Back to Administrative Actions
| Title | Case No. | Date | Respondents | Actions | Link | hf:doc_tags |
|---|---|---|---|---|---|---|
| CO-2026-0001 | S20-0187 | January 20, 2026 | John William Gray | Consent Order | consent-order | |
| CO-2025-0033 | S23-0056 | December 18, 2025 | RBC CAPITAL MARKETS, LLC | Consent Order | consent-order | |
| CO-2025-0032 | S23-0056 | December 8, 2025 | TD AMERITRADE, INC. | Investment Advisor, Stock, Broker-Dealer | investment-advisor stock broker-dealer | |
| CD-2025-0030 | S25-0046 | November 18, 2025 | BOSSPAGE, LLC | Cease & Desist | cease-desist | |
| CO-2025-0029 | S23-0056 | November 17, 2025 | EDWARD D. JONES & CO., L.P. | Consent Order | consent-order | |
| CO-2025-0028 | S23-0056 | November 10, 2025 | LPL Financial LLC | Investment Advisor, Stock, Broker-Dealer | investment-advisor stock broker-dealer | |
| CO-2025-0027 | S23-0056 | October 30, 2025 | STIFEL, NICOLAUS & CO., INC | Investment Advisor, Stock, Broker-Dealer | investment-advisor stock broker-dealer | |
| CO-2025-0026 | S20-0187 | October 3, 2025 | Christopher King Brenner | Promissory Notes | promissory-notes | |
| CD-2025-0024 | S24-0298 | August 18, 2025 | ROBOTRADERS a/k/a 10/01/2025 – Final – No Response | Pig Butchering | pig-butchering | |
| CO-2025-0017 | S23-0056 | August 13, 2025 | RAYMOND JAMES & ASSOCIATES, INC. | Consent Order | consent-order | |
| CD-2025-0023 | S24-0244 | August 1, 2025 | WARRIOR EQUITY GROUP LLC, a/k/a WARRIOREQUITY.COM | Cease & Desist | cease-desist | |
| CD-2025-0022 | S24-0144 | July 29, 2025 | ZACK ELON KILLCREAS | Cease & Desist | cease-desist | |
| CO-2025-0021 | S22-0143 | June 10, 2025 | VANGUARD MARKETING CORPORATION | Mutual Funds | mutual-funds | |
| CD-2025-0020 | S25-0081 | June 17, 2025 | SCZESW.COM 08/11/2025 – Final – No Response | Cryptocurrency | cryptocurrency | |
| CD-2025-0016 | S23-0047 | May 15, 2025 | NuID, INC. | Cease & Desist | cease-desist | |
| CD-2025-0015 | S23-0099 | May 15, 2025 | THE CHEETAH FUND L.P. 07/29/2025 – Final – No Response | Cease & Desist | cease-desist | |
| CO-2025-0014 | S25-0188 | May 7, 2025 | K-WM LLC D/B/A 11 FINANCIAL | Investment Advisor, Consent Order | investment-advisor consent-order | |
| CO-2023-0009 | S22-0155 | April 23, 2025 | COINBASE GLOBAL, INC. | Consent Order | consent-order | |
| CD-2025-0013 | S23-0073 | April 19, 2025 | DBEXKYC.COM 07/10/2025 – Final – No response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CD-2025-0012 | S24-0528 | April 19, 2025 | TFEXC.COM 07/29/2025 – Final – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CD-2025-0011 | S25-0082 | April 19, 2025 | SMARTLNL.COM | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CD-2025-0010 | S25-0138 | April 19, 2025 | KFF.991KA.COM | Cryptocurrency, Pig Butchering, Cease & Desist | cryptocurrency pig-butchering cease-desist | |
| CD-2025-0009 | S23-0136 | April 7, 2025 | Eddy Petion | Cease & Desist | cease-desist | |
| CD-2025-0008 | S24-0349 | March 30, 2025 | COMMAEX.COM 05/20/2025 – All Respondents – Final – No Response
| Cryptocurrency, Cease & Desist, Pig Butchering | cryptocurrency cease-desist pig-butchering | |
| CD-2025-0007 | S24-0145 | March 30, 2025 | WWW.PROBITUS.US | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CD-2025-0006 | S24-0453 | March 30, 2025 | GLOBALSMARTCORE.COM 05/20/25 – Final – No response | Cryptocurrency, Cease & Desist, Imposter Scam | cryptocurrency cease-desist imposter-scam | |
| CD-2025-0005 | S24-0515 | March 30, 2025 | TRADEXNATIONLIMITED.COM | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CD-2025-0004 | S24-0418 | March 30, 2025 | BITSTENTRADECOM | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CO-2025-0003 | S21-0132 | March 30, 2025 | THOMAS MATTHEW MITCHAM | Consent Order | consent-order | |
| CO-2024-0010A | S24-0118 | March 17, 2025 | SIGUE CORPORATION | Money Transmitter, Settlement, Consent Order | money-transmitter settlement consent-order | |
| CD-2025-0002 | S24-0162 | January 30, 2025 | FIDE INVESTMENTS 04/04/2025 – All Respondents – Final – No Response | Cease & Desist | cease-desist | |
| CO-2025-0001 | S25-0021 | January 15, 2025 | BLOCK, INC. | Consent Order | consent-order | |
| CA-2024-0032 | S18-0073 | December 20, 2024 | EDWARD D JONES & CO., L.P. | Consent Order, Mutual Funds | consent-order mutual-funds | |
| CD-2024-0030 | S22-0181 | December 4, 2024 | HTRIN.COM 01/17/2025 – Final – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2024-0029 | S23-0300 | November 27, 2024 | MICHAEL SHAWN CLEMMONS 07/29/2025 – Final – No Response | Cease & Desist | cease-desist | |
| CD-2024-0023 | S24-0261 | November 21, 2024 | WWW.OKDAXXAP.COM 01/17/2025 – Final – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2024-0027 | S24-0182 | November 21, 2024 | WWW.MEXC-COIN.NET 01/17/2025 – Final – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2024-0026 | S24-0121 | November 21, 2024 | WWW.BITSSCOIN.COM 01/17/2025 – Final – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2024-0024 | S24-0185 | November 21, 2024 | Trustedpos.Co 01/17/2025 – Final – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2024-0028 | S21-0059 | November 21, 2024 | Mile High Bioscience LLC 01/17/2025 – All Respondents – Final – No Response | Cease & Desist | cease-desist | |
| CD-2024-0021 | S24-0237 | November 20, 2024 | ENCOUNTER INVESTMENT MANAGEMENT 01/14/2025 – Final – No Response | Cease & Desist, Pig Butchering | cease-desist pig-butchering | |
| CO-2024-0022 | S24-0068 | November 20, 2024 | BLOCKCHAIN TECHNOLOGY MACHINES, INC., d/b/a ROCKET BTM | Consent Order, Money Transmitter | consent-order money-transmitter | |
| CD-2024-0020 | S24-0260 | November 20, 2024 | GLOBAL-TINV 01/14/2025 – Final – No Response | Cease & Desist, Pig Butchering | cease-desist pig-butchering | |
| CO-2024-0025 | S22-0250 | October 7, 2024 | Nicholas Elkhoury | Consent Order | consent-order | |
| CO-2023-0010A | S21-0277 | October 1, 2024 | PLUTUS FINANCIAL, INC, DBA ABRA | Consent Order, Money Transmitter | consent-order money-transmitter | |
| OD-2024-0018 | S24-0337 | August 28, 2024 | BITGET TECHNOLOGY GROUP LTD | Money Transmitter | money-transmitter | |
| CO-2024-0017 | S23-0297 | August 27, 2024 | BRENDON JACKSON JONES | Consent Order | consent-order | |
| OB-2024-0016 | S24-0223 | August 5, 2024 | CODY CHASE COFFEY | Order to Bar | order-of-bar | |
| CO-2024-0015 | S24-0286 | August 2, 2024 | YOUNG AMERICA CAPITAL, LLC | Consent Order | consent-order | |
| CO-2024-0014 | S23-0297 | July 29, 2024 | ATHONY DEWAYNE CURTIS | Consent Order | consent-order | |
| CO-2024-0013 | S23-0216 | June 13, 2024 | NANCY BARRON & ASSOCIATES, INC | Consent Order | consent-order | |
| CO-2023-0010 | S21-0277 | May 30, 2024 | PLUTUS FINANCIAL, INC., DBA ABRA | Cryptocurrency, Consent Order | cryptocurrency consent-order | |
| CO-2022-0006 | S21-0264 | May 22, 2024 | VOYAGER DIGITAL, LTD | Cryptocurrency, Consent Order | cryptocurrency consent-order | |
| OB-2024-0011 | S21-0297 | May 17, 2024 | KEVIN MARSHALL MCCALLUM 07/01/2024 – Final – No Response | Order to Bar | order-of-bar | |
| CO-2021-0012 | CELSIUS NETWORK … | May 8, 2024 | CELSIUS NETWORK LLC | Cryptocurrency, Consent Order | cryptocurrency consent-order | |
| CO-2024-0010 | S24-0118 | March 21, 2024 | SIGUE CORPORATION See CO-2024-0010A for Settlement | Consent Order | consent-order | |
| CD-2024-0009 | S23-0241 | March 1, 2024 | FALCOSXST.VIP aka COINFALCON | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2024-0008 | S19-0115 | February 28, 2024 | WALLACE C. GOE 04/25/2025 – Final – No Response | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CO-2024-0007 | S23-0362 | February 21, 2024 | BYTE FEDERAL, INC. | Consent Order | consent-order | |
| CO-2024-0005 | S21-0276 | February 9, 2024 | TRADESTATION CRYPTO, INC | Consent Order | consent-order | |
| CO-2024-0006 | S23-0363 | February 8, 2024 | PRIMEPAY, LLC | Consent Order | consent-order | |
| CD-2024-0004 | S23-0200 | January 19, 2024 | COIN-CAPTIALINVESTMENT.COM 05/17/2024 – Final – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CD-2024-0003 | S23-0005 | January 19, 2024 | WWW.MINE-I.COM 05/17/2024 – All Respondents – Final – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CO-2024-0002 | S23-0361 | January 16, 2024 | ATHENA BITCOIN, INC., | Final Order | final-order | |
| CD-2024-0001 | S23-0058 | January 8, 2024 | STAREKCO.COM 07/01/2024 – All Respondents – Final – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CO-2023-0026 | S23-0334 | December 26, 2023 | KRONOS SAASHR, INC. | Consent Order | consent-order | |
| CD-2023-0025 | S23-0274 | December 20, 2023 | AGRIDIME, LLC. | Cease & Desist | cease-desist | |
| CO-2023-0024 | S23-0360 | December 14, 2023 | ASURE OPERATIONS, INC. | Consent Order | consent-order | |
| CO-2023-0022 | S23-0333 | November 29, 2023 | LSGT SERVICES LLC | Consent Order | consent-order | |
| CD-2023-0021 | S23-0275 | November 16, 2023 | GS PARTNERS GLOBAL | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| OB-2023-0020 | S21-0203 | November 1, 2023 | JEFFREY IKAHN | Order to Bar, Commodities | order-of-bar commodities | |
| CO-2023-0019 | S23-0318 | October 27, 2023 | ACI WORLDWIDE CORPORATON | Consent Order | consent-order | |
| CO-2022-0003 | S21-0073 | October 24, 2023 | GOGGANS GROUP, INC. | Consent Order | consent-order | |
| CD-2023-0016 | S23-0105 | September 18, 2023 | CREATIVE LEGAL FUNDINGS IN CA 03/29/2024 – All Respondents – Final – No Response | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CO-2021-0009 | S21-0093 | September 8, 2023 | TRUE BULLION, LLC | Consent Order | consent-order | |
| CD-2023-0012 | S22-0185 | August 1, 2023 | BLACKSTONESMAX.COM 12/04/2023 – All Respondents – Final – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2023-0011 | S22-0187 | July 6, 2023 | WWW.BATCIPE.VIP 05/16/2024 – All Respondents – Final – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| SC-2023-0010 | S21-0277 | June 15, 2023 | PLUTUS FINANCIAL, INC DBA ABRA | Show Cause | show-cause | |
| SC-2023-0009 | S22-0155 | June 6, 2023 | COINBASE GLOBAL, INC. | Show Cause | show-cause | |
| OV-2015-0023 | S14-0010 | May 9, 2023 | Metlife Securities Inc | Order to Vacate | order-to-vacate | |
| CD-2023-0008 | S23-0125 | May 3, 2023 | HORATIU CHARLIE CARAGACEANU 12/26/2023 – All Respondents – Final – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2023-0007 | S22-0146 | April 12, 2023 | COINS-MINE.XYZ 09/28/2023 – All Respondents – Final – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2023-0006 | S23-0094 | April 4, 2023 | YIELDTRUST.AI 05/19/2023 – Final – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CO-2023-0005 | S21-0029 | March 1, 2023 | ROBINHOOD FINANCIAL, LLC | Consent Order | consent-order | |
| CD-2023-0004 | S22-0021 | January 30, 2023 | ANOLA.IO 06/13/2023 – All Respondents – Final – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CO-2023-0003 | S21-0147 | January 26, 2023 | NEXO CAPITAL, INC. | Consent Order | consent-order | |
| CD-2023-0002 | S22-0238 | January 26, 2023 | WWW.CRYPTDBS.COM 05/09/2023 – All Respondents – Final – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CO-2023-0001 | S22-0085 | January 2, 2023 | CSG FORTE PAYMENTS, INC. | Consent Order | consent-order | |
| CO-2022-0027 | S22-0245 | December 29, 2022 | WEST REALM SHIRES SERVICES INC. | Consent Order | consent-order | |
| CD-2022-0026 | S22-0131 | December 14, 2022 | SPIKECAPITALPROFIT.COM & 03/30/2023 – All Respondents – Final – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| OB-2022-0025 | S19-0227 | October 21, 2022 | ROBERT SCOTT WILDER | Order to Bar | order-of-bar | |
| CD-2022-0019 | S22-0103 | October 20, 2022 | SLOTIE NFT 5/23/2023 – Final – Respondent Consent | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2019-0011_Final | S18-0216 | October 4, 2022 | 10/04/2022 – All Respondents – Final Order – No Response | Cease & Desist | cease-desist | |
| OV-2020-0018 | S20-0060 | September 29, 2022 | Alfredo Gonzalez | Order to Vacate | order-to-vacate | |
| OB-2022-0024 | S20-0055 | September 28, 2022 | Jared Dean Eakes 3/04/2023 – All Respondents – Final – No Response | Promissory Notes, Order to Bar | promissory-notes order-of-bar | |
| OB-2022-0023 | S20-0055 | September 28, 2022 | JAMES BLAKE DAUGHTRY 11/17/2022 – All Respondents – Final – No Response | Promissory Notes, Order to Bar | promissory-notes order-of-bar | |
