CO-2006-0004 | 01/20/2006 | Callins Asset Management,
LLC. Joel Aldrich Callins |
Consent Order | I06-0024 |
CD-2006-0005 |
03/06/2006 02/13/2009 |
Mowell Financial Group,
Inc. Mowell Financial Group, Inc. |
Cease & Desist Consent Order |
S06-0130 |
CD-2006-0006 |
03/06/2006 07/27/2006 03/18/2009 |
Adaven, Inc. Gulfport Oil & Gas, Inc. Norris R. Harris Adaven Inc. Norris R. Harris |
Cease & Desist Final Order due to No Response Final Order due to No Response |
S05-0335 |
CD-2006-0007 |
03/06/2006 02/02/2007 |
Gulftex Operating, Inc. Tim Burroughs Deke Welling Gulftex Operating, Inc. |
Cease & Desist Consent Order |
S06-0070
|
CD-2006-0008 |
03/06/2006 07/05/2006 |
P H Consulting, LLC. Paul Hudson All Respondents |
Cease & Desist Final Order due to no Response |
S06-0071 |
CD-2006-0009 |
03/06/2006 05/26/2006 |
Triton EP, LLC. Garry B. Smith John M. Faeth Triton EP, LLC. |
Cease & Desist Consent Order |
S06-0073
|
CD-2006-0010 | 03/08/2006 | Shrimpboat USA Inc. George Elias Naman Phil Duke Rogers Gary Louis Woodham David Warren Strength James Roy Higdon James Brian Morris |
Cease & Desist | S05-0283 |
SC-2006-0011 |
03/08/2006 05/12/2006 |
Kenneth, Jerome & Co.,
Inc. Mary Elizabeth O'Brien Robert Lewis Kaplon Kenneth, Jerome & Co.,
Inc. |
Show Cause Order to Vacate |
S06-0132
|
CD-2006-0012 |
03/09/2006 02/22/2007 |
Tom Mann Outdoors, Inc. Tom & Tina Outdoors Annie B. Mann Suzanne Newsom Carl V. Jones Robert P. Resta Herbert J. Loerch Wayne H. Gillis Tina Booker Herbert J. Loerch |
Cease & Desist Order to Vacate |
S05-0027
|
SC-2006-0013 |
03/10/2006 12/28/2006 |
Omni Brokerage, Inc. Gary Beynon John Joseph Temple Omni Brokerage, Inc. |
Show Cause Consent Order |
S06-0143 |
CD-2006-0014 |
03/16/2006 08/02/2007 09/26/2008 |
Legacy Capital Corporation David W. Partrick Legacy Capital Corporation David W. Partrick |
Cease & Desist Consent Order Final Order by request of Respondent |
S05-0439 |
CD-2006-0015 CD-2006-0015A Amended |
03/22/2006 04/27/2006 11/06/2008 |
Heartland Resourses Andrew A Flowers David Stewart Mark Haynes All Respondents |
Cease & Desist Final Order due to no response |
S06-0065 |
SC-2006-0017 |
03/23/2006 05/11/2006 07/28/2006 |
Larry Snow Larry Snow Larry Snow |
Show Cause Order to Bar Final Order d ue to no response |
S06-0167 S05-0233 |
CD-2006-0018 |
03/29/2006 04/26/2006 06/03/2010 |
North American Resource
Group Corp. Jackie Fish Tom Emberton, Jr Alan Murrell Douglas Smith North American Resource
Group Corp. North American Resource
Group Corp. |
Cease & Desist Cease & Desist Amended Order to Vacate |
S05-0039
|
CD-2006-0019 | 03/29/2006 | Sybil's New Life Christian
Supply Inc. Sybil F. Watkins Christy Watkins Dawsey |
Cease & Desist | S05-0039 |
CD-2006-0020 |
04/27/2006 06/20/2006 |
Samuel & Cohen Media, LLC Unleashed Magazine Daniel Cohen Ron Samuel Joseph Magmoon All Respondents |
Cease & Desist Final Order due to no response |
S06-0067 |
CD-2006-0021 |
04/27/2006 06/21/2006 |
American Enterprises, Inc. Robert Yeager Donna Yeager All Respondents |
Cease & Desist Final Order due to no response |
S05-0054 |
CD-2006-0022 |
05/15/2006 04/22/2008 10/01/2008 |
Audio_EX Inc. Moreson Conferencing Inc. Dana Bruttig Simons Mark Byron Jackson Audio-Ex Inc. Audio_EX Inc. |
Cease & Desist Final Order Due To No Response
|
S06-0110 |
CD-2006-0024 |
05/26/2006 12/19/2008 |
David Bennett All Respondents |
