Administrative Actions
When there is reason to believe that a company or individuals have violated Alabama state laws or rules, the ASC will begin an investigation. Investigations sometimes result in enforcement actions (also known as "Administrative Actions"). News Release(s) for Administrative Actions can be found in our News Releases section.
2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001
Order # |
Date Issued | Respondents | Action | Contact | Case Number |
| CD-2021-0001 |
01/07/2021 02/17/2021 |
Reflect Bitcoin All Respondents |
Cease & Desist Due to No Response |
Syretta Baldwin | S20-0322 |
| CD-2021-0002 |
01/07/2021 |
GOLDBITMINING.COM Liz Alioski |
Cease & Desist |
Michael Gantt James McDowell |
S20-0356 |
| CO-2021-0004 |
04/09/2021 |
Haywood Securities (USA) Inc |
Consent Order |
Ricky Locklar |
S20-0182 |
| CO-2021-0005 |
05/17/2021 |
Cheryl B Casebere |
Consent Order |
Mark Mitchell |
S20-0065 |
| SC-2021-0006 |
07/20/2021 |
BlockFi Inc. |
Show Cause Order |
Mark Mitchell |
S21-0094 |
| CD-2021-0009 |
07/22/2021 |
TRUE BULLION, LLC D/B/A GOLD SILVER INTERNATIONAL EXCHANGE, D/B/A GSI EXCHANGE, ANTHONY ALLEN ANDERSON, DAVID TERENCE STEPHENS, JERRY LACIO |
Cease & Desist |
Elizabeth Planer |
S21-0093 |
| CO-2021-0010 |
07/30/2021 |
Gregory P. Carson |
Consent Order |
Syretta Baldwin |
S19-0074 |
| CD-2021-0011 |
08/05/2021 |
First Class Wealth Preservation Michael Kane Malizio Jason Shaw |
Cease & Desist |
Elizabeth Planer |
S21-0077 |
| SC-2021-0012 |
09/16/2021 |
Celsius Network, LLC | Show Cause Order |
Mark Mitchell |
S21-0243 |
| CD-2021-0013 |
11/17/2021 |
Acoin Trading Sir Philip Zuka | Cease & Desist Order |
Mile Faggert |
S21-0146 |
| CD-2021-0007 |
12/29/2021 |
Demarcus Leon Hill | Cease & Desist Order |
Chuck James |
S20-0291 |