| CD-2022-0022 | S22-0067 | September 28, 2022 | CRYPTOSPOTTRADE.COM 06/23/2023 – All Respondents – Final – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| OB-2022-0021 | S20-0082 | September 27, 2022 | ELTON NORMAN | Order to Bar | order-of-bar | |
| CD-2022-0020 | S21-0134 | September 16, 2022 | PETER TEDWYNN FALKNER 11/29/2023 – All Respondents – Final – No Response | Cease & Desist | cease-desist | |
| CO-2022-0018 | S22-0137 | August 12, 2022 | DIGITAL ACCESS, LLC | Consent Order | consent-order | |
| CD-2022-0017 | S22-0076 | August 5, 2022 | H5.MADRIDIQH.COM 11/01/2022 – All Respondents – Final – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2022-0016 | S22-0107 | August 5, 2022 | BYBITEXCOIN.COM 02/01/2023 – All Respondents – Final – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CO-2018-0002 | S18-0042 | July 12, 2022 | 07/12/2022 – All Respondents – Final Order – No Response | Consent Order | consent-order | |
| CD-2022-0015 | S22-0049 | June 27, 2022 | POWERFXMARKET 11/01/2022 – All Respondents – Final – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2022-0014 | S22-0048 | June 27, 2022 | STOCKINVESTMENTFX 11/01/2022 – All Respondents – Final – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2022-0013 | S22-0002 | June 27, 2022 | ETORO.ZONE 11/01/2022 – All Respondents – Final – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CD-2022-0012 | S21-0136 | June 1, 2022 | BANNER CO-OP, INC 11/01/2022 – All Respondents – Final – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CD-2022-0011 | S22-0068 | May 11, 2022 | FLAMINGO CASINO CLUB 11/01/2022 – All Respondents – Final – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CO-2022-0010 | S22-0007 | April 27, 2022 | NFN8 GROUP | Stipulation Agreement | stipulation-agreement | |
| CO-2022-0009 | S22-0077 | April 18, 2022 | GUSTO, INC | Consent Order | consent-order | |
| CD-2022-0008 | S22-0070 | April 13, 2022 | SAND VEGAS CASINO 11/01/2022 – All Respondents – Final – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| SC-2022-0006 | S21-0264 | March 29, 2022 | VOYAGER DIGITAL LTD | Show Cause | show-cause | |
| OB-2022-0007 | S21-0207 | March 29, 2022 | MARIO E RIVERO, JR 08/25/2022 – All Respondents – Final – No Response | Order to Bar | order-of-bar | |
| CD-2022-0005 | S21-0330 | March 23, 2022 | WAP.PBPB.VIP 05/17/2022 – All Respondents – Final – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CO-2022-0004 | S21-0094 | February 18, 2022 | BLOCKFI LENDING LLC | Consent Order | consent-order | |
| CD-2022-0003 | S21-0073 | February 17, 2022 | GOGGANS GROUP, INC | Show Cause | show-cause | |
| CD-2022-0002 | S21-0271 | February 17, 2022 | CRESTSMARKET 05/17/2022 – All Respondents – Final – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2022-0001 | S21-0202 | February 8, 2022 | JOEL WILLIAMS 04/20/2022 – All Respondents – Final – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2021-0013 | S21-0146 | November 7, 2021 | Acoin Trading 05/17/2022 – All Respondents – Final – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| SC-2021-0012 | S21-0243 | September 16, 2021 | Celsius Network, LLC | Show Cause | show-cause | |
| CD-2021-0011 | S21-0077 | August 5, 2021 | First Class Wealth Preservation LLC 09/28/2022 – All Respondents – Final – No Response | Cease & Desist, Commodities | cease-desist commodities | |
| CO-2021-0010 | S19-0074 | July 30, 2021 | Gregory P. Carson | Consent Order | consent-order | |
| CD-2021-0009 | S21-0093 | July 22, 2021 | TRUE BULLION, LLC 09/10/2024 – Final due to CO-2021-0009 issued 9/8/2023 | Cease & Desist, Commodities | cease-desist commodities | |
| SC-2021-0006 | S21-0094 | July 20, 2021 | BlockFi Inc. | Cease & Desist, Show Cause | cease-desist show-cause | |
| CO-2014-0012 | S14-0018 | June 22, 2021 | 06/22/2021 – Jesse Edmondson – Consent Order | Imposter Scam, Commodities, Consent Order | imposter-scam commodities consent-order | |
| CO-2021-0005 | S20-0065 | May 17, 2021 | Cheryl B Casebere | Consent Order | consent-order | |
| CO-2021-0004 | S20-0182 | April 9, 2021 | Haywood Securities (USA) Inc | Consent Order | consent-order | |
| CD-2021-0002 | S20-0356 | January 7, 2021 | GOLDBITMINING.COM 08/05/2021 – All Respondents – Final – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CD-2021-0001 | S20-0322 | January 7, 2021 | Reflect Bitcoin 02/17/2021 – All Respondents – Final – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CD-2020-0022 | S20-0344 | December 21, 2020 | ASIC BITPRO 02/01/2021 – All Respondents – Final – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CD-2020-0021 | S20-0337 | December 16, 2020 | Ronald Scott 08/04/2021 – All Respondents – Final – No Response | Cease & Desist | cease-desist | |
| CD-2020-0020 | S20-0040 | December 15, 2020 | Genesis E&P, Inc 03/22/2022 – All Respondents – Final – No Response | Commodities, Cease & Desist | commodities cease-desist | |
| CD-2020-0019 | S20-0242 | December 15, 2020 | CRYPTOBRAVOS 02/17/2021 – All Respondents – Final – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CD-2020-0018 | S20-0060 | December 15, 2020 | Aschere Energy LLC 06/14/2021 – All Respondents – Final – No Response | Cease & Desist, Commodities | cease-desist commodities | |
| CD-2020-0017 | S18-0200 | December 14, 2020 | Queensway Capital Corporation | Cease & Desist | cease-desist | |
| CD-2020-0016 | S20-0225 | August 31, 2020 | ASIC BITPRO 02/01/2021 – All Respondents – Final – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2020-0015 | S20-0192 | August 21, 2020 | CORONABILLIONAIRE 12/17/2020 – All Respondents – Final – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2020-0014 | S20-0212 | August 14, 2020 | Liquid Gold Trust 12/11/2020 – All Respondents – Final – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CO-2019-0016 | S19-0062 | June 30, 2020 | Black Tie Investments | Consent Order | consent-order | |
| CD-2020-0013 | S19-0245 | June 25, 2020 | Harbor City Capital Corp 08/07/2020 – Harbor City Capital Corp | Cease & Desist | cease-desist | |
| CD-2020-0012 | S20-0138 | June 19, 2020 | CORONAFEVERINVEST 12/17/2020 – All Respondents – Final – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CO-2020-0011 | S20-0147 | June 9, 2020 | Capital City Securities LLC | Consent Order | consent-order | |
| CD-2020-0010 | S20-0130 | June 4, 2020 | SwiftTradings | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2020-0009 | S20-0125 | May 21, 2020 | Johnnie Dancy | Cease & Desist | cease-desist | |
| CD-2020-0008 | S20-0123 | May 20, 2020 | Mark Baxter 11/03/2022 – All Respondents – Final – No Response | Cease & Desist | cease-desist | |
| CD-2020-0007 | S20-0074 | April 8, 2020 | Ultra BTC Mining LLC 04/08/2020 – All Respondents – Final Due To Commission Decision | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CO-2018-0021 | S18-0136 | March 31, 2020 | Everlight Financial, Inc. | Consent Order | consent-order | |
| CD-2020-0006 | S20-0007 | March 30, 2020 | Belecy Financing Institute 12/11/2020 – All Respondents – Final – No Response | Cease & Desist | cease-desist | |
| CD-2020-0005 | S19-0244 | March 26, 2020 | Hurt Coleman 12/17/2020 – All Respondents – Final – No Response | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CO-2020-0001 | S19-0251 | January 3, 2020 | Solium Financial Services, LLC | Consent Order | consent-order | |
| CD-2019-0037 | S19-0094 | November 20, 2019 | Paschel Productions, LLC 03/17/2025 – All Respondents – Final Order – No Response | Cease & Desist | cease-desist | |
| CO-2019-0035 | S18-0174 | October 18, 2019 | Prominence Homes, LLC | Consent Order | consent-order | |
| CD-2019-0034 | S19-0241 | October 18, 2019 | Robert Joseph Ritch 01/06/2020 – All Respondents – Final Order – Request for Informal Hearing Withdrawn | Cease & Desist | cease-desist | |
| CD-2019-0031 | S19-0193 | October 9, 2019 | 24 TradeCharts 07/01/2020 – All Respondents – Final Order – No Response | Commodities, Cryptocurrency, Cease & Desist | commodities cryptocurrency cease-desist | |
| CD-2019-0030 | S19-0096 | October 1, 2019 | Weygo Holdings, Inc. 12/19/2019 – All Respondents – Final Order – No Response | Cease & Desist | cease-desist | |
| CD-2019-0028 | S19-0223 | September 17, 2019 | FXCRYPTOFAIR 08/10/2020 – All Respondents – Final Order – No Response | Commodities, Cryptocurrency, Cease & Desist | commodities cryptocurrency cease-desist | |
| SC-2019-0027 | S19-0222 | September 12, 2019 | Avalon Investment and Securities Group, Inc. | Show Cause | show-cause | |
| OV-2019-0015 | S18-0155 | August 20, 2019 | Jon Lindberg | Order to Vacate | order-to-vacate | |
| CD-2019-0025 | S19-0101 | August 8, 2019 | TMTE, Inc. D/B/A Metals.com | Commodities, Cease & Desist | commodities cease-desist | |
| CD-2019-0024 | S19-0031 | July 9, 2019 | Discovery Fund, LLC 10/04/2019 – All Respondents – Final Order – No Response | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CD-2019-0023 | S19-0135 | June 24, 2019 | FargoTrades LTD 07/01/2020 – All Respondents – Final Order – No Response | Commodities, Cease & Desist | commodities cease-desist | |
| CD-2019-0018 | S18-0139 | May 15, 2019 | Gorsline Financial Services, LLC | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CD-2019-0017 | S18-0139 | May 1, 2019 | Wieniewitz Financial, LLC | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CD-2019-0016 | S19-0062 | April 26, 2019 | Black Tie Investments | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| SC-2019-0015 | S18-0155 | April 2, 2019 | Jon Lindberg | Show Cause | show-cause | |
| CD-2019-0013 | S19-0029 | March 28, 2019 | Negus Capital Incorporated | Cease & Desist, Commodities | cease-desist commodities | |
| CD-2019-0011 | S18-0216 | March 19, 2019 | My Covenant Love, LLC | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CD-2019-0008 | S18-0139 | February 27, 2019 | Fritts Financial, LLC 05/03/2019 – All Respondents – Final Order – No Response | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CD-2019-0007 | S18-0184 | February 25, 2019 | Fundsoptions Investments | Cease & Desist | cease-desist | |
| CD-2019-0006 | S19-0021 | February 25, 2019 | Awax, Ltd 08/27/2019 – All Respondents – Final Order – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CD-2019-0005 | S19-0019 | February 25, 2019 | POTPONS LLC 05/14/2019 – All Respondents – Final Order – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CD-2019-0004 | S19-0038 | February 25, 2019 | YSIGN 05/14/2019 – All Respondents – Final Order – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CD-2019-0003 | S19-0043 | February 25, 2019 | Gossamer 05/14/2019 – All Respondents – Final Order – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| SC-2019-0002 | S18-0138 | February 8, 2019 | Joel McGriff | Show Cause | show-cause | |
| CD-2019-0001 | S18-0196 | January 23, 2019 | Alluvial Investment Group LLC 09/10/2024 – All Respondents – Final Order – No Response | Cease & Desist | cease-desist | |
| CD-2018-0026 | S17-0208 | December 11, 2018 | Endeavor Global Partners Corporation 03/04/2020 – All Respondents – Final Order – Commission Decision | Cease & Desist | cease-desist | |
| CO-2018-0024 | S18-0179 | December 3, 2018 | LPL Financial LLC | Consent Order | consent-order | |
| CD-2018-0023 | S18-0202 | November 26, 2018 | UNIFOX 08/27/2019 – All Respondents – Final Order – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2018-0022 | S18-0068 | November 21, 2018 | Peak Energy Company 03/25/2019 – Michael S. Warren – Final Order – No Response 12/11/2019 – Peak Energy Company – Final Order – Commission Decision | Commodities, Cease & Desist | commodities cease-desist | |
| CD-2018-0021 | S18-0136 | November 9, 2018 | Everlight Financial, INC. | Cease & Desist | cease-desist | |
| CO-2012-0023A | S12-0132 | November 2, 2018 | Bankers Life and Casualty Company | Consent Order | consent-order | |
| CO-2015-0009 | S14-0127 | October 16, 2018 | GLS & Associates, Inc. | Consent Order | consent-order | |
| CD-2018-0019 | S18-0160 | September 18, 2018 | JINBI Limited 08/27/2019 – All Respondents – Final Order – No Response | Cryptocurrency, Commodities, Cease & Desist | cryptocurrency commodities cease-desist | |
| CD-2018-0018 | S17-0211 | August 18, 2018 | DOT Farms 11/9/2018 – Barry Bryant – Final Order – No Response | Cease & Desist | cease-desist | |
| CD-2018-0016 | S18-0088 | July 25, 2018 | Clanton Sunrise Develpers, LLC 01/15/2019 – All Respondents – Final Order – No Response | Cease & Desist | cease-desist | |
