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|
Order # |
Date Issued | Respondents | Action | Contact | Case Number |
| CD-2009-0001 | 01/06/2009 02/27/2009 |
Cinema Partners LLC Films Unlimited LLC Scott Einbinder All Respondents |
Cease & Desist Final Order Due to no Response |
Rossi Peters | S08-0376 |
| CD-2009-0002 | 01/26/2009 | Grissom Research Inc Mark E. Doering |
Cease & Desist | Mike Wilkerson | S08-0236 |
| CD-2009-0003 | 02/13/2009 07/21/2009 08/07/2009 |
Barren Resources Group LLC Gary Bryant Hogan William L Moore Barren Resources Group LLC Gary Bryant Hogan William L Moore |
Cease & Desist Final Order Due to no Response Final Order, Agreed to by Respondent |
Chuck James | S08-0536 |
| CD-2009-0004 | 02/17/2009 10/20/2009 |
Unity Invest & Trust LLC Ramon Antonio Richardson Michael Daniel Banks All Respondents |
Cease & Desist Final Order Due to no Response |
Mike Gantt | S09-0020 |
| CD-2009-0005 | 02/18/2009 05/11/2009 |
Lyons Ward & Associates LLC Gene Collins John Stable All Respondents |
Cease & Desist Due to failure of Respondents to take possession of the Order |
Mike Gantt | S09-0055 |
| CD-2009-0007 |
03/13/2009 06/10/2009 |
Credit
Restoration and Mortgage Consulting, LLC. 20/20 Credit Repair and Mortgage Consulting Credit Restoration Mortgage Corporation John Craig Dickson All Respondents |
Cease &
Desist Final Order Per Legal Division Following an Administrative Hearing. |
Jerry Hankins | S08-0518 |
| CD-2009-0008 |
04/14/2009 10/21/2009 |
Sam Jones
Carroll III All Respondents |
Cease &
Desist Final Order Due to no Response |
Rossie Peters | S08-0328 |
| CO-2009-0009 | 04/23/2009 | Ameriprise Financial services, Inc. | Consent Order | Ricky Locklar | S07-0293 |
| CD-2009-0010 |
04/23/2009 08/12/2009 |
Starboard
Capital, Inc Starboard Alabama Investments, LLC Matthew A. Gibson Patrick M. Daleiden |
Cease &
Desist Final Order Due to no
Response. |
Randy Jones | S09-0081 |
| CO-2009-0011 |
06/10/2009 |
WACHOVIA
Securities , LLC WACHOVIA Capital markets, LLC |
Consent Order | Kim Lewis | S09-0121 |
| CO-2009-0012 | 06/04/2009 | CITIGROUP Global Markets Inc. | Consent Order | Kim Lewis | S09-0120 |
| CD-2009-0013 |
06/02/2009 07/09/2009 |
Little
River investments Thomas Vernon Warren All Respondents |
Cease &
Desist Final Order Due to not Exercising His Right for a Hearing |
Chuck James | S09-0120 |
| SC-2009-0014 | 06/10/2009 | Park Avenue Securities, LLC | Show Cause | Jerry Hankins | S08-0431 |
| CD-2009-0015 | 06/10/2009 | Castle
Consultants, LLC Christopher Scott Miller |
Cease & Desist | Jerry Hankins | S08-0431 |
| CO-2009-0016 | 06/16/2009 | Prosper Marketplace, Inc. | Consent Order | Randy Jones | S08-0122 |
| CO-2009-0017 |
06/29/2009 |
Bank of
America Securities LLC Bank of America Investment Services, Inc. |
Consent
Order |
Kim Lewis | S08-0229 |
| CD-2009-0018 |
07/13/2009 08/25/2009 |
Hawkins
international Inc. Reginald Leonard Hawkins All Respondents |
Cease &
Desist Final Order Due to no Response |
Chuck James | S09-0212 |
|
SC-2009-0019 |
07/17/2009 02/18/2010 |
Morgan
Keegan & Company James T. Ritt Morgan
Keegan & Company |
Show Cause Consent Order |
Ricky
Locklar Ricky Locklar |
S00-0093 |
| SC-2009-0020 | 07/21/2009
06/27/2017 |
Morgan Keegan and Company, Inc.
