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.
2023 | 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 Final - No Response |
Syretta Baldwin | S20-0322 |
| CD-2021-0002 |
01/07/2021 08/05/2021 |
GOLDBITMINING.COM Liz Alioski All Respondents |
Cease & Desist Final - No Response |
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 CO-2022-0004 |
07/20/2021 02/18/2022 |
BlockFi Inc. |
Show Cause Order Consent Order |
Mark Mitchell Syretta Baldwin |
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 09/28/2022 |
First Class Wealth Preservation LLC Mitchel Kane Malizio, aka Mitch Malizio, Mitch Kane Jason Shaw All Respondents |
Cease & Desist Final - No Response |
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 05/17/2022 |
Acoin Trading Sir Philip Zuka All Respondents |
Cease & Desist Order Final - No Response |
Miles Faggert |
S21-0146 |
| CD-2021-0007 |
12/29/2021 03/30/2023 |
Demarcus Leon Hill All Respondants |
Cease & Desist Order Final - No Response |
Bobby Sharp |
S20-0291 |