| CD-2018-0015 | S18-0123 | July 13, 2018 | Hashkon, Inc 08/27/2019 – All Respondents – Final Order – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CD-2018-0014 | S18-0123 | July 13, 2018 | ZANFAU LTD 08/27/2019 – All Respondents – Final Order – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CO-2018-0012 | S17-0114 | June 22, 2018 | LPL Financial LLC | Consent Order | consent-order | |
| CD-2018-0011 | S18-0023 | May 25, 2018 | Future Income Payments LLC | Cease & Desist | cease-desist | |
| CD-2018-0010 | S17-0033 | May 25, 2018 | Houston Energy Resources, LLC | Cease & Desist, Commodities | cease-desist commodities | |
| CD-2018-0007 | S18-0084 | May 18, 2018 | Platinum Coin 08/27/2018 – All Respondents – Final Order – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2018-0006 | S18-0064 | May 4, 2018 | Pooltrade 06/20/2018 – All Respondents – Final Order – No Response | Cease & Desist, Cryptocurrency | cease-desist cryptocurrency | |
| CD-2018-0005 | S18-0063 | May 2, 2018 | Leverage 12/12/2018 – All Respondents – Final Order – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CD-2018-0004 | S18-0065 | May 2, 2018 | EXTRABIT LTD 06/20/2018 – All Respondents – Final Order – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CD-2018-0003 | S18-0042 | April 20, 2018 | Chain Group Escrow Service 01/15/2018 – All Respondents – Final Order – No Response | Cryptocurrency, Cease & Desist | cryptocurrency cease-desist | |
| CD-2018-0002 | S16-0193 | April 10, 2018 | Joseph P. Bedingfield, Jr. | Cease & Desist | cease-desist | |
| CD-2018-0001 | S14-0250 | January 11, 2018 | Hart Natural Resources LLC | Commodities, Cease & Desist | commodities cease-desist | |
| OV-2016-0005 | S15-0172 | December 22, 2017 | Louis Berk | |||
| CD-2017-0011 | S17-0101 | December 11, 2017 | Peaceful Money Solutions 11/9/2018 – Edwin Dyke Jones II – Final Order – No Response | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CD-2017-0010 | S15-0160 | November 28, 2017 | Global Wealth Partners 11/9/2018 – Teresa Marta Jackson – Final Order – No Response | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| CD-2017-0009 | S17-0103 | October 31, 2017 | Mackrow Asset Management Group 12/11/2020 – All Respondents – Final Order – No Response
| Cease & Desist | cease-desist | |
| CD-2017-0005 | S13-0120 | August 22, 2017 | Karress Pink LLC 02/01/2018 – All Respondents – Final Order – Commission Decision | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CD-2017-0004 | S15-0225 | July 21, 2017 | Ultraflex, INC. 12/16/2020 – All Respondents – Final Order – No Response | Cease & Desist, Pig Butchering | cease-desist pig-butchering | |
| CO-2009-0020 | S08-0367 | June 27, 2017 | Morgan Keegan and Company, Inc. | Consent Order | consent-order | |
| CD-2017-0003 | S15-0021 | June 6, 2017 | Dehn Bridge Energy, INC. 01/03/2018 – All Respondents – Final Order – Commission Decision | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CD-2016-0012 | S15-0155 | December 15, 2016 | Clifton Curtis Sneed 01/19/2017 – Clifton Curtis Sneed – Final Order – No Response 03/28/2017 – Rontese L Miller – Final Order – No Response | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| CD-2016-0011 | S16-0160 | December 5, 2016 | Cunningham Energy LLC 01/09/2017 – Michael Merritt – Final Order – No Response | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| CO-2016-0010 | S14-0031 | September 28, 2016 | Theodore Stanley Hudson II | Consent Order | consent-order | |
| CO-2015-0021 | S15-0164 | August 29, 2016 | Clarence “Cal” Elcan aka: Clarence Andrew Elcan | Consent Order | consent-order | |
| CD-2016-0008 | S15-0167 | August 5, 2016 | Gatekeeper Investment Group, LLC 10/06/2016 – Enterprise World Trust, LLC – Final Order – No Response | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CD-2016-0007 | S16-0016 | August 1, 2016 | Monte Cristo Resorts International 03/21/2017 – All Respondents – Final Order – No Response | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CD-2016-0005 | S15-0172 | May 23, 2016 | INVESTINGCI.com | Cease & Desist | cease-desist | |
| CO-2016-0003 | S16-0033 | March 15, 2016 | First Kentucky Securities Corporation | Consent Order | consent-order | |
| CO-2016-0002 | S14-0013 | February 9, 2016 | LPL Financial LLC | Consent Order | consent-order | |
| CD-2015-0025 | S14-0206 | December 18, 2015 | Steven Clyde Reed Brown 02/25/2016 – Steven Clyde Reed Brown – Final Order – Failure to Respond | Cease & Desist | cease-desist | |
| CD-2015-0024 | S15-0105 | December 14, 2015 | Bryan Kevin Robinson 03/20/2018 – All Respondents – Final Order – Barred | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CO-2015-0013A | S15-0128 | December 9, 2015 | 12/09/2015 – Estate Security Trust – Consent Order – Barred | Consent Order, Financial Exploitation | consent-order financial-exploitation | |
| CO-2015-0013 | S15-0128 | December 9, 2015 | 12/09/2015 – Barry Hubert Bynum – Consent Order – Barred | Consent Order | consent-order | |
| SC-2015-0023 | S14-0010 | November 5, 2015 | Terry Joe Bagwell | Show Cause | show-cause | |
| SC-2015-0022 | S15-0164 | November 2, 2015 | Daniel G. Elcan | Show Cause | show-cause | |
| CD-2015-0021 | S15-0164 | October 30, 2015 | Clarence “Cal” Elcan | Cease & Desist | cease-desist | |
| CD-2015-0018 | S15-0006 | October 19, 2015 | Smith, Campbell & Associates LLC 01/11/2016 – All Respondents – Final Order – No Response | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CD-2015-0017 | S14-0082 | August 18, 2015 | Resource Liability Cee Gems Limited 06/27/2016 – Wendee Kunzler – Final Order – No Response | Cease & Desist, Commodities | cease-desist commodities | |
| CD-2015-0016 | S13-0197 | August 13, 2015 | FHL, Inc. | Cease & Desist | cease-desist | |
| CO-2015-0015 | S14-0080 | July 28, 2015 | Citigroup Global Markets, Inc. | Consent Order | consent-order | |
| CO-2015-0013 | S15-0128 | July 17, 2015 | Barry Hubert Bynum | Consent Order, Financial Exploitation | consent-order financial-exploitation | |
| CD-2015-0013 | S15-0128 | July 17, 2015 | Barry Hubert Bynum | Financial Exploitation, Cease & Desist | financial-exploitation cease-desist | |
| CD-2015-0012 | S14-0094 | July 14, 2015 | Petron Energy II, Inc. 09/15/2015 – All Respondents – Final Order – No Response | Cease & Desist | cease-desist | |
| CD-2015-0010 | S14-0012 | June 10, 2015 | Premiere Asset Management, Inc. 03/21/2017 -All Respondents – Final Order – Commission Decision
| Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| SC-2015-0009 | S14-0127 | May 6, 2015 | GLS & Associates, Inc. | Show Cause | show-cause | |
| OB-2015-0008 | S14-0133 | April 28, 2015 | Ronald Warren Powell aka: Ronny W. Powell 06/12/2015 – All Respondents – Final Order – No Response | Promissory Notes, Order to Bar | promissory-notes order-of-bar | |
| CO-2015-0004 | S13-0310 | April 22, 2015 | Sovereign Funding, LLC | Promissory Notes, Consent Order | promissory-notes consent-order | |
| CD-2015-0007 | S15-0026 | April 2, 2015 | Kimberly J. Dixson Scott 06/12/2015 – All Respondents – Final Order – No Response | Financial Exploitation, Cease & Desist | financial-exploitation cease-desist | |
| CD-2015-0005 | S12-0156 | March 16, 2015 | Bama Jam Farms, LLC | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CD-2015-0003 | S13-0065 | February 13, 2015 | Omega Pharmacueticals 03/21/2017 – All Respondents – Final Order – Commission Decision | Cease & Desist | cease-desist | |
| OB-2015-0002 | S12-0237 | February 2, 2015 | Alan Scott Daniels 03/11/2015 – Alan Scott Daniels – Final Order- No Response | Order to Bar | order-of-bar | |
| CD-2015-0001 | S14-0163 | January 20, 2015 | Sidewinders Corporation 10/21/2015 – All Respondents – Final Order | Cease & Desist | cease-desist | |
| OB-2014-0022 | S14-0008 | December 3, 2014 | William Benton Guido 03/11/2015 – William Benton Guido – Final Order – No Response | Order to Bar | order-of-bar | |
| OB-2014-0021 | S14-0159 | December 3, 2014 | Melissa Diana Powell 12/12/2014 – Melissa Diana Powell – Final Order – No Response | Order to Bar | order-of-bar | |
| OV-2014-0011 | S12-0247 | November 3, 2014 | 11/03/14 – All Respondents – Order Vacated | Order to Vacate | order-to-vacate | |
| CO-2014-0020 | S13-0149 | October 21, 2014 | Thomas Floyd Worthy | Consent Order | consent-order | |
| CO-2013-0013a | S13-0078 | September 18, 2014 | Helen Smith | Consent Order, Promissory Notes | consent-order promissory-notes | |
| CD-2014-0019 | S14-0150 | September 10, 2014 | Wilson Bowling, LLC 10/15/2015 – All Respondents – Final Order | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| CD-2014-0018 | S14-0143 | September 10, 2014 | Certus Senior Services, LLC. 04/18/2018 – All Respondents – Final Order – Commission Decision | Cease & Desist, Financial Exploitation | cease-desist financial-exploitation | |
| CO-2014-0017 | S14-0079 | September 8, 2014 | James Houston Sears | Consent Order | consent-order | |
| CD-2013-0006 Amended | S12-0245 | September 5, 2014 | Arizona Gold Corporation | Commodities, Cease & Desist | commodities cease-desist | |
| CO-2014-0007 | S14-0041 | August 18, 2014 | J.P. Morgan Securities, LLC | Consent Order | consent-order | |
| CD-2014-0016 | S14-0127 | July 25, 2014 | Keith Michael Rogers 08/25/2014 – All Respondents – Final Order – No Response | Cease & Desist | cease-desist | |
| CD-2014-0015 | S14-0044 | July 22, 2014 | Jesse Morgan Hinson 09/12/2014 – All Respondents – Final Order – No Response | Commodities, Cease & Desist | commodities cease-desist | |
| CD-2014-0014 | S14-0010 | July 14, 2014 | Bryan Wayne Anderson 09/12/2014 – All Respondents – Final Order – No Response | Pig Butchering, Cease & Desist | pig-butchering cease-desist | |
| CD-2014-0013 | S14-0039 | July 10, 2014 | Equity Financial Services 09/08/2014 – All Respondents – Final Order – No Response | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| CD-2014-0012 | S14-0018 | July 2, 2014 | Columbia Star Resources Group 02/05/2016 – All Respondents – Final Order – Commission Decision | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| CO-2012-0004 | S11-0177 | July 2, 2014 | All Respondents | Consent Order | consent-order | |
| CO-2013-0013b | S13-0078 | June 5, 2014 | Thomas Marrin Bickham | Promissory Notes, Consent Order | promissory-notes consent-order | |
| SC-2014-0011 | S12-0247 | May 23, 2014 | Stalwart Capital LLC | Show Cause | show-cause | |
| CD-2014-0009 | S13-0127 | May 23, 2014 | E3 Corp 03/21/2017 – All Respondents – Final Order – Commission Decision | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CD-2014-0010 | S13-0264 | May 23, 2014 | Lanesborough Financial Group 09/09/2014 – All Respondents – Final Order – No Response | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| OB-2014-0006 | S11-0032 | April 10, 2014 | Houston Perry Johnson, III 08/14/2014 – All Respondents – Final Order – No Response | Order to Bar | order-of-bar | |
| CO-2014-0005 | S12-0242 | March 19, 2014 | Dominion Stock Fund, LLC | Consent Order | consent-order | |
| CD-2014-0004 | S12-0293 | March 12, 2014 | Panther Technology Inc. 03/22/2017 – All Respondents – Final Order – Commission Decision | Cease & Desist, Affinity Fraud | cease-desist affinity-fraud | |
| CD-2014-0003 | S13-0291 | March 7, 2014 | Westgate Financial Group 09/08/2014 – All Respondents – Final Order – No Response | Cease & Desist | cease-desist | |
| CD-2014-0002 | S13-0291 | February 13, 2014 | Derek Neal York 04/23/2014 – All Respondents – Final Order – No Response | Cease & Desist | cease-desist | |
| OB-2013-0003 | S12-0218 | February 7, 2014 | Stephen Merry 02/07/2014 – Yaman Huseyin Sencan – Final Order – No Response | |||
| OB-2013-0003 | S12-0218 | February 7, 2014 | Stephen Merry – Order of Bar Yaman Huseyin Sencan – Final Order – No Response | Order to Bar | order-of-bar | |
| CO-2014-0001 | S13-0292 | January 21, 2014 | UBS Financial Services, INC | Consent Order | consent-order | |
| OB-2012 0035 | S12-0133 | January 17, 2014 | Carey Stinson Salter | Promissory Notes, Order to Bar | promissory-notes order-of-bar | |
| CD-2013-0019 | S13-0104 | December 20, 2013 | Hard Rock Properties LLC 02/10/2014 – All Respondents – Final Order – No Response | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CD-2013-0018 | S13-0176 | December 19, 2013 | National Business Services Inc 04/17/2017 – All Respondents – Final Order – Commission Decision | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| OB-2013-0017 | S12-0303 | November 8, 2013 | James Mark McLaughlin 03/16/2017 – James Mark McLaughlin – Final Order – Insufficient Response by Respondent | Order to Bar | order-of-bar | |