Morgan Keegan and Company, Inc. |
Show Cause
Consent Order |
Kim Lewis
Kim Lewis |
S08-0367 |
| CD-2009-0021 |
07/30/2009 04/12/2010 |
Lonnie
Howard Correll All Respondents |
Cease &
Desist Final Order Failure to Schedule Hearing |
Mike Wilkerson | S07-0384 |
| CD-2009-0022 |
08/07/2009 11/05/2014 |
Polymer
Global Holdings Inc. Imperial Rubber holdings Inc. Infinity Cross Ties Inc. Frederick Tayton Dencer Louis John Mensonides Peter George Szondy Jo Ann Burkhart All Respondents |
Cease &
Desist Final Order - Commission Decision |
Chuck James | S08-0282 |
| CO-2009-0023 | 08/18/2009 | JPMorgan Chase & Co. | Consent Order | Kim Lewis | S09-0281 |
| CD-2009-0024 |
10/07/2009 10/07/2009 |
Helping
Hands Development Inc. Deborah F Escott Lumpkin All Respondents |
Cease &
Desist Final Order: |
Mike Gantt | S09-0089 |
| CO-2009-0025 |
09/11/2009 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Consent
Order |
Kim Lewis | S09-0230 |
| CD-2009-0026 |
09/21/2009 10/28/2009 01/05/2010 |
Wintex,
Inc. Wintex Direct Winford Lee Tomerlin Vincent Dunne John Kampmeyer Wintex,
Inc. Vincent Dunne |
Cease &
Desist Final Order Due to No Response Final Order Due to No Response |
Charles Traywick | S08-0460 |
| CD-2009-0027 |
09/25/2009 11/08/2010 12/13/2010 02/02/2011 02/10/2011 08/03/2011 |
Westrock
Advisors, Inc. Kenneth A. Chapman Donald H. Hunter, Jr. Edna Choi Law Rees R. Wagner Andrew Shapiro Westrock
Advisors, Inc. Edna Choi Law Kenneth A. Chapman Rees R. Wagner Andrew Shapiro |
Cease &
Desist Final Order Due to Inadequate Response Final Order Due to No Response Final Order Due to No Response Final Order Final Order |
Tina Tell, LaShonda Moultrie Lisa Tolar |
S08-0252 |
| OD-2009-0028 | 09/28/2009 | Ascension Financial Solutions, Inc. | Order of Denial | Lisa Tolar | S09-0387 |
|
SC-2009-0029 |
10/16/2009 04/20/2010 06/16/2011 |
Prestige
Financial Center Inc. Marlon O. Cole Marlon O. Cole Marlon O. Cole |
Show Cause Order of Bar Consent Order |
Mike Gantt
|
S09-0227 |
| CO-2009-0030 | 10/19/2009 | Trubee,
Collins & Company, Inc Anthony Frandina |
Consent Order | Lashonda Moultrie | S09-0389 |
| CO-2009-0031 | 10/20/2009 | RBC Capital Markets Corporation | Consent Order | Kim Lewis | S09-0232 |
|
CD-2009-0032 |
10/23/2009 06/09/2011 |
Intraop
Medical Corporation Ronald W. Minor Intraop Medical Corporation |
Cease &
Desist Consent Order |
Randy Jones | S09-0098 |
|
CD-2009-0033
|
11/09/2009 03/31/2010 04/20/2010 03/21/2012
|
Intellimesh Systems Inc Smart Safe Cities Inc Darren Maull Inc Darren Oneal Maull Ted Geiger Ted Geiger
Intellimesh Systems Inc Darren Oneal Maull |
Cease &
Desist Final Order Due to No Response Final Order Due Provided Information was Incomplete and Inadequate. Order to Bar |
Chuck James | S09-0317 |
| CD-2009-0034 |
10/26/2009 12/11/2009 |
Dorothy of
OZ, LLC Box Office Productions III, LLC Walter F. Price All Respondents |
Cease &
Desist Final Order Due to No Response |
Charles Traywick | S09-0214 |
| CD-2009-0035 |
10/29/20009 12/21/2009 01/22/2010 |
Eagle Eye
Enterprises Jack D. Weight III Jack
D. Weight III Eagle Eye Enterprises |
Cease &
Desist Final Order Due to No Response Final Order Due to No Response |
Charles Traywick | S09-0184 |
| CO-2009-0037 | 11/05/2009 | Deutsche Bank securities Inc. | Consent Order | Kim Lewis | S09-0280 |
| CD-2009-0038 |
11/13/2009 01/06/2010 |
CBS Homes
of Alabama, LLC James Antonic All Respondents |
Cease &
Desist Final Order Due to No Response |
Randy Jones | S09-0337 |
| CO-2009-0039 | 12/01/2009 | Merrill
Lynch,Pierce, Fenner & Smith Incorporated |
Consent Order | Joseph Borg | S09-0050 |
|
CD-2009-0040 |
12/14/2009 02/09/2011 07/11/2011 |
Winsome
Investment Trust Covenant Family Trust Robert Joseph Andres Lewis Stanley Scogin All
Respondents Lewis Stanley Scogin |
Cease &
Desist Final Order Due to No Response Order of Bar |
Rossie Peters | S09-0137 |
