Alabama Securities Commission

Administrative Actions - 2006

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Order #	Date Issued	Respondents	Action	Contact	Case Number
CD-2006-0001/a>	01/04/2006	Key Real Estate Services LLC. Jeffrey Wayne Brown	Cease & Desist	Rossi Peters	S05-0338
CD-2006-0002 OV-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 Blue Dog/Blue Dog Casino Caribbean Internet Investment LTD Lennox Paton Morton Piasetski	Cease & Desist Final Order due to no Response Order to Vacate	David Williams Randy McNeil	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	David Williams	S05-0309
CO-2006-0004	01/20/2006	Callins Asset Management, LLC. Joel Aldrich Callins	Consent Order	Spencer Lee	I06-0024
CD-2006-0005 CO-2006-0005	03/06/2006 02/13/2009	Mowell Financial Group, Inc. Mowell Financial Group, Inc.	Cease & Desist Consent Order	Leslie Worrell Lisa Tolar	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. Gulfport Oil & Gas Inc. Norris R. Harris	Cease & Desist Final Order due to No Response Final Order due to No Response	Steve Brantley Jerry Hankins	S05-0335
CD-2006-0007 CO-2006-0007	03/06/2006 02/02/2007	Gulftex Operating, Inc. Tim Burroughs Deke Welling Gulftex Operating, Inc. Tim Burroughs Deke Welling	Cease & Desist Consent Order	Steve Brantley Steve Brantley	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	Steve Brantley	S06-0071
CD-2006-0009 CO-2006-0009	03/06/2006 05/26/2006	Triton EP, LLC. Garry B. Smith John M. Faeth Triton EP, LLC. Garry B. Smith John M. Faeth	Cease & Desist Consent Order	Steve Brantley Steve Brantley	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	Rossie Peters	S05-0283
SC-2006-0011 OV-2006-0011	03/08/2006 05/12/2006	Kenneth, Jerome & Co., Inc. Mary Elizabeth O'Brien Robert Lewis Kaplon Kenneth, Jerome & Co., Inc. Mary Elizabeth O'Brien Robert Lewis Kaplon	Show Cause Order to Vacate	Lisa Tolar Mike Foley	S06-0132
CD-2006-0012 OV-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 Wayne H. Gillis	Cease & Desist Order to Vacate	Steve Brantley Jane Brannan Kim Lewis	S05-0027
SC-2006-0013 CO-2006-0013	03/10/2006 12/28/2006	Omni Brokerage, Inc. Gary Beynon John Joseph Temple Omni Brokerage, Inc. Gary Beynon John Joseph Temple	Show Cause Consent Order	Lisa Tolar	S06-0143
CD-2006-0014 CO-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	Rossie Peters Rossie Peters	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	David Williams	S06-0065
SC-2006-0017 OB-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	David Williams David Williams	S06-0167 S05-0233
CD-2006-0018 CD-2006-0018A Amended OV-2006-0018A	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. Jackie Fish Tom Emberton, Jr Alan Murrell Douglas Smith North American Resource Group Corp. Jackie Fish Tom Emberton, Jr Alan Murrell Douglas Smith	Cease & Desist Cease & Desist Amended Order to Vacate	David Williams David Williams Rossie Peters	S05-0039
CD-2006-0019	03/29/2006	Sybil's New Life Christian Supply Inc. Sybil F. Watkins Christy Watkins Dawsey	Cease & Desist	Rossie Peters	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	Chip Harrison	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	Chip Harrison	S05-0054
CD-2006-0022 CO-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. Dana Simons Audio_EX Inc. Moreson Conferencing Inc. Dana Bruttig Simons Mark Byron Jackson	Cease & Desist Final Order Due To No Response Consent Order	Mike Wilkerson	S06-0110