| OV-2013-0003 | S12-0218 | October 24, 2013 | Westover Energy Trading Partners, LLC | Order to Vacate | order-to-vacate | |
| CO-2013-0016 | S13-0188 | September 27, 2013 | RBC Capital Markets, LLC | Consent Order | consent-order | |
| CD-2013-0011A | S11-0240 | July 5, 2013 | Wealthlab, Inc. 02/25/2016 – Wealthlab, Inc. – Final Order – No Response | Cease & Desist | cease-desist | |
| CD-2013-0015 | S13-0119 | June 25, 2013 | Drinkrite Inc 10/01/2013 – All Respondents – Final Order – No Response | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CD-2013-0013 | S13-0078 | June 5, 2013 | Felmina Alliance LTD 09/19/2013 – Terrence B Scott, Sr – Final – No Response 02/21/2014 – Felmina Alliance LTD – Final – No Response | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CO-2012-0022 | S11-0343 | May 29, 2013 | Harold Christopher Poole | Consent Order | consent-order | |
| CD-2013-0012 | S13-0030 | May 17, 2013 | Kemako World, Incorporated | Cease & Desist | cease-desist | |
| CD-2013-0011 | S11-0240 | May 15, 2013 | Hessel Trading, Inc. 06/24/2013 – All Respondents – Final Order – No Response | Cease & Desist | cease-desist | |
| CO-2012-0027 | S12-0144 | May 14, 2013 | Clean Energy Pathways Inc | Consent Order | consent-order | |
| CD-2013-0010 | S12-0214 | May 13, 2013 | Neil Philip Berman 04/22/2014 – Neil Philip Berman – Final Order – No Response | Pig Butchering, Cease & Desist | pig-butchering cease-desist | |
| CD-2013-0009 | S13-0009 | May 10, 2013 | Tri State Investment LLC 06/10/2013 – All Respondents – Final Order – waiver of hearing | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CD-2013-0008 | S13-0041 | March 27, 2013 | HI-Tech Energy Inc 06/12/2013 – All Respondents – Final Order- No Response | Cease & Desist | cease-desist | |
| CD-2013-0007 | S12-0151 | March 21, 2013 | Sabine Partnership #3, LTD 06/04/2013 – Sabine Partnership #3, LTD – Final Order – No Response 05/06/2014 – Melaina Bowden – Final Order- No Response | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| CD-2013-0005 | S13-0060 | March 14, 2013 | Inter Reef LTD d/b/a Profitable Sunrise 05/25/2013 – Inter Reef LTD d/b/a Profitable Sunrise – Final Order – No Response 06/23/2014 – Adam York – Final Order – No Response | Cease & Desist | cease-desist | |
| CD-2013-0006 | S12-0245 | March 12, 2013 | Arizona Gold Corporation 10/31/2013 – All Respondents – Final Order – No Response | Commodities, Cease & Desist | commodities cease-desist | |
| CO-2010-0059 | S10-0068 | March 5, 2013 | Jason Tilton Latham | Promissory Notes, Consent Order | promissory-notes consent-order | |
| CO-2012-0015 | S11-0283 | March 4, 2013 | All Respondents | Consent Order | consent-order | |
| CD-2013-0003 | S12-0218 | February 20, 2013 | Westover Energy Trading Partners, LLC 09/24/2013 – Yaman Huseyin Sencan – Final Order – No Response 11/05/2013 – Westover Energy Trading Partners, LLC – Final Order – No Response | Cease & Desist | cease-desist | |
| OB-2013-0002 | S11-0243 | February 15, 2013 | William David Thomas, Jr 04/24/2013 – William David Thomas, Jr – Final Order – No Response | Order to Bar | order-of-bar | |
| OB-2013-0001 | S12-0067 | February 15, 2013 | David Darrell Anthony 12/11/2020 – All Respondents – Due To No Response | Order to Bar | order-of-bar | |
| CD-2012-0036 | S12-0187 | December 27, 2012 | Kingdom of Eloi 03/27/2013 – Kingdom of Eloi – Final Order Due to No Response | Cease & Desist | cease-desist | |
| CD-2012-0035 | S12-0133 | December 5, 2012 | CSS Investments 02/17/2014 – CSS Investments – Final Order Due to Co-Respondent’s Criminal Charges | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CO-2010-0011 | S10-0010 | November 27, 2012 | William Joseph Hill
10/27/2010 – Tri-Crescent Energy Corp | Consent Order | consent-order | |
| OB-2012-0034 | S11-0309 | October 23, 2012 | Jason William Chicosky 11/29/2012 – All Respondents – Final Order Due to No Response | Order to Bar | order-of-bar | |
| CD-2012-0033 | S10-0432 | October 16, 2012 | P_R_E, LLC d/b/a Phoenix Renewable Energy, LLC 03/27/2014 – All Respondents – Final Order Due to no Response | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CO-2012-0012 | S11-0284 | October 12, 2012 | David E. Livingston | Consent Order | consent-order | |
| CO-2012-0032 | S12-0246 | October 3, 2012 | Next Financial Group, Inc. | Consent Order | consent-order | |
| CO-2012-0031 | S09-0469 | October 3, 2012 | Debra C. Myers | Consent Order | consent-order | |
| CD-2012-0030 | S12-0111 | September 21, 2012 | Mark M Savoy 11/08/2012 – All Respondents – Final Order Due to No Response | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| CO-2012-0029 | S12-0132 | September 4, 2012 | UVEST Financial Services Group Inc. | Consent Order | consent-order | |
| CD-2012-0027 | S12-0144 | August 14, 2012 | Clean Energy Pathways Inc 09/19/2012 – Atlas Capital Holdings Inc – Final Order Due to No Response 08/26/2014 – John Michael Parsons – Final Order – Decision of Commission after Administrative Hearing | Cease & Desist | cease-desist | |
| CD-2012-0026 | S11-0116 | August 8, 2012 | Three Wise Men Trading LLC 05/02/2013 – All Respondents – Final Order Due to No Response | Cease & Desist | cease-desist | |
| CO-2012-0022 | S11-0343 | August 3, 2012 | Charles Douglas Hammet | Consent Order | consent-order | |
| CO-2012-0024 | S12-0132 | July 16, 2012 | ProEquities Inc. | Consent Order | consent-order | |
| CO-2012-0025 | S12-0130 | July 12, 2012 | Infinity Financial Services | Consent Order | consent-order | |
| CO-2010-0025 | S10-0012 | July 3, 2012 | Oklahoma Force Pool Joint Venture #3 | Consent Order | consent-order | |
| OV-2012 0022 | … | June 20, 2012 | Order to Vacate | order-to-vacate | ||
| CD-2012-0022A | S11-0343 | June 20, 2012 | Buffalo Extension LLP 12/12/2012 – Buffalo Extension LLP – Final Order | Cease & Desist | cease-desist | |
| CD-2012-0002 Final Order | S11-0273 | June 18, 2012 | International Realty & Financial Services Inc.
| Cease & Desist | cease-desist | |
| CO-2012-0023 | S12-0132 | June 13, 2012 | Bankers Life and Casualty Company | Consent Order | consent-order | |
| CO-2010-0059 | S10-0068 | June 12, 2012 | Charles Thomas Cammack Jr | Consent Order, Promissory Notes | consent-order promissory-notes | |
| OB-2012-0021 | S09-0480 | May 29, 2012 | Donna Marie Zerbo 07/16/2012 – All Respondents – Final Order | Order to Bar, Commodities | order-of-bar commodities | |
| CD-2012-0022 | S11-0343 | May 29, 2012 | Buffalo Extension LLP | Cease & Desist | cease-desist | |
| CD-2012-0020 | S12-0039 | May 25, 2012 | ITICKETBID.com 02/05/2016 – All Respondents – Final Order – No Response | Cease & Desist | cease-desist | |
| OB-2010-0059 | S10-0068 | May 21, 2012 | Henry E. Walker | Order to Bar, Promissory Notes | order-of-bar promissory-notes | |
| CD-2012-0015 | S11-0283 | May 12, 2012 | Carolina Commons Apartments, LLC | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CD-2012-0018 | S12-0021 | May 5, 2012 | Practical Digital Solutions, LLC. 11/28/2012 – All Respondents – Final Order Due to No Response | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| CD-2012-0016 | S11-0104 | May 4, 2012 | Roky Caldera Gold Inestments 01/07/2021 – All Respondents – Final – Commission Decision | Cease & Desist | cease-desist | |
| CO-2011-0014 | S10-0445 | May 3, 2012 | For All Respondents | Consent Order, Commodities | consent-order commodities | |
| OB-2012-0014 | S12-0089 | May 1, 2012 | Swift Marketing, Incorporated 06/22/2012 – All Respondents – Final Order Due to No Response | Order to Bar | order-of-bar | |
| CD-2012-0013 | S12-0061 | May 1, 2012 | I.D. Armor, Incorporated 04/20/2012 – All Respondents – Final Order Failed to Request Hearing | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| OB-2012-0012 | S11-0284 | April 30, 2012 | David E. Livingston | Order to Bar | order-of-bar | |
| CD-2012-0011 | S12-0005 | April 27, 2012 | ECO Trust LLC (aka) U. S. Environmental Services 02/28/2013 – Marcel Emile Crettet – Final Order Due to No Response 03/26/2015 – Homer A. Carvan Jr – Final Order Due to No Response | Cease & Desist | cease-desist | |
| OB-2009-0033 | S09-0317 | March 21, 2012 | Darren Oneal Maull | Pig Butchering, Order to Bar | pig-butchering order-of-bar | |
| CD-2012-0009 | S12-0016 | February 28, 2012 | Midas Management Partners LLC 10/31/2013 – Josh Lewis – Final Order Due to No Response 07/09/2015 – Philip Leon – Final Order – Federal Incarceration | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| CD-2012-0008 | S10-0412 | February 13, 2012 | Charles Boyd Lee 07/23/2012 – All Respondents – Final Order | Cease & Desist | cease-desist | |
| CO-2012-0007 | S12-0035 | February 9, 2012 | E*Trade Securities LLC | Consent Order | consent-order | |
| CO-2010-0031 | S09-0189 | February 7, 2012 | BCL, LLC | Consent Order | consent-order | |
| OB-2012-0006 | S11-0334 | February 7, 2012 | Jon Harvey Deal 05/02/2012 – Jon Harvey Deal – Final Order Due to No Response | Order to Bar | order-of-bar | |
| OB-2012-0005 | S11-0255 | February 1, 2012 | John Thomas Pappas 03/07/2012 – All Respondents – Final Order | Order to Bar | order-of-bar | |
| CD-2012-0004 | S11-0177 | January 31, 2012 | Silver Bullet, LLC | Cease & Desist | cease-desist | |
| CD-2012-0003 | S11-0074 | January 30, 2012 | Curatus, Inc 07/22/2014 – All Respondents – Final Order Due to No Response | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CD-2012-0002 | S11-0273 | January 5, 2012 | International Realty & Financial Services Inc. | Cease & Desist | cease-desist | |
| CD-2012-0001 | S11-0180 | January 5, 2012 | ATM/Electronic Payment Systems, Inc. 01/05/2012 – All Respondents – Final Order of Findings by the ASC Commission | Cease & Desist | cease-desist | |
| CD-2011-0023 | S11-0252 | December 20, 2011 | Nevada Precious Metals Inc | Cease & Desist | cease-desist | |
| CO-2005-0042 | S03-0008 | December 13, 2011 | Loyd Gilford King | Consent Order | consent-order | |
| CO-2004-0004C | S02-0107 | December 9, 2011 | Jim Wolter | Consent Order | consent-order | |
| OV-2010-0013 | S09-0263 | November 14, 2011 | Gulf Coast Western LLC. | Imposter Scam, Order to Vacate | imposter-scam order-to-vacate | |
| CO-2010-0059 | S10-0068 | October 31, 2011 | Steve Jeffrey Cummings | Consent Order, Promissory Notes | consent-order promissory-notes | |
| OV-2010-0016 | S08-0056 | October 7, 2011 | Brian B. Sullivan | Order to Vacate | order-to-vacate | |
| CO-2010-0059 | S10-0068 | September 28, 2011 | William Slay Stevens | Promissory Notes, Consent Order | promissory-notes consent-order | |
| CO-2011-0021 | S10-0371 | August 29, 2011 | Benchmark operating Company, LLC 08/29/2011 – All Respondents – Final Order | Consent Order | consent-order | |
| CO-2011-0022 | S11-0196 | August 23, 2011 | Raymond James & Associates, Inc., | Consent Order | consent-order | |
| CD-2011-0020 | S11-0186 | August 4, 2011 | Mutual Entertainment, LLC 03/27/2015 – All Respondents – Final Order | Cease & Desist | cease-desist | |
| CO-2010-0059 | S10-0068 | August 2, 2011 | Ronald Wayne Lankford | Consent Order, Promissory Notes | consent-order promissory-notes | |
| CO-2010-0049 | S09-0341 | August 2, 2011 | Cheryl Phillips Brewer | Consent Order | consent-order | |
| CD-2011-0018 | S11-0055 | July 14, 2011 | Titles R US, Inc. 08/08/2012 – All Respondents – Final Order – Criminal Conviction | Cease & Desist | cease-desist | |
| OB-2011-0017 | S10-0461 | July 12, 2011 | Matthew Leon Bradakis 09/19/2011 – All Respondents – Final Order Due to No Response | Order to Bar | order-of-bar | |
| CO-2010-0059 | S10-0068 | July 11, 2011 | Darryl Wilson | Consent Order, Promissory Notes | consent-order promissory-notes | |
| CO-2010-0059 | S10-0068 | July 11, 2011 | Melinda McCullough | Promissory Notes, Consent Order | promissory-notes consent-order | |
| CO-2010-0059 | S10-0068 | July 11, 2011 | Jeremy Shane Hay | Consent Order, Promissory Notes | consent-order promissory-notes | |
| OB-2009-0040 | S09-0137 | July 11, 2011 | Lewis Stanley Scogin | Order to Bar | order-of-bar | |
| CD-2011-0016 | S11-0041 | June 29, 2011 | Global 8 Environmental Technologies Inc. 01/30/2012 – All Respondents – Final Order Due to No Response | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| OB-2005-0042 | S03-0008 | June 23, 2011 | John Wesley Woodruff, Jr.
