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|
Order # |
Date Issued | Respondents | Action | Contact | Case Number |
| CO-2010-0001 | 01/06/2010 | Envizions
Computer Entertainment Corporation Derrick Samuels |
Consent Order | Chuck Jones | S08-0481 |
| CO-2010-0002 | 01/07/2010 | Credit Suisse Securities (USA) LLC. | Consent Order | Kim Lewis | S09-0325 |
| CD-2010-0003 |
01/08/2010 03/19/2010 09/25/2013 |
First
Capital Trading G & G Financial Services Hallmark Management Inc. Gregory Earle Pomeroy Glenn Lavon Gillman John B. Gillman First
Capital Trading
G & G Financial Services |
Cease &
Desist Final Order Due to No Response Final Order |
S09-0008 | |
|
CD-2010-0004 |
01/08/2010 03/30/2010 |
Carina
Technology, Incorporated Magna Vista Group, Incorporated Jay W. Newkirk Peggy L. Sammon Ralph G. Petroff Carina
Technology, Incorporated |
Cease &
Desist Order to Vacate |
Jerry Hankins | S09-0320 |
| CD-2010-0005 |
01/29/2010 11/01/2010 |
Nobletrading.Com, Inc. Nobletrading.Com, Inc. |
Cease &
Desist Final Order of the Commission |
Lisa Tolar | S09-0416 |
| CD-2010-0006 |
02/01/2010 03/19/2010 05/18/2010 |
MJG
Enterprises, Incorporated Mike's Lock Club Anthony Mark Boscarino AKA Mike Brown AKA Anthony Kokas Marguerite Jeane Gerhert AKA Marguerite Boscarino Ronald N. Davenport
Ronald N. Davenport MJG
Enterprises, Incorporated |
Cease &
Desist Final Order Due to No Response Final Order Due to No Response |
Jerry Hankins | S09-0138 |
| CO-2010-0007 | 02/10/2010 | Morgan
Stanley & Co. Incorporated (CD #8209) |
Consent Order | Kim Lewis | S10-0051 |
|
CD-2010-0008 |
02/18/2010 11/01/2010 03/07/2011
|
Tix Ranch
Well #1 Joint Venture North American Drilling Corp Larry M. Koonce Michael Suarez Derek Castleberry Harley Garvin Jerry Zepeda Matthew Nerbonne Harley
Garvin Michael Suarez |
Cease &
Desist Final Order Failure to Schedule Informal Hearing
Final Order Due to No Response. |
Mike Wilkerson | S09-0466 |
| OB-2010-0009 | 02/23/2010 | Steven A. Cantor | Order to Bar | Kim Lewis | S07-0482 |
| CD-2010-0010 |
03/01/2010 03/30/2010 |
Joseph
Neville Wier All Respondents |
Cease &
Desist Final Order Due to no Response |
Chip Harrison | S09-0492 |
|
CD-2010-0011 |
03/01/2010 11/27/2012 10/27/2010 |
Tri-Crescent Energy Corp William Joseph Hill Bradley Burns William Joseph Hill Tri-Crescent Energy Corp |
Cease &
Desist Consent Order Final Order Due to No Response |
Mike Gantt | S10-0010 |
|
CD-2010-0012 |
03/02/2010 08/02/2010 |
Capital
Management Advisors Inc. Consolidated Capital Mgmt Teddy Joe Propes Tommie Jacob Goggans Capital
Management Advisors Inc. |
Cease &
Desist Consent Order |
Mike Gantt | S08-0380 |
|
CD-2010-0013 |
03/03/2010 11/14/2011 |
Gulf Coast
Western LLC. Charles Reed Cagle Matthew Harris Fleeger Daniel Lamontagne Gulf Coast
Western LLC. |
Cease &
Desist Order to Vacate |
Mike Gantt | S09-0263 |
|
OR-2010-0014
|
03/05/2010 10/21/2010 |
Timothy M.