Cease & Desist Final Order due to no Response |
S05-0216 |
CD-2006-0025 | 06/12/2006 | Yucatan Investment Corp Yucatan Resort SA |
Cease & Desist | S06-0100 |
CD-2006-0026 |
06/13/2006 05/29/2007 |
David A. Costello, Jr. David A. Costello, Jr. |
Cease & Desist Consent Order |
S06-0272 |
CD-2006-0027 |
06/14/2006 02/22/2007 |
Garden State Securities,
Inc. Scott Henry Sari Kevin John Derosa Michael David Shenloogian Garden State Securities,
Inc. |
Cease & Desist Consent Order |
S06-0277
|
CD-2006-0029 |
06/21/2006 09/05/2006 |
Divine Capital Markets,
LLC. Steven W. Charest Divine Capital Markets
LLC. |
Cease & Desist Consent Order |
S06-0291
|
CD-2006-0030 |
07/11/2006 02/05/2009 |
AB Watley Direct All Respondents |
Cease & Desist Final Order due to no Response |
S05-0396 |
CD-2006-0031 | 07/21/2006 | Consulting Dynamics, Inc. Advance Body Imaging, L.P. Stanley Johnson Easter Johnson John Leal June Ventzos Alexander Wilson Natalie Romo |
Cease & Desist | S06-0173 |
CD-2006-0032 |
08/08/2006 10/03/2006 07/20/2007 |
Moors & Cabot Financial
Advisors, LLC. John Dean Stamas Edward Stewart Byrne Delia Torgerson Watson Nicholas Rosario Lazio Nicholas Rosario Lazio Moors & Cabot Financial
Advisors, |
Cease & Desist Order to Vacate Consent Order |
S06-0353
|
CD-2006-0034 | 08/16/2006 | Merchant's Commerce
Solution, Inc. Guerry Lamar Reese Pheobe M. Reese |
Cease & Desist | S05-0440 |
CD-2006-0035 |
08/18/2006 05/07/2008 |
OTR Media, Inc. Richard Paul Underwood All Respondents |
Cease & Desist Final Order Due To No Response |
S06-0036 |
CD-2006-0036 | 09/21/2006 | Consolidated Management
Group, LLC Consolidated Leasing Anadarko Joint Venture 2 Phil Shaheen |
Cease & Desist | S06-0023 |
CD-2006-0038 |
11/06/2006 05/07/2007 |
Charter One Capital
Holdings Inc. Steven Gray Vladislav Kuchiroko aka Vincent Kucher Joseph Torre All Respondents |
Cease & Desist Final Order due to no response |
S04-0403 |
CD-2006-0039 |
11/07/2006 04/16/2007 |
M. J. Wenning & Associates Michael J. Wenning M. J. Wenning & Associates |
Cease & Desist Consent Order |
S06-0471 |
CD-2006-0040 |
11/07/2006 05/15/2007 |
Tidwell Dewitt Investment
Services, LLC Raiford Goode Dyer Tidwell Dewitt Investment
Services, |
Cease & Desist Consent Order |
S06-0424 |
OB-2006-0042 | 12/12/2006 | Earnest Paul Lamonica | Order of Bar | S01-0196 |
CD-2006-0043 |
12/19/2006 09/11/2008 |
Sacco & Vanzetti LLC Strata Productions Inc Terry Green Dave Larsen Sacco & Vanzetti LLC |
Cease & Desist Final Order due to no response |
S06-0422 |
CD-2006-0044 | 12/19/2006 | Roberts Investment Group Timothy R. Roberts |
Cease & Desist | S06-0525 |
CD-2006-0045 |
12/21/2006 05/15/2007 |
Strand, Atkinson, Williams
& York, Inc. Strand, Atkinson, Williams & York, Inc. |
Cease & Desist Consent Order |
S06-0515 |
CD-2006-0046 |
12/21/2006 08/30/2007 |
Capital Guardian, LLC. Michael McMahan Capital Guardian, LLC. |
Cease & Desist Consent Order |
S06-0524 |
CD-2006-0047 |
12/21/2006 06/20/2007 |
Manarin Securities
Corporation Manarin Securities Corporation |
Cease & Desist Consent Order |
S06-0591 |
CD-2006-0048 | 12/21/2006 | Broad Street Securities,
Inc. Mary Philomena Mada |
Cease & Desist | S06-0506 |
CD-2006-0049 | 12/08/2006 | Mid-America Energy Inc. Black Gold Oil #7 LLP Eagle Oil #5 LLP Eagle Oil #7 LLP Fort Knox Oil #10 LLP Gary Milby Scotty Cooke Eric Rogers |
Cease & Desist | S06-0393 |