08/02/2011 – John Wesley Woodruff, Jr. – Final Order due to no Response | Order to Bar | order-of-bar | |
| CO-2010-0016 | S08-0056 | June 22, 2011 | Morgan Asset Management, Inc. | Consent Order | consent-order | |
| CO-2009-0029 | S09-0227 | June 16, 2011 | Marlon O. Cole | Consent Order, Promissory Notes | consent-order promissory-notes | |
| CO-2009-0032 | S09-0098 | June 9, 2011 | Intraop Medical Corporation | Consent Order, Promissory Notes | consent-order promissory-notes | |
| CD-2011-0015 | S11-0130 | May 27, 2011 | Spero X. Vourliotis 08/04/2011 – Spero X. Vourliotis – Final Order Due to No Response 08/29/2011 – The Cornerstone Investment Group – Final Order Due to No Response | Cease & Desist | cease-desist | |
| CD-2011-0014 | S10-0445 | May 19, 2011 | K-Sam Oil Company, LLC | Cease & Desist, Commodities | cease-desist commodities | |
| CD-2011-0013 | S10-0397 | May 19, 2011 | Dr. Scott William Naley 06/20/2011 – Dr. Scott William Naley – Final Order Due to no Response | Cease & Desist | cease-desist | |
| CO-2011-0012 | S09-0023 | May 11, 2011 | 05/31/2018 – Leslie M. Pappas – Consent Order | Consent Order | consent-order | |
| CD-2011-0012 | S09-0023 | May 11, 2011 | DBSI, Inc. 06/13/2011 – DBSI, Inc. – Final Order Due to no Response
| Cease & Desist | cease-desist | |
| CD-2011-0011 | S10-0444 | May 5, 2011 | Alexander Capital, LLP 06/13/2011 – All Respondents – Final Order Due to no Response | Commodities, Cease & Desist | commodities cease-desist | |
| OV-2010-0059 | S10-0068 | April 27, 2011 | Rita Michelle Farmer | Promissory Notes, Order to Vacate | promissory-notes order-to-vacate | |
| OB-2011-0010 | S10-0444 | April 27, 2011 | Adaven, Incorporated 09/07/2011 – All Respondents – Final Order Due to no Response | Order to Bar | order-of-bar | |
| CD-2011-0008 | S11-0035 | April 1, 2011 | Ascending Growth Properties, LLC 05/09/2011 – Ascending Growth Properties, LLC – Final Order Due to No Response 07/20/2011 – Charlotte Caron – Final Order Due to No Response | Cease & Desist | cease-desist | |
| CD-2011-0007 | S10-0228 | March 14, 2011 | Harbor Consulting Inc. 12/01/2011 – All Respondents – Final Order Due to Waiving the Right to a Formal Hearing | Cease & Desist | cease-desist | |
| CD-2011-0005 | S10-0177 | February 23, 2011 | Infinity Business Group 07/07/2011 – All Respondents – Final Order – No Response | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CO-2008-0019 | S08-0090 | February 22, 2011 | Del Mar Energy, Inc. | Consent Order | consent-order | |
| CD-2010-0053 Addendum | S10-0313 | February 10, 2011 | Universal Wood Products, LLC
12/13/2010 – Universal Wood Products, LLC – Final Order No Response | Affinity Fraud, Cease & Desist | affinity-fraud cease-desist | |
| CO-2010-0045 | S08-0024 | February 8, 2011 | Mona Kilgore Wooten | Consent Order | consent-order | |
| CD-2011-0004 | S20-0292 | February 1, 2011 | International Finance & Trust LLC 10/31/2013 – International Finance & Trust LLC – Final Order Due to No Response | Cease & Desist | cease-desist | |
| OV-2010-0052 | S10-0320 | January 21, 2011 | Lighthouse Capital Corp
03/27/2015 – Rodney Lankford – Final Order | Order to Vacate | order-to-vacate | |
| CD-2011-0003 | S10-0320 | January 21, 2011 | Lighthouse Capital, LTD 02/01/2012 – All Respondents – Final No RESP | Cease & Desist | cease-desist | |
| CD-2011-0002 | S10-0176 | January 20, 2011 | Friends United Network Inc (aka) Fun Group LLC 03/14/2011 – All Respondents – Final Order – No Response | Cease & Desist | cease-desist | |
| CD-2011-0001 | S10-0458 | January 5, 2011 | Green Warrior, Inc. 03/14/2011 – All Respondents – Final Order | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CO-2001-0043 | S01-0133 | January 3, 2011 | USA Transit Facility, Inc | Consent Order | consent-order | |
| CD-2010-0062 | S10-0093 | December 25, 2010 | Medical Connections Holdings Inc.
04/09/2015 – All Respondents – Final Order | Cease & Desist | cease-desist | |
| CD-2010-0064 | S10-0214 | December 21, 2010 | City Capital Corporation
03/28/2011 – All Respondents – Final Order | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CO-2010-0059 | S10-0068 | December 14, 2010 | First Legacy Investors Inc | Consent Order, Promissory Notes | consent-order promissory-notes | |
| CD-2010-0061 | S10-0171 | December 14, 2010 | USA Meats, Inc.
11/07/2011 – All Respondents – Final Order Due to No Response | Pig Butchering, Cease & Desist | pig-butchering cease-desist | |
| CD-2010-0060 | S10-0290 | December 14, 2010 | Jack Melvin Glover Jr.
03/22/2017 – Jack Melvin Glover Jr. – Final Order – Commision Decision | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| SC-2010-0059 | S10-0068 | December 4, 2010 | First Legacy Investors Inc | Show Cause, Promissory Notes | show-cause promissory-notes | |
| CD-2010-0058 | S10-0293 | November 23, 2010 | Freaky Deaky Limited Partnership
11/07/2012 – All Respondents – Final Order Due to No Response | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| CD-2010-0056 | S10-0215 | November 22, 2010 | U.S. Emerald GP, LLP
02/02/2018 – All Respondents – Final Order – Commission Decision | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CO-2010-0055 | S08-0538 | November 9, 2010 | Wells Fargo Investments, LLC | Consent Order | consent-order | |
| CD-2010-0053 | S10-0313 | October 25, 2010 | Universal Wood Products, LLC | Affinity Fraud, Cease & Desist | affinity-fraud cease-desist | |
| CD-2010-0052 | S10-0320 | October 25, 2010 | Rodney Howard Lankford | Cease & Desist | cease-desist | |
| CD-2010-0051 | S10-0164 | October 18, 2010 | Cort Petroleum
01/11/2011 – All Respondents – Final Order Due to No Response | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| OS-2010-0037 | S10-0274 | October 12, 2010 | Jesup & Lamont Securities Corp.
11/02/2010 – Jesup & Lamont Securities Corp. – Final Order of Revocation | Order of Suspension | order-of-suspension | |
| CO-2010-0036 | S10-0045 | October 4, 2010 | GIGAPIX Studios, Inc | Consent Order | consent-order | |
| SC-2010-0049 | S09-0341 | August 26, 2010 | Cheryl Phillips Brewer | Show Cause | show-cause | |
| CD-2010-0048 | S20-0289 | August 24, 2010 | Fusion Energy, LLC
10/04/2010 – All Respondents – Final Order Due to No Response | Cease & Desist, Affinity Fraud | cease-desist affinity-fraud | |
| CD-2010-0047 | S10-0011 | August 24, 2010 | Gully/Riley Project
04/15/2011 – Gully/Riley Project
06/01/2011 – Scott Pike Peacock – Final Order Due to No Response | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| CD-2010-0046 | S10-0099 | August 23, 2010 | Loma Novia Joint Venture
10/17/2012 – All Respondents – Final Order | Cease & Desist | cease-desist | |
| SC-2010-0045 | S08-0024 | August 19, 2010 | Mona Kilgore Wooten | Show Cause | show-cause | |
| CD-2010-0044 | S10-0200 | August 18, 2010 | Maxiflex, Limited Liability Corporation
11/02/2010 – All Respondents – Final Order Due to No Response | Cease & Desist | cease-desist | |
| CO-2010-0043 | S10-0081 | August 17, 2010 | Clean Energy Pathways, Inc. (formerly named) | Consent Order | consent-order | |
| CD-2010-0043 | S10-0081 | August 17, 2010 | Xcelplus Global Holdings Inc | Cease & Desist | cease-desist | |
| CD-2010-0042 | S09-0448 | August 16, 2010 | Thomas Washington Campbell, III
12/21/2010 – All Respondents – Final Order Due to No Response | Cease & Desist | cease-desist | |
| CO-2010-0012 | S08-0380 | August 2, 2010 | Capital Management Advisors Inc. | Consent Order | consent-order | |
| CO-2010-0038 | S09-0093 | July 12, 2010 | TD Ameritrade, Inc. | Consent Order | consent-order | |
| SC-2010-0037 | S10-0274 | July 9, 2010 | Jesup & Lamont Securities Corp. | Show Cause | show-cause | |
| OV-2010-0031 | S09-0189 | July 7, 2010 | CPMG, Inc | Order to Vacate | order-to-vacate | |
| CD-2010-0036 | S10-0045 | July 1, 2010 | GIGAPIX Studios, Inc | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| CD-2010-0031 | S09-0189 | June 28, 2010 | BCL, LLC | Cease & Desist | cease-desist | |
| CD-2010-0035 | S09-0360 | June 22, 2010 | Infraegis, Inc
05/07/2014 – All Respondents – Final Order – Failure to Respond | Cease & Desist | cease-desist | |
| CO-2010-0034 | S10-0208 | June 21, 2010 | Goldman, Sachs & Co | Consent Order | consent-order | |
| CD-2010-0030 | S09-0469 | June 15, 2010 | USA Marketing Group
02/08/2016 – All Respondents – Final Order – Commission Decision | Cease & Desist, Pig Butchering | cease-desist pig-butchering | |
| OB-2010-0026 | S10-0072 | June 14, 2010 | Chang Liu Levy
07/26/2010 – Chang Liu Levy – Final Order Due to No Response | Order to Bar | order-of-bar | |
| CO-2010-0033 | S08-0179 | June 14, 2010 | UBS Securities, LLC | Consent Order | consent-order | |
| CD-2010-0027 | S08-0417 | June 14, 2010 | HP Technology, Inc
10/04/2016 – Kevin David Palm – Final Order Due to No ResponseS08-0417 | Cease & Desist, Pig Butchering | cease-desist pig-butchering | |
| CD-2010-0025 | S10-0012 | June 3, 2010 | Oklahoma Force Pool Joint Venture #3
09/01/2010 – Jeff Quiane – Final Order Due to No Response | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| OV-2006-0018A | S05-0039 | June 3, 2010 | North American Resource Group Corp. | Order to Vacate | order-to-vacate | |
| CO-2010-0022 | S08-0421 | May 14, 2010 | Corporate Property Associates 15 Inc. | Consent Order | consent-order | |
| CO-2010-0024 | S10-0111 | May 13, 2010 | Stifel, Nicolaus & Company, Incorporated | Consent Order | consent-order | |
| CD-2010-0021 | S08-0422 | April 28, 2010 | Berkshire Resource LLC
04/12/2011 – All Respondents – Final Order | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| OB-2009-0029 | S09-0227 | April 20, 2010 | Marlon O. Cole | Financial Exploitation, Order to Bar | financial-exploitation order-of-bar | |
| CD-2010-0020 | S09-0222 | April 19, 2010 | Sure Line Acceptance Corporation
06/18/2010 – Faithful Stewards, Incorporated | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| OD-2010-0019 | S10-0100 | April 16, 2010 | Justice Management Team | Order of Denial | order-of-denial | |
| SC-2010-0016 | S08-0056 | April 7, 2010 | Morgan Asset Management, Inc. | Show Cause | show-cause | |
| SC-2010-0018 | S08-0337 | April 6, 2010 | Jefferson Capital Partners, LLC | Show Cause | show-cause | |
| CD-2010-0017 | S09-0437 | April 6, 2010 | Heritage Diamond Joint Venture
06/29/2010 – All Respondents – Final Order – No Response | Cease & Desist | cease-desist | |
| OB-2004-0002 | S03-0016 | April 1, 2010 | Edwin Joseph Forte III | Order to Bar | order-of-bar | |
| OV-2009-0004 | S09-0320 | March 30, 2010 | Carina Technology, Incorporated | Order to Vacate | order-to-vacate | |
| CO-2004-0017 | S02-0029 | March 24, 2010 | Resource Development International | Consent Order, Promissory Notes | consent-order promissory-notes | |
| CO-2010-0015 | S05-0282 | March 8, 2010 | American General Securities Incorporated | Consent Order | consent-order | |
| OR-2010-0014 | S03-0008 | March 5, 2010 | Timothy M. Gautney
10/21/2010 – Timothy M. Gautney – Final Order By Commission Decision | Order to Revoke | order-to-revoke | |
| CD-2010-0013 | S09-0263 | March 3, 2010 | Gulf Coast Western LLC. | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| CD-2010-0012 | S08-0380 | March 2, 2010 | Capital Management Advisors Inc. | Cease & Desist | cease-desist | |
| CD-2010-0011 | S10-0010 | March 1, 2010 | Tri-Crescent Energy Corp | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| CD-2010-0010 | S09-0492 | March 1, 2010 | Joseph Neville Wier
03/30/2010 – All Respondents – Final Order Due to no Response | Cease & Desist | cease-desist | |
| OB-2010-0009 | S07-0482 | February 23, 2010 | Steven A. Cantor | Order to Bar | order-of-bar | |
| CD-2010-0008 | S09-0466 | February 18, 2010 | Tix Ranch Well #1 Joint Venture
11/01/2010 – Harley Garvin – Final Order Failure to Schedule Informal Hearing
03/07/2011 – Michael Suarez
08/25/2015 – Jerry Zepeda – Final Order Due to No Response. | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| CO-2009-0019 | S00-0093 | February 18, 2010 | Morgan Keegan & Company | Consent Order | consent-order | |
| CO-2010-0007 | S10-0051 | February 10, 2010 | Morgan Stanley & Co. Incorporated | Consent Order | consent-order | |
| CD-2010-0006 | S09-0138 | February 1, 2010 | MJG Enterprises, Incorporated
03/19/2010 – Ronald N. Davenport – Final Order Due to No Response
05/18/2010 – MJG Enterprises, Incorporated | Cease & Desist | cease-desist | |
| CD-2010-0005 | S09-0416 | January 29, 2010 | Nobletrading.Com, Inc.
