Administrative Actions - 2015
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Order # |
Date Issued | Respondents | Action | Contact | Case Number |
| CD-2015-0001 | 01/20/2015 10/21/2015 |
Sidewinders Corporation Richard Preston Duffield, Jr. All Respondents |
Cease and Desist Final Order |
Mike Wilkerson | S14-0163 |
| OB-2015-0002 | 02/02/2015 03/11/2015 |
Alan Scott Daniels Alan Scott Daniels |
Order to Bar Final Order- No Response |
Chuck James | S12-0237 |
| CD-2015-0003 | 02/13/2015 03/21/2017 |
Omega Pharmacueticals Herman Lance Robert C. Rudder All Respondents |
Cease and Desist Final Order - Commission Decision |
Mike Wilkerson | S13-0065 |
| CO-2015-0004 | 04/22/2015 | Sovereign Funding, LLC Calvin Leo Spurlin Teresa Haley Harriman |
Consent Order | Bobby Sharp | S13-0310 |
| CD-2015-0005 | 03/16/2015 | Bama Jam Farms, LLC Ronald E. Gilley Ryan B. Howell |
Cease and Desist | Randy Jones | S12-0156 |
| CD-2015-0007 | 04/02/2015 06/12/2015 |
Kimberly J. Dixson Scott Modern Modern Day Multimedia All Respondents |
Cease and Desist Final Order - No Response |
Chuck James | S15-0026 |
| OB-2015-0008 | 04/28/2015 06/12/2015 |
Ronald Warren Powell aka: Ronny W. Powell Tom Jones Insurance & Financial Services Group, Inc. (T.J.I.F.S.G.) All Respondents |
Order to Bar Final Order - No Response |
Chuck James | S14-0133 |
| SC-2015-0009 CO-2015-0009 |
05/06/2015 10/16/2018 |
GLS & Associates, Inc. Gregory Lee Smith GLS & Associates, Inc. Gregory Lee Smith |
Show Cause Consent Order |
Mike Gantt | S14-0127 |
| CD-2015-0010 | 06/10/2015 03/21/2017 |
Premiere Asset Management, Inc. Dominion Enterprise LLC Gerald Lawler Nicola Lawler Claude Lee Collins, Sr. Mariam A. Williams All Respondents |
Cease and Desist Final Order - Commission Decision |
Mike Wilkerson | S14-0012 |
| CD-2015-0012 | 07/14/2015 09/15/2015 |
Petron Energy II, Inc. Floyd L. Smith All Respondents |
Cease and Desist Final Order - No Response |
Rossi Peters | S14-0094 |
| CD-2015-0013 CO-2015-0013 CO-2015-0013A |
07/17/2015 12/09/2015 12/09/2015 |
Barry Hubert Bynum Estate Security Trust, Inc. Barry Hubert Bynum Estate Security Trust |
Cease and Desist Consent Order - Barred Consent Order - Barred |
Chuck James | S15-0128 |
| CO-2015-0015 | 07/28/2015 | Citigroup Global Markets, Inc. | Consent Order | Kim Lewis | S14-0080 |
| CD-2015-0016 | 08/13/2015 |
FHL, Inc. Global First, Inc. Autauga Water Bottling, Inc. Atagi, Inc. Harry James Walker Christopher Lee Yannon |
Cease and Desist |
Bobby Sharp | S13-0197 |
| CD-2015-0017 | 08/18/2015 06/27/2016 01/03/2018 |
Resource Liability Cee Gems Limited Michael Kennedy Wendee Kunzler Wendee Kunzler Resource Liability Cee Gems Limited Michael Kennedy |
Cease and Desist Final Order - No Response Final Order - No Response |
Rossi Peters Elizabeth Planer |
S14-0082 |
| CD-2015-0018 | 10/19/2015 01/11/2016 |
Smith, Campbell & Associates LLC Demetrius C. Campbell All Respondents |
Cease and Desist Final Order - No Response |
Mike Wilkerson | S15-0006 |
| CD-2015-0021 CO-2015-0021 |
10/30/2015 08/29/2016 |
Clarence "Cal" Elcan aka: Clarence Andrew Elcan Clarence "Cal" Elcan aka: Clarence Andrew Elcan |
Cease and Desist Consent Order |
Mark Mitchell | S15-0164 |
| SC-2015-0022 CO-2015-0021 |
11/02/2015 08/29/2016 |
Daniel G. Elcan Richard Mark Foster Paul D. Elcan Pamela L. Elcan Clearpoint Capital Management LLC Elcan Wealth Consulting Daniel G. Elcan Richard Mark Foster Paul D. Elcan Pamela L. Elcan Clearpoint Capital Management LLC Elcan Wealth Consulting |
Show Cause Consent Order |
Mark Mitchell | S15-0164 |
| SC-2015-0023 OV-2015-0023 |
11/05/2015 05/09/2023 |
Terry Joe Bagwell Metlife Securities Inc Pruco Securities LLC Metlife Securities Inc |
Show Cause Order to Vacate |
Randy Jones | S14-0010 |
| CD-2015-0024 |
12/14/2015 03/20/2018 |
Bryan Kevin Robinson Robinson Capital Investments, LLC All Respondents |
Cease and Desist Final Order - Barred |
Charles Traywick | S15-0105 |
| CD-2015-0025 | 12/18/2015 02/25/2016 |
Steven Clyde Reed Brown Edward Malcolm Portman Pharma-Derm Solutions, Inc Steven Clyde Reed Brown |
Cease and Desist Final Order - Failure to Respond |
Chip Harrison | S14-0206 |
