Administrative Actions - 2016
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Order # |
Date Issued | Respondents | Action | Case Number |
| CO-2016-0002 |
02/09/2016 |
LPL Financial LLC |
Consent Order |
S14-0013 |
| CO-2016-0003 |
03/15/2016 |
First Kentucky Securities Corporation |
Consent Order |
S16-0033 |
| CD-2016-0005 OV-2016-0005 |
05/23/2016 12/22/2017 |
INVESTINGCI.com Louis Berk Tomas Goldmark Louis Berk |
Cease and Desist Order to Vacate |
S15-0172 |
| CD-2016-0007 | 08/01/2016 03/21/2017 |
Monte Cristo Resorts International Randall Wayne Smith All Respondents |
Cease and Desist Final Order - No Response |
S16-0016 |
| CD-2016-0008 | 08/05/2016 10/06/2016 |
Gatekeeper Investment Group, LLC Enterprise World Trust, LLC David Evans Ivol R. Green James W. Strickhausen Paul G. Vesnaver Lisa Hagan Enterprise World Trust, LLC Paul Vesnaver |
Cease and Desist Final Order - No Response |
S15-0167 |
| CO-2016-0010 | 09/28/2016 |
Theodore Stanley Hudson II My Monex |
Consent Order |
S14-0031 |
| CD-2016-0011 | 12/05/2016 01/09/2017 |
Cunningham Energy LLC Ryan E. Cunningham Kevin Thibeau James Lockhart Michael Merritt Douglas Hardwick Jan Peter Bolton Michael Merritt |
Cease and Desist Final Order - No Response |
S16-0160 |
| CD-2016-0012 | 12/15/2016 01/19/2017 03/28/2017 |
Clifton Curtis Sneed MCS Consulting LLC Wendell Smith Rontese L. Miller MILBO LLC Clifton Curtis Sneed MCS Consulting LLC Wendell Smith MILBO LLC Rontese L Miller |
Cease and Desist Final Order - No Response Final Order - No Response |
S15-0155 |