11/01/2010 – Nobletrading.Com, Inc. – Final Order of the Commission | Cease & Desist | cease-desist | |
| CD-2010-0003 | S09-0008 | January 8, 2010 | First Capital Trading
03/19/2010 – First Capital Trading
09/25/2013 – G & G Financial Services | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CD-2010-0004 | S09-0320 | January 8, 2010 | Carina Technology, Incorporated | Cease & Desist | cease-desist | |
| CO-2010-0002 | S09-0325 | January 7, 2010 | Credit Suisse Securities (USA) LLC. | Consent Order | consent-order | |
| CO-2010-0001 | S08-0481 | January 6, 2010 | Envizions Computer Entertainment | Promissory Notes, Consent Order | promissory-notes consent-order | |
| OR-2005-0042 | S03-0008 | December 21, 2009 | Aura Financial Services 02/04/2010 – Aura Financial Services – Final Order for Refusal to Accept Delivery | Order to Revoke | order-to-revoke | |
| CD-2009-0040 | S09-0137 | December 14, 2009 | Winsome Investment Trust 02/09/2011 – All Respondents – Final Order Due to No Response | Cease & Desist | cease-desist | |
| CO-2009-0039 | S09-0050 | December 1, 2009 | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Consent Order | consent-order | |
| CD-2009-0038 | S09-0337 | November 13, 2009 | CBS Homes of Alabama, LLC 01/06/2010 – All Respondents – Final Order Due to No Response
| Cease & Desist | cease-desist | |
| CD-2009-0033 | S09-0317 | November 9, 2009 | Intellimesh Systems Inc 03/31/2010 – Ted Geiger – Final Order Due to No Response 04/20/2010 – Intellimesh Systems Inc – Final Order Due Provided Information was Incomplete and Inadequate. | Cease & Desist | cease-desist | |
| CO-2009-0037 | S09-0280 | November 5, 2009 | Deutsche Bank Securities Inc. | Consent Order | consent-order | |
| CD-2009-0035 | S09-0184 | October 29, 2009 | Eagle Eye Enterprises 12/21/2009 – Jack D. Weight III – Final Order Due to No Response 01/22/2010 – Eagle Eye Enterprises – Final Order Due to No Response
| Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| CD-2009-0034 | S09-0214 | October 26, 2009 | Dorothy of OZ, LLC 12/11/2009 – All Respondents – Final Order Due to No Response | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| CD-2009-0032 | S09-0098 | October 23, 2009 | Intraop Medical Corporation | Cease & Desist | cease-desist | |
| CO-2009-0031 | S09-0232 | October 20, 2009 | RBC Capital Markets Corporation | Consent Order | consent-order | |
| CO-2009-0030 | S09-0389 | October 19, 2009 | Trubee, Collins & Company, Inc | Consent Order | consent-order | |
| SC-2009-0029 | S09-0227 | October 16, 2009 | Prestige Financial Center Inc. | Financial Exploitation, Show Cause | financial-exploitation show-cause | |
| CD-2009-0024 | S09-0089 | October 7, 2009 | Helping Hands Development Inc. 10/07/2009 – All Respondents – Final Order: | Cease & Desist | cease-desist | |
| OD-2009-0028 | S09-0387 | September 28, 2009 | Ascension Financial Solutions, Inc. | Order of Denial | order-of-denial | |
| CD-2009-0027 | S08-0252 | September 25, 2009 | Westrock Advisors, Inc. 11/08/2010 – Westrock Advisors, Inc. – Final Order Due to Inadequate Response | Cease & Desist | cease-desist | |
| CD-2009-0026 | S08-0460 | September 21, 2009 | Wintex, Inc. 10/28/2009 – Wintex, Inc. – Final Order Due to No Response 01/05/2010 – Vincent Dunne – Final Order Due to No Response | Cease & Desist | cease-desist | |
| CO-2009-0025 | S09-0230 | September 11, 2009 | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Consent Order | consent-order | |
| CO-2009-0023 | S09-0281 | August 18, 2009 | JPMorgan Chase & Co. | Consent Order | consent-order | |
| CO-2008-0020 | S07-0445 | August 17, 2009 | Skyframes, Inc | Consent Order | consent-order | |
| CD-2009-0022 | S08-0282 | August 7, 2009 | Polymer Global Holdings Inc. 11/05/2014 – All Respondents – Final Order – Commission Decision | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CD-2009-0021 | S07-0384 | July 30, 2009 | Lonnie Howard Correll 04/12/2010 – All Respondents – Final Order Failure to Schedule Hearing | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| SC-2009-0020 | S08-0367 | July 21, 2009 | Morgan Keegan and Company, Inc. | Show Cause | show-cause | |
| SC-2009-0019 | S00-0093 | July 17, 2009 | Morgan Keegan & Company | Show Cause | show-cause | |
| CD-2009-0018 | S09-0212 | July 13, 2009 | Hawkins international Inc. 08/25/2009 – All Respondents – Final Order Due to no Response | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CO-2009-0017 | S08-0229 | June 29, 2009 | Bank of America Securities LLC | Consent Order | consent-order | |
| CO-2009-0016 | S08-0122 | June 16, 2009 | Prosper Marketplace, Inc. | Consent Order | consent-order | |
| OV-2007-0014 | S07-0151 | June 16, 2009 | National Foundation of America | Order to Vacate | order-to-vacate | |
| SC-2005-0042A | S03-0008 | June 11, 2009 | Aura Financial Services
12/21/2009 – All Respondents – Final Order due to Insufficient Response | Show Cause | show-cause | |
| SC-2009-0014 | S08-0431 | June 10, 2009 | Park Avenue Securities, LLC | Show Cause | show-cause | |
| CO-2009-0011 | S09-0121 | June 10, 2009 | WACHOVIA Securities , LLC | Consent Order | consent-order | |
| CD-2009-0015 | S08-0431 | June 10, 2009 | Castle Consultants, LLC | Cease & Desist | cease-desist | |
| CO-2009-0012 | S09-0120 | June 4, 2009 | CITIGROUP Global Markets Inc. | Consent Order | consent-order | |
| CD-2009-0013 | S09-0120 | June 2, 2009 | Little River investments 07/09/2009 – All Respondents – Final Order Due to not Exercising His Right for a Hearing | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| OV-2008-0020 | S07-0445 | April 23, 2009 | Skyframes, Inc | Order to Vacate | order-to-vacate | |
| CO-2009-0009 | S07-0293 | April 23, 2009 | Ameriprise Financial services, Inc. | Consent Order | consent-order | |
| CD-2009-0010 | S09-0081 | April 23, 2009 | Starboard Capital, Inc 08/12/2009 – Starboard Capital inc – Final Order Due to no Response 11/28/2012 – Matthew A. Gibson – Final Order – Commission Decision following Informal/Criminal Hearings | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| OV-2007-0036 | S07-0518 | April 17, 2009 | Heartland Energy Development | Order to Vacate | order-to-vacate | |
| CD-2009-0008 | S08-0328 | April 14, 2009 | Sam Jones Carroll III 10/21/2009 – All Respondents – Final Order Due to no Response | Cease & Desist | cease-desist | |
| CD-2009-0007 | S08-0518 | March 13, 2009 | Credit Restoration and Mortgage Consulting, LLC. 06/10/2009 – All Respondents – Final Order Per Legal Division Following an Administrative Hearing | Cease & Desist, Pig Butchering | cease-desist pig-butchering | |
| OB-2008-0015 | S08-0175 | February 27, 2009 | Miller Johnson Steichen | Order to Bar | order-of-bar | |
| CD-2008-0022 Addendum | S08-0151 | February 24, 2009 | Western Pipeline Corporation 08/10/2009 – Chris Jent – Final Order – Waived Right to Hearing Final Order – No Response 08/10/2009 – All Respondents – Final Order – Waived Right to Hearing Final Order – No Response | Cease & Desist, Commodities | cease-desist commodities | |
| CO-2008-0031 | S07-0412 | February 18, 2009 | Lakeside Equity Partners Inc. | Consent Order | consent-order | |
| CD-2009-0005 | S09-0055 | February 18, 2009 | Lyons Ward & Associates LLC 05/11/2009 – All Respondents – Due to failure of Respondents to take possession of the Order | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| CD-2009-0004 | S09-0020 | February 17, 2009 | Unity Invest & Trust LLC 10/20/2009 – All Respondents – Final Order Due to no Response | Cease & Desist | cease-desist | |
| CD-2009-0003 | S08-0536 | February 13, 2009 | Barren Resources Group LLC 07/21/2009 – Barren Resources Group LLC – Final Order Due to no Response 08/07/2009 – William L Moore – Final Order, Agreed to by Respondent | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| CO-2006-0005 | S06-0130 | February 13, 2009 | Mowell Financial Group, Inc. | Consent Order | consent-order | |
| CD-2009-0002 | S08-0236 | January 26, 2009 | Grissom Research Inc | Cease & Desist | cease-desist | |
| OV-2006-0002 | S05-0311 | January 22, 2009 | New World Ventures Investment Inc | Order to Vacate | order-to-vacate | |
| CD-2009-0001 | S08-0376 | January 6, 2009 | Cinema Partners LLC 02/27/2009 – All Respondents – Final Order Due to no Response | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| CO-2007-0019 | S05-0468 | December 29, 2008 | Malory Investments LLC
01/27/2010 – Stephen Strauss
05/05/2011 – Blake William Wilson | Consent Order | consent-order | |
| OS-2008-0038 | S08-0554 | December 17, 2008 | Bernard L. Madoff Investment Securities LLC 02/11/2009 – All Respondents – Final Order – Became a Revocation Order Due to no Response | Order of Suspension | order-of-suspension | |
| OS-2008-0037 | S08-0554 | December 17, 2008 | Bernard Lawrence Madoff 02/11/2009 – All Respondents – Final Order Due to no Response | Order of Suspension | order-of-suspension | |
| CD-2008-0035 | S08-0234 | November 19, 2008 | BAMA Remodeling and Repair, LLC
12/23/2008 – All Respondents – Final Order Due to no Response | Cease & Desist | cease-desist | |
| CD-2008-0033 | S08-0222 | October 27, 2008 | The Forex Project 12/02/2008 – All Respondents – Final Order Due to no Response | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| OV-2008-0031 | S07-0412 | October 22, 2008 | John P. Ley | Order to Vacate | order-to-vacate | |
| CO-2008-0021 | S08-0238 | October 20, 2008 | Rothschild Investment Corp. | Consent Order | consent-order | |
| CD-2008-0031 | S07-0412 | October 9, 2008 | Lakeside Equity Partners Inc. | Cease & Desist | cease-desist | |
| CD-2008-0030 | S08-0255 | October 6, 2008 | The Yelder Group LLC. 11/18/2008 – All Respondents – Final Order – No Response | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CO-2006-0022 | S06-0110 | October 1, 2008 | Audio_EX Inc. | Consent Order | consent-order | |
| CO-2007-0024 | S07-0221 | September 26, 2008 | Newman Energy Corporation | Consent Order | consent-order | |
| CD-2008-0029 | S08-0254 | September 19, 2008 | Evinco Enterprises, LLC 10/27/2008 – All Respondents – Final Order Due to no Response | Pig Butchering, Cease & Desist | pig-butchering cease-desist | |
| CD-2008-0028 | S08-0156 | September 15, 2008 | AJ’s Gifts 10/27/2008 – All Respondents – Final Order Due to no Response | Cease & Desist | cease-desist | |
| CD-2008-0026 | S07-0364 | August 12, 2008 | G&G L. L. C. 09/23/2008 – All Respondents – Final Order Due to no Response | Cease & Desist | cease-desist | |
| OB-2008-0025 | S06-0491 | August 1, 2008 | Charles Edward Atwell 09/23/2008 – All Respondents – Final Order Due to no Response | Order to Bar | order-of-bar | |
| CD-2008-0023 | S-08-0197 | July 24, 2008 | Advanced Worldwide Security Solutions, Inc. 07/01/2009 – All Respondents – Final Order Due To Three unsuccessful attempts to legally serve respondents | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| CD-2008-0022 | S08-0151 | July 16, 2008 | Western Pipeline Corporation | Cease & Desist, Commodities | cease-desist commodities | |
| CD-2008-0021 | S08-0238 | July 9, 2008 | Rothschild Investment Corp. | Cease & Desist | cease-desist | |
| OV-2005-0021 | S04-0322 | June 18, 2008 | Angel Construction, INC. | Order to Vacate | order-to-vacate | |
| CD-2008-0020 | S07-0445 | June 17, 2008 | Skyframes, Inc | Cease & Desist | cease-desist | |
| CO-2008-0009 | S05-0124 | June 11, 2008 | Paul Christopher Schemitz, Sr. | Consent Order | consent-order | |
| CD-2008-0019 | S08-0090 | June 9, 2008 | Del Mar Energy, Inc. 07/22/2014 – Brandon McCloskey – Final Order Due to No Response | Commodities, Imposter Scam, Cease & Desist | commodities imposter-scam cease-desist | |
| CO-2002-0008 | S01-0170 | June 9, 2008 | Ron Adelstein | Consent Order | consent-order | |
| CD-2008-0018 | S08-0187 | June 4, 2008 | Innova Leasing & Management LLC 09/15/2008 – All Respondents – Final Order Due to no Response | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| OV-2004-0002 | S03-0016 | May 28, 2008 | MAX International Broker/Dealer Corp. | Order to Vacate | order-to-vacate | |
| OV-2007-0025 | S07-0412 | May 19, 2008 | Sterling Trust Company | Order to Vacate, Financial Exploitation | order-to-vacate financial-exploitation | |
| CO-2005-0053 | S05-0415 | May 14, 2008 | Texas Securities Partners, INC. | Consent Order | consent-order | |
| CD-2008-0016 | S08-0089 | May 2, 2008 | HBM LLC 05/02/2008 – All Respondents – Final Order Due to no Response | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CD-2008-0015 | S08-0175 | April 15, 2008 | Miller Johnson Steichen 08/27/2008 – All Respondents – Final Order Due to no Response | Cease & Desist | cease-desist | |
| CD-2008-0014 | S07-0553 | April 14, 2008 | lan Burdette Investments, LLC 11/16/2008 – All Respondents – Final Order Due to No Response | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CD-2008-0013 | S07-0373 | April 8, 2008 | Mark Lynwood Ryder 05/13/2008 – All Respondents – Final Order – Waived Right to Hearing | Cease & Desist | cease-desist | |
| CD-2008-0012 | S08-0115 | March 25, 2008 | Retirement Planning Corporation
05/06/2008 – Pete Wayne McGinnis – Final Order Due to no Response 07/02/2009 – Retirement Planning Corporation – Final Order Due to no Response | Financial Exploitation, Cease & Desist | financial-exploitation cease-desist | |
| CO-2008-0011 | S05-0302 | March 19, 2008 | Morgan Stanley & Co. Incorporated | Consent Order | consent-order | |
| OV-2007-0004 | S06-0038 | March 19, 2008 | Edward Daniel Allan | Order to Vacate | order-to-vacate | |
| CD-2008-0009 | S05-0124 | March 18, 2008 | Paul Christopher Schemitz, Sr. | Cease & Desist | cease-desist | |
| CD-2008-0008 | S07-0349 | March 17, 2008 | STARR International Trade Venture 10/27/2008 – All Respondents – Final Order Due to no Response | Cease & Desist | cease-desist | |
| CD-2008-0007 | S07-0545 | February 12, 2008 | Timothy Grant Jones | Cease & Desist | cease-desist | |
| OB-2008-0003 | S06-0169 | January 24, 2008 | Donald C Martin 04/08/2008 – All Respondents – Final Order Due to no Response | Order to Bar | order-of-bar | |
| CO-2007-0033 | S07-0466 | January 8, 2008 | Bill Few Securities, Inc. | Consent Order | consent-order | |
| CD-2008-0002 | S07-0527 | January 2, 2008 | Compass Trading Enterprises (aka) Compass Trading LLC.
03/30/2009 – All Respondents – Final Order Due to no Response | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CD-2008-0001 | S07-0451 | January 2, 2008 | LYR Enterprises LLC. (aka) LYR Enterprises, Inc.
02/06/2008 – All Respondents – Final Order Due to no Response | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CO-2007-0032 | S07-0463 | January 2, 2008 | PATAPSCO Securities, Inc. | Consent Order | consent-order | |
| CO-2007-0013 | S05-0422 | December 25, 2007 | Thomas Lane Butts | Consent Order | consent-order | |
| CD-2007-0037 | S07-0438 | December 17, 2007 | Two Guy’s Publications Inc.
01/23/2008 – All Respondents – Final Order – No Response | Cease & Desist | cease-desist | |
| CD-2007-0036 | S07-0518 | December 17, 2007 | Heartland Energy Development | Cease & Desist | cease-desist | |
| CD-2007-0035 | S07-0343 | December 11, 2007 | Bull or Bear Trading Inc.