CD-2006-0024	05/26/2006 12/19/2008	David Bennett All Respondents	Cease & Desist Final Order due to no Response	C. Harrison	S05-0216
CD-2006-0025	06/12/2006	Yucatan Investment Corp Yucatan Resort SA	Cease & Desist	Mike Foley	S06-0100
CD-2006-0026 CO-2006-0026	06/13/2006 05/29/2007	David A. Costello, Jr. David A. Costello, Jr.	Cease & Desist Consent Order	Sandra Smith Jane Brannan	S06-0272
CD-2006-0027 CO-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. Scott Henry Sari Kevin John Derosa Michael David Shenloogian	Cease & Desist Consent Order	Spencer Lee Spencer Lee	S06-0277
CD-2006-0029 CO-2006-0029	06/21/2006 09/05/2006	Divine Capital Markets, LLC. Steven W. Charest Divine Capital Markets LLC. Steven William Charest	Cease & Desist Consent Order	Spencer Lee Steve Brantley	S06-0291
CD-2006-0030	07/11/2006 02/05/2009	AB Watley Direct All Respondents	Cease & Desist Final Order due to no Response	David Williams	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	Chip Harrison	S06-0173
CD-2006-0032 OV-2006-0032 CO-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, LLC. John Dean Stamas Edward Stewart Byrne Delia Torgerson Watson Nicholas Rosario Lazio	Cease & Desist Order to Vacate Consent Order	Spencer Lee Spencer Lee Steve Brantley	S06-0353
CD-2006-0034	08/16/2006	Merchant's Commerce Solution, Inc. Guerry Lamar Reese Pheobe M. Reese	Cease & Desist	Chip Harrison	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	David Williams	S06-0036
CD-2006-0036	09/21/2006	Consolidated Management Group, LLC Consolidated Leasing Anadarko Joint Venture 2 Phil Shaheen	Cease & Desist	Jerry Hankins	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	David Williams	S04-0403
CD-2006-0039 CO-2006-0039	11/07/2006 04/16/2007	M. J. Wenning & Associates Michael J. Wenning M. J. Wenning & Associates Michael J. Wenning	Cease & Desist Consent Order	Steve Brantley Steve Brantley	S06-0471
CD-2006-0040 CO-2006-0040	11/07/2006 05/15/2007	Tidwell Dewitt Investment Services, LLC Raiford Goode Dyer Tidwell Dewitt Investment Services, LLC Raiford Goode Dyer	Cease & Desist Consent Order	Steve Brantley Steve Brantley	S06-0424
OB-2006-0042	12/12/2006	Earnest Paul Lamonica	Order of Bar	Jerry Hankins	S01-0196
CD-2006-0043	12/19/2006 09/11/2008	Sacco & Vanzetti LLC Strata Productions Inc Terry Green Dave Larsen Sacco & Vanzetti LLC Strata Productions Inc Terry Green Dave Larsen	Cease & Desist Final Order due to no response	Mike Wilkerson	S06-0422
CD-2006-0044	12/19/2006	Roberts Investment Group Timothy R. Roberts	Cease & Desist	Randy Jones	S06-0525
CD-2006-0045 CO-2006-2045	12/21/2006 05/15/2007	Strand, Atkinson, Williams & York, Inc. Strand, Atkinson, Williams & York, Inc.	Cease & Desist Consent Order	Steve Brantley Steve Brantley	S06-0515
CD-2006-0046 CO-2006-0046	12/21/2006 08/30/2007	Capital Guardian, LLC. Michael McMahan Capital Guardian, LLC. Michael McMahan	Cease & Desist Consent Order	Steve Brantley Steve Brantley	S06-0524
CD-2006-0047 CO-2006-0047	12/21/2006 06/20/2007	Manarin Securities Corporation Manarin Securities Corporation	Cease & Desist Consent Order	Steve Brantley Steve Brantley	S06-0591
CD-2006-0048	12/21/2006	Broad Street Securities, Inc. Mary Philomena Mada	Cease & Desist	Steve Brantley	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	Mike Wilkerson	S06-0393