Administrative Actions - 2014
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Order # |
Date Issued | Respondents | Action | Contact | Case Number |
| CO-2014-0001 | 01/21/2014 | UBS Financial Services, INC | Consent Order | Rossie Peters | S13-0292 |
| CD-2014-0002 | 02/13/2014 04/23/2014 |
Derek Neal York All Respondents |
Cease & Desist Final Order - No Response |
Bobby Sharp | S13-0291 |
| CD-2014-0003 | 03/07/2014 09/08/2014 |
Westgate Financial Group Marcus Bell Andrea Myers Michael Larable All Respondents |
Cease & Desist Final Order - No Response |
Rossie Peters | S13-0291 |
| CD-2014-0004 | 03/12/201 03/22/2017 |
Panther Technology Inc. The Panther Group Inc. Panther Business Services Inc. Brian Christopher Ransom Deric Keane Williams All Respondents |
Cease & Desist Final Order - Commission Decision |
Chuck James | S12-0293 |
| CO-2014-0005 | 03/19/2014 |
Dominion Stock Fund, LLC James Russell McElroy, III |
Consent Order | Joseph Borg | S12-0242 |
| OB-2014-0006 | 04/10/2014 08/14/2014 |
Houston Perry Johnson, Ill All Respondents |
Order To Bar Final Order - No Response |
Chip Harrison | S11-0032 |
| CO-2014-0007 | 08/18/2014 | J.P. Morgan Securities, LLC | Consent Order | Ricky Locklar | S14-0041 |
| CD-2014-0009 | 05/23/2014 03/21/2017 |
E3 Corp Jr. N. Asimoa All Respondents |
Cease & Desist Final Order - Commission Decision |
Mike Wilkerson | S13-0127 |
| CD-2014-0010 | 05/23/2014 09/09/2014 |
Lanesborough Financial Group James F. Liebes All Respondents |
Cease & Desist Final Order - No Response |
Mike Wilkerson | S13-0264 |
| SC-2014-0011 OV-2014-0011 |
05/23/2014 11/03/14 | Stalwart Capital LLC Douglas Craig Evans Don Paul Cloud All Respondents |
Show Cause Order Vacated |
Bobby Sharp |
S12-0247 |
| CD-2014-0012 CO-2014-0012 |
07/02/2014 02/05/2016 Columbia Star Resources Group | Jesse Edmonson Alita Resources LTD Nexus Gold Corporation The Sessions Project All Respondents Cease & Desist | Final Order - Commission Decision Chuck James |
S14-0018 |
|
| CD-2014-0013 | 07/10/2014 09/08/2014 |
Equity Financial Services William H. McNeal All Respondents |
Cease & Desist Final Order - No Response |
Mike Wilkerson | S14-0039 |
| CD-2014-0014 | 07/14/2014 09/12/2014 |
Bryan Wayne Anderson All Respondents |
Cease & Desist Final Order - No Response |
Randy Jones | S14-0010 |
| CD-2014-0015 | 07/22/2014 09/12/2014 |
Jesse Morgan Hinson All Respondents |
Cease & Desist Final Order - No Response |
Rossie Peters | S14-0044 |
| CD-2014-0016 | 07/25/2014 08/25/2014 |
Keith Michael Rogers R&P Development, LLC. All Respondents |
Cease & Desist Final Order - No Response |
Mike Gantt | S14-0127 |
| CO-2014-0017 | 09/08/2014 | James Houston Sears Global Financial Private Capital, LLC |
Consent Order | Chuck James | S14-0079 |
| CD-2014-0018 | 09/10/2014 04/18/2018 |
Certus Senior Services, LLC. Oak Tree Interactive, LLC Moore5 Holdins, LLC. Douglas G. Moore, Jr. Mark S. Carter All Respondents |
Cease & Desist Final Order - Commission Decision |
Jerry Hankins Mark Mitchell |
S14-0143 |
| CD-2014-0019 | 09/10/2014 10/15/2015 |
Wilson Bowling, LLC Woodrow Wilson Bowling, Jr All Respondents |
Cease & Desist Final Order |
Mike Wilkerson | S14-0150 |
| CO-2014-0020 | 10/21/2014 | Thomas Floyd Worthy David Daniel Adams |
Consent Order | Bobby Sharp | S13-0149 |
| OB-2014-0021 | 12/03/2014 12/12/2014 |
Melissa Diana Powell Melissa Diana Powell |
Order to Bar Final Order - No Response |
Charles Traywick | S14-0159 |
| OB-2014-0022 | 12/03/2014 03/11/2015 |
William Benton Guido William Benton Guido |
Order to Bar Final Order - No Response |
Chuck James | S14-0008 |