09/24/2009 – All Respondents – Final Order – Incarceration | Cease & Desist | cease-desist | |
| OD-2007-0034 | S07-0524 | December 5, 2007 | GO Credit, Inc. | Order of Denial | order-of-denial | |
| CD-2007-0033 | S07-0466 | December 3, 2007 | Bill Few Securities, Inc. | Cease & Desist | cease-desist | |
| CD-2007-0032 | S07-0463 | December 3, 2007 | Chapin Davis, Inc. | Cease & Desist | cease-desist | |
| CD-2007-0030 | S07-0301 | November 14, 2007 | Asif Usman Kiani | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CD-2007-0029 | S07-0276 | November 14, 2007 | Petrologistiks LLC
01/07/2008 – All Respondents – Final Order – No Response | Commodities, Cease & Desist | commodities cease-desist | |
| CD-2007-0028 | S07-0344 | October 26, 2007 | Rodrick Glenn Wall | Cease & Desist | cease-desist | |
| CD-2007-0025 | S07-0412 | October 12, 2007 | Center for Senior Planning | Cease & Desist, Financial Exploitation | cease-desist financial-exploitation | |
| CD-2007-0027 | S05-0393 | September 26, 2007 | James William Griffith | Cease & Desist | cease-desist | |
| CO-2006-0046 | S06-0524 | August 30, 2007 | Capital Guardian, LLC. | Consent Order | consent-order | |
| CD-2007-0024 | S07-0221 | August 24, 2007 | Newman Energy Corporation | Cease & Desist | cease-desist | |
| CO-2006-0014 | S05-0439 | August 2, 2007 | Legacy Capital Corporation 09/26/2008 – David W. Partrick – Final Order by request of Respondent | Consent Order | consent-order | |
| CD-2007-0023 | S07-0327 | July 31, 2007 | Beaty Ford
08/26/2007 – Beaty Ford | Cease & Desist | cease-desist | |
| CO-2006-0032 | S06-0353 | July 20, 2007 | Moors & Cabot Financial Advisors, LLC. | Consent Order | consent-order | |
| CD-2007-0019 | S05-0468 | July 15, 2007 | Malory Investments LLC | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CD/SC-2007-0021 | S07-0203 | July 10, 2007 | Gary Allen Mitchell | Show Cause, Cease & Desist | show-cause cease-desist | |
| CD-2007-0022 | S07-0203 | July 10, 2007 | Gene Grobstein | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CD-2007-0020 | S07-0203 | July 10, 2007 | James R Hunt | Cease & Desist | cease-desist | |
| CO-2006-0047 | S06-0591 | June 20, 2007 | Manarin Securities Corporation | Consent Order | consent-order | |
| CO-2007-0011 | S05-0334 | June 11, 2007 | American Heritage Church Finance Inc.
06/06/2007 – Thomas Marshall Collins Jr. | Consent Order, Affinity Fraud | consent-order affinity-fraud | |
| CD-2007-0016 | S07-0008 | June 6, 2007 | Charles Williams
09/11/2007 – All Respondents – Final Order due to no Response | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CO-2006-0026 | S06-0272 | May 29, 2007 | David A. Costello, Jr. | Consent Order | consent-order | |
| CO-2007-0011 | S05-0334 | May 29, 2007 | Thomas Stewart Davidson | Affinity Fraud, Consent Order | affinity-fraud consent-order | |
| CD-2007-0015 | S07-0248 | May 29, 2007 | Allied Energy Group
06/09/2009 – All Respondents – Final Order due to no Response | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| CD-2007-0014 | S07-0151 | May 21, 2007 | National Foundation of America
06/12/2009 – National Foundation of America | Cease & Desist | cease-desist | |
| CO-2006-0040 | S06-0424 | May 15, 2007 | Tidwell Dewitt Investment Services, LLC | Consent Order | consent-order | |
| SC-2007-0013 | S05-0422 | May 15, 2007 | Thomas Lane Butts | Cease & Desist | cease-desist | |
| CO-2007-0011 | S05-0334 | May 15, 2007 | John Michael Greer Sr. | Affinity Fraud, Consent Order | affinity-fraud consent-order | |
| CO-2007-0011 | S05-0334 | May 15, 2007 | Garry Keith Beasinger | Consent Order | consent-order | |
| OB-2005-0002 | S04-0125 | April 19, 2007 | Brian Alan Blackmon | Order to Bar | order-of-bar | |
| CD-2007-0011 | S05-0334 | April 19, 2007 | American Heritage Church Finance Inc. | Cease & Desist, Affinity Fraud | cease-desist affinity-fraud | |
| CO-2006-0039 | S06-0471 | April 16, 2007 | M. J. Wenning & Associates | Consent Order | consent-order | |
| CD-2007-0009 | S06-0322 | April 5, 2007 | Plexpay Network
08/23/2007 – All Respondents – Final Order due to no Response | Cease & Desist | cease-desist | |
| CD-2007-0006 | S06-0065 | February 23, 2007 | Ascension Financial Solutions
11/06/2008 – All Respondents – Final Order due to no Response | Commodities, Cease & Desist | commodities cease-desist | |
| OV-2006-0012 | S05-0027 | February 22, 2007 | Herbert J. Loerch | Order to Vacate | order-to-vacate | |
| CO-2006-0027 | S06-0277 | February 22, 2007 | Garden State Securities, Inc. | Consent Order | consent-order | |
| CD-2007-0005 | S04-0303 | February 7, 2007 | Aspen Exploration Inc.
08/06/2007 – All Respondents – Final Order – No Response | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| CO-2006-0007 | S06-0070 | February 2, 2007 | Gulftex Operating, Inc. | Consent Order, Commodities | consent-order commodities | |
| CD-2007-0001 | S07-0025 | February 1, 2007 | Trinity Oil & Gas Drilling, Inc.
05/15/2007 – All Respondents – Final Order due to no Response | Commodities, Cease & Desist | commodities cease-desist | |
| CD-2007-0004 | S06-0038 | January 30, 2007 | Brookstone Capital, Inc. | Cease & Desist | cease-desist | |
| CD-2007-0003 | S06-0212 | January 30, 2007 | Like Minded Inc.
03/29/2007 – All Respondents – Final Order due to no Response | Cease & Desist | cease-desist | |
| CD-2007-0002 | S06-0526 | January 29, 2007 | Lysle John Fleming Jr.
02/04/2008 – All Respondents – Final Order due to no Response | Cease & Desist | cease-desist | |
| CO-2006-0013 | S06-0143 | December 28, 2006 | Omni Brokerage, Inc. | Consent Order | consent-order | |
| CD-2006-0048 | S06-0506 | December 21, 2006 | Broad Street Securities, Inc. | Cease & Desist | cease-desist | |
| CD-2006-0047 | S06-0591 | December 21, 2006 | Manarin Securities Corporation | Cease & Desist | cease-desist | |
| CD-2006-0046 | S06-0524 | December 21, 2006 | Capital Guardian, LLC. | Cease & Desist | cease-desist | |
| CD-2006-0045 | S06-0515 | December 21, 2006 | Strand, Atkinson, Williams & York, Inc. | Cease & Desist | cease-desist | |
| CD-2006-0044 | S06-0525 | December 19, 2006 | Roberts Investment Group | Cease & Desist | cease-desist | |
| CD-2006-0043 | S06-0422 | December 19, 2006 | Sacco & Vanzetti LLC
09/11/2008 – Sacco & Vanzetti LLC – Final Order due to no response | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| OB-2006-0042 | S01-0196 | December 12, 2006 | Earnest Paul Lamonica | Order to Bar | order-of-bar | |
| CD-2006-0049 | S06-0393 | December 8, 2006 | Mid-America Energy Inc. | Cease & Desist, Commodities | cease-desist commodities | |
| CD-2006-0040 | S06-0424 | November 7, 2006 | Tidwell Dewitt Investment Services, LLC | Cease & Desist | cease-desist | |
| CD-2006-0039 | S06-0471 | November 7, 2006 | M. J. Wenning & Associates | Cease & Desist | cease-desist | |
| CD-2006-0038 | S04-0403 | November 6, 2006 | Charter One Capital Holdings Inc. 05/07/2007 – All Respondents – Final Order due to no response
| Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| OV-2006-0032 | S06-0353 | October 3, 2006 | Nicholas Rosario Lazio | Order to Vacate | order-to-vacate | |
| CD-2006-0036 | S06-0023 | September 21, 2006 | Consolidated Management Group, LLC | Cease & Desist | cease-desist | |
| CO-2006-0029 | S06-0291 | September 5, 2006 | Divine Capital Markets LLC. | Consent Order | consent-order | |
| CD-2006-0035 | S06-0036 | August 18, 2006 | OTR Media, Inc.
05/07/2008 – All Respondents – Final Order Due To No Response | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| CD-2006-0034 | S05-0440 | August 16, 2006 | Merchant’s Commerce Solution, Inc. | Cease & Desist | cease-desist | |
| CO-2005-00382 | S05-0218 | August 14, 2006 | Biotelligent, Inc. | Consent Order | consent-order | |
| CO-2005-0038 | S05-0218 | August 14, 2006 | Biotelligent, Inc. | Consent Order | consent-order | |
| OV-2005-0051B | S05-0234 | August 9, 2006 | Gravity Entertainment, Inc | Order to Vacate | order-to-vacate | |
| OV-2005-0051 | S05-0234 | August 9, 2006 | Gravity Entertainment, Inc | Order to Vacate | order-to-vacate | |
| CO-2005-0051 | S05-0234 | August 9, 2006 | Gravity Entertainment, Inc | Consent Order | consent-order | |
| CD-2006-0032 | S06-0353 | August 8, 2006 | Moors & Cabot Financial Advisors, LLC. | Cease & Desist | cease-desist | |
| CO-2005-0002 | S04-0125 | July 31, 2006 | Brian Alan Blackmon | Consent Order | consent-order | |
| CD-2006-0031 | S06-0173 | July 21, 2006 | Consulting Dynamics, Inc. | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| CD-2006-0030 | S05-0396 | July 11, 2006 | AB Watley Direct
02/05/2009 – All Respondents – Final Order due to no Response | Cease & Desist | cease-desist | |
| CD-2006-0029 | S06-0291 | June 21, 2006 | Divine Capital Markets, LLC. | Cease & Desist | cease-desist | |
| CD-2006-0027 | S06-0277 | June 14, 2006 | Garden State Securities, Inc. | Cease & Desist | cease-desist | |
| CD-2006-0026 | S06-0272 | June 13, 2006 | David A. Costello, Jr. | Cease & Desist | cease-desist | |
| CD-2005-0039 Addendum | S05-0216 | June 13, 2006 | Womans Wall Street, Inc 12/19/2008 – All Respondents – Final Order due to no response | Cease & Desist | cease-desist | |
| CD-2006-0025 | S06-0100 | June 12, 2006 | Yucatan Investment Corp | Cease & Desist | cease-desist | |
| OV-2002-0017 | S01-0126 | May 30, 2006 | Robert David Child | Order to Vacate | order-to-vacate | |
| CO-2006-0009 | S06-0073 | May 26, 2006 | Triton EP, LLC. | Commodities, Consent Order | commodities consent-order | |
| CD-2006-0024 | S05-0216 | May 26, 2006 | David Bennett 12/19/2008 – All Respondents – Final Order due to no Response
| Cease & Desist | cease-desist | |
| CD-2006-0022 | S06-0110 | May 15, 2006 | Audio_EX Inc.
04/22/2008 – Audio-Ex Inc. – Final Order Due To No Response | Cease & Desist | cease-desist | |
| OV-2006-0011 | S06-0132 | May 12, 2006 | Kenneth, Jerome & Co., Inc. | Order to Vacate | order-to-vacate | |
| OB-2006-0017 | S05-0233 | May 11, 2006 | Larry Snow 07/28/2006 – Larry Snow – Final Order due to no response | Order to Bar | order-of-bar | |
| OV-2005-0003 | S05-0021 | May 1, 2006 | Grove Financial Group, Inc | Promissory Notes, Order to Vacate | promissory-notes order-to-vacate | |
| CD-2006-0021 | S05-0054 | April 27, 2006 | American Enterprises, Inc.
06/21/2006 – All Respondents – Final Order due to no response | Cease & Desist | cease-desist | |
| CD-2006-0020 | S06-0067 | April 27, 2006 | Samuel & Cohen Media, LLC 06/20/2006 – All Respondents – Final Order due to no response | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| CD-2006-0015 Amended | S06-0065 | April 27, 2006 | Heartland Resourses
11/06/2008 – All Respondents – Final Order due to no response | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| CD-2006-0018 Amended | S05-0039 | April 26, 2006 | North American Resource Group Corp. | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| CD-2006-0019 | S05-0039 | March 29, 2006 | Sybil’s New Life Christian Supply Inc. | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CD-2006-0018 | S05-0039 | March 29, 2006 | North American Resource Group Corp. | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| SC-2006-0017 | S06-0167 | March 23, 2006 | Larry Snow | Show Cause | show-cause | |
| CD-2006-0015 | S06-0065 | March 22, 2006 | Heartland Resourses 11/06/2008 – All Respondents – Final Order due to no response | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| CD-2006-0014 | S05-0439 | March 16, 2006 | Legacy Capital Corporation | Cease & Desist | cease-desist | |
| OV-2005-0050 | S03-0039 | March 15, 2006 | First Trust Company of
06/21/2006 – All Respondents – Final Order due to no response | Order to Vacate | order-to-vacate | |
| SC-2006-0013 | S06-0143 | March 10, 2006 | Omni Brokerage, Inc. | Show Cause | show-cause | |
| CD-2006-0012 | S05-0027 | March 9, 2006 | Tom Mann Outdoors, Inc. | Cease & Desist | cease-desist | |
| SC-2006-0011 | S06-0132 | March 8, 2006 | Kenneth, Jerome & Co., Inc. | Show Cause | show-cause | |
| CD-2006-0010 | S05-0283 | March 8, 2006 | Shrimpboat USA Inc. | Cease & Desist | cease-desist | |
| CD-2006-0009 | S06-0073 | March 6, 2006 | Triton EP, LLC. | Cease & Desist, Commodities | cease-desist commodities | |
| CD-2006-0008 | S06-0071 | March 6, 2006 | P H Consulting, LLC.
07/05/2006 – All Respondents – Final Order due to no Response | Cease & Desist, Commodities | cease-desist commodities | |
| CD-2006-0007 | S06-0070 | March 6, 2006 | Gulftex Operating, Inc. | Commodities, Cease & Desist | commodities cease-desist | |
| CD-2006-0006 | S05-0335 | March 6, 2006 | Adaven, Inc.