Gautney Timothy M. Gautney |
Order to
Revoke Final Order By Commission Decision |
Mike Wilkerson | S03-0008 |
| CO-2010-0015 | 03/08/2010 | American General Securities Incorporated | Consent Order | Chip Harrison | S05-0282 |
|
SC-2010-0016 |
04/07/2010 06/22/2011 10/07/2011 |
Morgan
Asset Management, Inc. MK Holding, Inc. Morgan Keegan & Company, Inc. Regions Financial Corporation James C. Kelsoe, Jr. Brian B. Sullivan Gary S. Stringer Michele F. Wood Morgan Asset
Management, Inc. Brian B. Sullivan |
Show Cause
Order Consent Order Order to Vacate |
Mike Gantt | S08-0056 |
| CD-2010-0017 |
04/06/2010 06/29/2010 |
Heritage
Diamond Joint Venture Heritage Capital Partners Funds LLC Brent J Anderson James P McKeon All Respondents |
Cease &
Desist Final Order - No Response |
Rossie Peters | S09-0437 |
| SC-2010-0018 | 04/06/2010 | Jefferson
Capital Partners, LLC Kevin Lee Jefferson |
Show Cause Order | Charles Traywick | S08-0337 |
| OD-2010-0019 | 04/16/2010 | Justice
Management Team John Charles Justice |
Order of Denial | Tina Tell | S10-0100 |
| CD-2010-0020 |
04/19/2010 06/18/2010 |
Sure Line
Acceptance Corporation Faithful Stewards, Incorporated James W. Kirk Glen E. Smith, Jr. Thom Kimmel Faithful Stewards, Incorporated |
Cease &
Desist Final Order Due to No Response |
Jerry Hankins | S09-0222 |
| CD-2010-0021 |
04/28/2010 04/12/2011 |
Berkshire
Resource LLC Berkshire (40L) LLP Berkshire 2006-05 LLP Jason T Rose Michael Wood Byron Hogan Bruce Fox All Respondents |
Cease &
Desist Final Order |
Rossi Peters | S08-0422 |
| CO-2010-0022 | 05/14/2010 | Corporate Property Associates 15 Inc. | Consent Order | Mike Wilkerson | S08-0421 |
| CO-2010-0024 | 05/13/2010 | Stifel, Nicolaus & Company, Incorporated | Consent Order | Kim Lewis | S10-0111 |
|
CD-2010-0025 |
06/03/2010 09/01/2010 07/03/2012 |
Oklahoma
Force Pool Joint Venture #3 BluePac Management LLC Stanley Rose Jeff Quiane Jeff Quiane Oklahoma
Force Pool Joint Venture #3 |
Cease &
Desist Final Order Due to No Response Consent Order |
M Wilkerson | S10-0012 |
|
OB-2010-0026
|
06/14/2010 07/26/2010 |
Chang Liu
Levy Chang Liu Levy |
Order to
Bar Final Order Due to No Response |
Randy Jones | S10-0072 |
| CD-2010-0027 |
06/14/2010 10/04/2016 |
HP
Technology, Inc Kevin David Palm Kevin David Palm |
Cease &
Desist Final Order Due to No Response |
Charles Traywick | S08-0417 |
| CD-2010-0030 |
06/15/2010 02/08/2016 |
USA
Marketing Group Elite Marketing Edward Lincoln Forehand Ashley Murcko All Respondents |
Cease &
Desist Final Order - Commission Decision |
Chuck James | S09-0469 |
|
CD-2010-0031 |
06/28/2010 07/07/2010 02/07/2012 |
BCL, LLC Frank B Poticny CPMG, Inc Sanctus Partners Limited Partnership CPMG, Inc
BCL, LLC |
Cease &
Desist Order to Vacate Consent Order |
Randy
Jones
|
S09-0189 |
| CO-2010-0033 | 06/21/2010 | UBS
Securities, LLC UBS Financial Services Inc. |
Consent Order | Kim Lewis | S08-0179 |
| CO-2010-0034 | 06/21/2010 | Goldman, Sachs & Co | Consent Order | Kim Lewis | S10-0208 |
| CD-2010-0035 |
06/22/2010 05/07/2014 |
Infraegis,
Inc Gregory E Webb C Robert Abbott James R Zilka All Respondents |
Cease &
Desist Final Order - Failure to Respond |
Rossie Peters | S09-0360 |
|
CD-2010-0036 |
07/01/2010 10/04/2010 |
GIGAPIX
Studios, Inc Christopher J. Blauvelt GIGAPIX
Studios, Inc |
Cease &
Desist Consent Order |
Randy
Jones Randy Jones |
S10-0045 |
| SC-2010-0037 |
07/09/2010 10/12/2010 11/02/2010 |
Jesup &
Lamont Securities Corp. Jesup & Lamont Securities Corp. Jesup & Lamont Securities Corp. |
Show Cause
Order Suspension Order Final Order of Revocation |
Lisa Tolar | S10-0274 |
| CO-2010-0038 | 07/12/2010 | TD Ameritrade, Inc. | Consent Order | Kim Lewis | S09-0093 |
| CD-2010-0042 |
08/16/2010 12/21/2010 |
Thomas
Washington Campbell, III TCA Investment Group, LTD All Respondents |
Cease &
Desist Final Order Due to No Response |
Chip Harrison | S09-0448 |
|
CD-2010-0043 |
08/17/2010 12-30-2010 |
Xcelplus
Global Holdings Inc John Michael Parsons Henry Harrison Parrish Clean
Energy Pathways, Inc. (formerly named) |
Cease &
Desist Consent Order |
Chuck James | S10-0081 |
| CD-2010-0044 |
08/18/2010 11/02/2010 |
Maxiflex,
Limited Liability Corporation Maxiflex Distribution Company, Limited Liability Corporation Maxifles Southeastern Distribution Company Limited Liability Corporation Gary Ventrella All Respondents |
Cease &
Desist Final Order Due to No Response |
Jerry Hankins | S10-0200 |
| SC-2010-0045 |
08/19/2010 02/08/2011 |
Mona
Kilgore Wooten Mona Kilgore Wooten |
Show Cause Consent Order |
Jerry Hankins | S08-0024 |
| CD-2010-0046 |
08/23/2010 10/17/2012 |
Loma Novia
Joint Venture Bayside Petroleum Company Inc Gordon H. Johnson George C. Burrell James T. Ling Janet Cunningham John L. Griffiths Jr. Sam E. Nicholson Mike Fisher All Respondents |
Cease &
Desist Final Order |
Chuck James | S10-0099 |
| CD-2010-0047 |
08/24/2010 04/15/2011 06/01/2011 |
Gully/Riley Project Energy Exploration Inc. Scott Pike Peacock Jack Lee Markwell
Gully/Riley Project Scott Pike Peacock |
Cease &
Desist Final Order Final Order Due to No Response |
Chuck James | S10-0011 |
| CD-2010-0048 |
08/24/2010 10/04/2010 |
Fusion
Energy, LLC Red Ruby #2 Joint Venture William Scott Court Pat Hughes All Respondents |
Cease &
Desist Final Order Due to No Response |
Charles Traywick | S20-0289 |
| SC-2010-0049 |
08/26/2010 08/02/2011 |
Cheryl
Phillips Brewer Cheryl Phillips Brewer |
Show Cause Consent Order |
Jerry Hankins | S09-0341 |
| CD-2010-0051 |
10/18/2010 01/11/2011 |
Cort
Petroleum RSLBEE, LLC NW Premont, L.P. Richard Waskom Todd Selke All Respondents |
Cease &
Desist Final Order Due to No Response |
Randy Jones | S10-0164 |
|
CD-2010-0052 |
10/25/2010 01/21/2011 |
Rodney
Howard Lankford LA Cortez Energy, Inc. Lighthouse Capital Corp C & L Associates, LLC Lighthouse Capital Corp |
Cease &
Desist Order to Vacate |
Kim Lewis | S10-0320 |
|
CD-2010-0053 |
10/25/2010 02/10/2011 12/13/2010 |
Universal
Wood Products, LLC Century Lumber and Land, LLC Milton Timber, LLC James Leonard Craft Glenn Lavon Gillman Universal
Wood Products, LLC Universal
Wood Products, LLC |
Cease &
Desist Cease & Desist Final Order |
Jerry Hankins | S10-0313 |
| CO-2010-0055 | 11/09/2010 | Wells Fargo Investments, LLC | Consent Order | Kim Lewis | S08-0538 |
| CD-2010-0056 |
11/22/2010 02/02/2018 |
U.S.
Emerald GP, LLP U.S. Emerald Energy Company, L.P. Old Town Bay Joint Venture Michael L. F. Slavin All Respondents |
Cease & Desist Final Order - Commission Decision |
Chip Harrison | S10-0215 |
| CD-2012-0058 |
11/23/2010 11/07/2012 |
Freaky
Deaky Limited Partnership Freaky Deaky Movie LLC Freaky Deaky Partners LLC Final Cut Productions Inc Steven M Berez Ross Angel Delitha Floyd All Respondents |
Cease &
Desist Final Order Due to No Response |
Jerry Hankins | S10-0293 |
|
SC-2010-0059 |
12/14/2010 04/08/2011 04/27/2011
07/11/2011 07/11/2011 07/11/2011 08/02/2011 09/28/2011 10/31/2011 06/12/2012 05/21/2012 03/05/2013 |
First
Legacy Investors Inc Reliance Securities LLC First Legacy Securities LLC Henry E. Walker Ronald Wayne Lankford Charles Thomas Cammack Jr. Paul Clayton Conner Steve Jeffrey Cummings Rita Michelle Farmer Jeremy Shane Hay Jason Tilton Latham Melinda Cook McCullough William Slay Stevens Darryl Richard Wilson Paul
Clayton Conner Rita Michelle Farmer
Jeremy Shane Hay Melinda McCullough Darryl Wilson Ronald Wayne Lankford William Slay Stevens Steve Jeffrey Cummings Charles Thomas Cammack Jr Henry E. Walker Jason Tilton Latham |
Show Cause
Limited Consent Order Order to Vacate LimitedCLimited Consent Order Limited Consent Order Limited Consent Order Limited Consent Order Limited Consent Order Limited Consent Order Limited Consent Order Order to Bar Limited Consent Order |
Mike Wilkerson | S10-0068 |
| CD-2010-0060 |
12/14/2010 03/22/2017 |
Jack
Melvin Glover Jr. Jack Melvin Glover Jr. |
Cease &
Desist Final Order - Commision Decision |
Mike Wilkerson | S10-0290 |
| CD-2010-0061 |
12/14/2010 11/07/2011 |
USA Meats,
Inc. Carl Douglas Smedley All Respondents |
Cease &
Desist Final Order Due to No Response |
Randy Jones | S10-0171 |
| CD-2010-0062 |
12/25/2010 04/09/2015 |
Medical
Connections Holdings Inc. Anthony Nicolosi All Respondents |
Cease &
Desist Final Order |
Mike Gantt | S10-0093 |
| CD-2010-0064 |
12/21/2010 03/28/2011 |
City
Capital Corporation Ephren W. Taylor Jr. Kinetra Dixon City Petroleum, LLC City Laundry Services, LLC All Respondents |
Cease &
Desist Final Order |
Mike Gantt | S10-0214 |