07/27/2006 – Adaven Inc. – Final Order due to No Response 03/18/2009 – Norris R. Harris – Final Order due to No Response | Commodities, Cease & Desist | commodities cease-desist | |
| CD-2006-0005 | S06-0130 | March 6, 2006 | Mowell Financial Group, Inc. | Cease & Desist | cease-desist | |
| CO-2005-0025 | S05-0163 | February 23, 2006 | Oceanfront Equity Holdings, Inc. | Consent Order | consent-order | |
| CO-2006-0004 | I06-0024 | January 20, 2006 | Callins Asset Management, LLC. | Consent Order | consent-order | |
| CD-2006-0003 | S05-0309 | January 18, 2006 | Pro Systems Marketing Inc
06/01/2006 – All Respondents – Final Order due to no Response | Cease & Desist | cease-desist | |
| CD-2006-0002 | S05-0311 | January 18, 2006 | New World Ventures Investment Inc 07/09/2007 – All Respondents – Final Order due to no Response | Cease & Desist | cease-desist | |
| CD-2006-0001 | S05-0338 | January 4, 2006 | Key Real Estate Services LLC. | Cease & Desist | cease-desist | |
| CD-2005-0029 Addendum | S02-0378 | January 4, 2006 | Mobile Billboards of America, Inc. 05/24/2006 – All Respondents – Final Order due to no response | Cease & Desist | cease-desist | |
| SC-2005-0054 | S05-0415 | December 14, 2005 | Texas Securities Partners, Inc. | Imposter Scam, Show Cause | imposter-scam show-cause | |
| CD-2005-0053 | S05-0415 | December 14, 2005 | Northstar Energy, Inc. | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| CO-2005- 0053 | S05-0415 | December 14, 2005 | Texas Securities Partners, INC. | Consent Order, Imposter Scam | consent-order imposter-scam | |
| CD-2005-0052 | S05-0139 | December 13, 2005 | Conecuh Brands LLC | Cease & Desist | cease-desist | |
| CD-2005-0051 Addendum | S05-0234 | November 29, 2005 | Gravity Entertainment, Inc. | Cease & Desist | cease-desist | |
| CD-2005-0051 | S05-0234 | November 29, 2005 | Gravity Entertainment, Inc. | Cease & Desist | cease-desist | |
| CD-2005-0050 | S03-0039 | November 9, 2005 | Horizon Medical Group, Inc. | Cease & Desist | cease-desist | |
| CD-2005-0049 | S05-0141 | November 9, 2005 | Celecast Inc. | Cease & Desist | cease-desist | |
| CD-2005-0048 | S05-0028 | November 2, 2005 | Jayel Accounting Consultants, Inc 04/12/2007 – All Respondents – Final Order due to no response
| Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CD-2005-0047 | S05-0001 | October 19, 2005 | Christopher Reyes | Cease & Desist | cease-desist | |
| CD-2005-0046 | S05-0219 | October 18, 2005 | Eagle Storage & Development, LLC | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| CD-2005-0044 | S05-0220 | October 12, 2005 | NJ Affordable Homes Corp. 10/03/2006 – All Respondents – Final Order due to no response | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CO-2005-0032 | S00-0093 | October 5, 2005 | Morgan Keegan & Company | Consent Order | consent-order | |
| CO-2004-0004B | S02-0107 | October 4, 2005 | Amerifirst Foundation, INC. | Consent Order | consent-order | |
| SC-2005-0043 | 04-03694 | September 27, 2005 | Bayou Securities, LLC | Show Cause | show-cause | |
| SC-2005-0032 | S00-0093 | September 26, 2005 | Morgan Keegan & Company | Show Cause | show-cause | |
| RC-2005-0037 | S00-0093 | September 26, 2005 | Woodley Hannon Bagwell | Order of Limited Registration & Censor | order-of-limited-registration-censor | |
| OB-2005-0035 | S00-0093 | September 26, 2005 | John Allen Jones IV | Order to Bar | order-of-bar | |
| OB-2005-0034 | S00-0093 | September 26, 2005 | Hampton F. Hook | Order to Bar | order-of-bar | |
| OB-2005-0033 | S00-0093 | September 26, 2005 | Robert Shawn Ellison | Order to Bar | order-of-bar | |
| LR-2005-0036 | S00-0093 | September 26, 2005 | George Earl Bagwell | Order of Limited Reinstatement | order-of-limited-reinstatement | |
| CD-2005-0040 | S05-0264 | September 23, 2005 | Christopher Kyle Croft | Cease & Desist | cease-desist | |
| CO-2005-0041 | S05-0099 | September 15, 2005 | Waddell & Reed, Inc. | Consent Order | consent-order | |
| CD-2005-0039 | S05-0216 | September 12, 2005 | Womans Wall Street, Inc | Cease & Desist | cease-desist | |
| CD-2005-0038 | S05-0218 | September 12, 2005 | Biotelligent, Inc. | Cease & Desist | cease-desist | |
| OR-2005-0043 | 04-03694 | September 8, 2005 | Bayou Securities, LLC | Order to Revoke | order-to-revoke | |
| CD-2005-0031 | S04-0379 | September 7, 2005 | Universal Luxury Coaches, LLC. 05/25/2006 – All Respondents – Final Order due to no response | Cease & Desist | cease-desist | |
| CD-2005-0028 | S05-0090 | September 7, 2005 | Quadra Pay Land, LLC | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| CD-2005-0030 | S03-0128 | September 6, 2005 | TLC Investments LLC. | Cease & Desist | cease-desist | |
| CD-2005-0029 | S02-0378 | September 6, 2005 | Mobile Billboards of America, Inc. | Cease & Desist | cease-desist | |
| SC-2005-0042 | S03-0008 | September 5, 2005 | Aura Financial Services | Show Cause | show-cause | |
| CD-2005-0027 | S05-0153 | August 25, 2005 | Alpine Petroleum, LLC | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| CD-2005-0026 | S05-0217 | August 25, 2005 | Freedom Online, INC.
06/21/2006 – All Respondents – Final Order due to no response | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| CD-2005-0025 | S05-0163 | August 25, 2005 | OceanFront Equity Holdings, Inc. | Cease & Desist | cease-desist | |
| OB-2005-0024 | S04-0243 | August 19, 2005 | Back Bay Capital, INC. | Order to Bar | order-of-bar | |
| CD-2005-0023 | S05-0095 | August 1, 2005 | People in Profit Systems, INC. | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| CO-2005-0001 | S04-0245 | May 31, 2005 | Alan Scott Daniels | Promissory Notes, Consent Order | promissory-notes consent-order | |
| CO-2004-0004 | S02-0107 | May 31, 2005 | S. Howard Smith | Consent Order | consent-order | |
| CO-2005-0053 | S05-0415 | May 14, 2005 | Northstar Energy, INC. | Consent Order | consent-order | |
| CD-2005-0022 | S03-0154 | May 5, 2005 | Ronald Dover Holland
10/01/2008 – All Respondents – Final Order due to no Response | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CD-2005-0021 | S04-0322 | May 3, 2005 | Angel Construction, INC. | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CO-2005-0020 | S01-0024 | April 22, 2005 | Prudential Securities INC. | Consent Order | consent-order | |
| CO-2005-0019 | I05-0136 | April 21, 2005 | The Meta Company, LLC | Consent Order | consent-order | |
| CO-2005-0018 | S05-0035 | April 11, 2005 | O. Bruce Mikell | Consent Order | consent-order | |
| CD-2005-0018 | S05-0035 | April 11, 2005 | Fortress Foundation INC. | Cease & Desist | cease-desist | |
| CD-2005-0017 | S05-0091 | April 11, 2005 | T. D. & Associates
06/15/2006 – All Respondents – Final Order due to no response | Commodities, Cease & Desist | commodities cease-desist | |
| CD-2005-0016 | S04-0377 | April 8, 2005 | Alden Lee Company, INC. | Cease & Desist | cease-desist | |
| SC-2005-0014 | S03-0063 | April 7, 2005 | Franklin Financial Services Corp. | Show Cause | show-cause | |
| OB-2005-0015 | S03-0063 | April 7, 2005 | Robert Michael Seahorn | Promissory Notes, Order to Bar | promissory-notes order-of-bar | |
| CD-2005-0013 | S03-0063 | April 7, 2005 | Phymed Partners, INC. | Cease & Desist | cease-desist | |
| CD-2005-0012 | S05-0067 | April 7, 2005 | Southern Heritage, INC. | Cease & Desist | cease-desist | |
| CO-2005-0011 Addendum | S04-0430 | March 31, 2005 | Deutsche Bank Securities, INC. | Consent Order | consent-order | |
| CO-2005-0011 | S04-0430 | March 31, 2005 | Deutsche Bank Securities, INC. | Consent Order | consent-order | |
| OR-2005-0010 | S05-0080 | March 28, 2005 | L. H. Ross & Company, INC. | Order to Revoke | order-to-revoke | |
| CD-2005-0009 | S04-0434 | March 17, 2005 | Premium Income Corp. | Cease & Desist | cease-desist | |
| CO-2005-0008 | S04-0431 | March 15, 2005 | Thomas Weisel Partners, LLC | Consent Order | consent-order | |
| CD-2005-0007 | S03-0081 | March 7, 2005 | Riggabella Professional Services, INC.
03/19/2010 – All Respondence – Final Order Due to No Response | Cease & Desist | cease-desist | |
| CO-2005-0005 | S04-0422 | March 4, 2005 | Caruba International, LLC. | Consent Order | consent-order | |
| CD-2005-0005 | S04-0422 | March 4, 2005 | Caruba International, LLC | Cease & Desist | cease-desist | |
| CD-2005-0004 | S04-0261 | February 2, 2005 | Lifeline Imaging, LLC
06/23/2006 – Lifeline Imaging, LLC. | Cease & Desist, Imposter Scam | cease-desist imposter-scam | |
| CD-2005-0003 | S05-0021 | January 24, 2005 | Grove Financial Group, INC | Cease & Desist | cease-desist | |
| SC-2005-0002 | S04-0125 | January 4, 2005 | Brian Alan Blackmon | Show Cause | show-cause | |
| CD-2005-0001 | S04-0245 | January 4, 2005 | Alan Scott Daniels | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| OB-2002-0017 | S01-0126 | December 17, 2004 | Robert David Child | Order to Bar | order-of-bar | |
| OV-2004-0012 | S04-0050 | December 9, 2004 | Presidential FX, Inc. | Order to Vacate | order-to-vacate | |
| CO-2004-0025 | S04-0385 | December 8, 2004 | Crescent Securities Group, Inc. | Consent Order | consent-order | |
| CD-2004-0024 | S03-0117 | October 25, 2004 | 4J Financial Services, LLC | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| SC-2004-0022 | S04-0142 | October 12, 2004 | Park Avenue Securities, LLC | Show Cause | show-cause | |
| CD-2004-0023 | S04-0142 | October 12, 2004 | Fay Chancey | Cease & Desist | cease-desist | |
| CD-2004-0021 | No case # | September 15, 2004 | International Product Investment Corporation | Cease & Desist | cease-desist | |
| CD-2004-0020 | S03-0116 | August 26, 2004 | C & C Vencap Corporation | Cease & Desist | cease-desist | |
| CO-2003-0030 | S03-0026 | August 26, 2004 | T. Phillip Webb | Consent Order | consent-order | |
| CD-2004-0019 | S04-0208 | August 24, 2004 | The Loan Shoppe, Inc | Promissory Notes, Cease & Desist | promissory-notes cease-desist | |
| CD-2004-0018 | S04-0222 | August 24, 2004 | Moola Zoola Inc | Cease & Desist | cease-desist | |
| CD-2004-0017 | S02-0029 | August 24, 2004 | Resource Development International | Cease & Desist | cease-desist | |
| CO-2003-0020 Addendum | S02-0091 | August 2, 2004 | Harry Jelks Vance, Jr. | Consent Order | consent-order | |
| CD-2004-0016 | S04-0082 | July 24, 2004 | Tim Forehand & Associates LLC | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CO-2002-0015 | S02-0030 | July 6, 2004 | Pastor James S. Moore | Consent Order | consent-order | |
| CD-2004-0014 | S04-0142 | June 18, 2004 | Learn Waterhouse, Inc | Cease & Desist | cease-desist | |
| CD-2004-0013 | S02-0149 | June 9, 2004 | Platinum Investment Corp
All Respondents – Final Order due to no Response | Cease & Desist | cease-desist | |
| CD-2004-0012 | S04-0050 | May 24, 2004 | Presidential FX, Inc. | Cease & Desist | cease-desist | |
| CD-2004-0011 | S04-0066 | May 13, 2004 | American Option Service (“AOS”) | Cease & Desist | cease-desist | |
| CD-2004-0010 | S01-0194 | May 13, 2004 | Diversified Consultants | Cease & Desist | cease-desist | |
| CD-2004-0009 | S03-0027 | April 30, 2004 | Sparkle Spring Water, Inc. | Cease & Desist | cease-desist | |
| CD-2004-0008 | S04-0104 | April 23, 2004 | G & G Partnership | Cease & Desist | cease-desist | |
| CD-2004-0007 | S03-0004 | April 6, 2004 | Heyman International, INC. | Cease & Desist | cease-desist | |
| CO-2004-0005 | S04-0064 | March 26, 2004 | AMSouth Investment Services, INC. | Consent Order | consent-order | |
| CD-2004-0006 | S03-0192 | March 22, 2004 | Atkins & Associates | Cease & Desist | cease-desist | |
| CO-2002-0027 | S02-0014 | February 4, 2004 | John H. Seibert | Consent Order | consent-order | |
| CD-2004-0004 | S02-0107 | January 26, 2004 | Amerifirst Foundation INC. | Cease & Desist | cease-desist | |
| CO-2003-0020 | S02-0091 | January 24, 2004 | Rodney Howard Lankford | Consent Order | consent-order | |
| SC-2004-0002 | S03-0016 | January 20, 2004 | MAX International
01/10/2007 – Edwin Joseph Forte III – Final Order due | Show Cause | show-cause | |
| CD-2004-0001 | S02-0224 | January 7, 2004 | PDI Real Estate | Cease & Desist | cease-desist | |
| CD-2003-0036 | S03-0137 | December 29, 2003 | Worldwide Wall Street INC 10/18/2007 – All Respondents – Final Order – Failure to Respond | Cease & Desist | cease-desist | |
| CD-2003-0035 | S03-0167 | December 22, 2003 | Cheaha Management, LLC | Cease & Desist | cease-desist | |
| CD-2003-0034 | S03-0105 | November 24, 2003 | John J. Francisco | Cease & Desist | cease-desist | |
| CO-2003-0033 Addendum | S03-0212 | October 27, 2003 | Credit Suisse First Boston LLC.
| Consent Order | consent-order | |
| CO-2003-0033 | S03-0212 | October 27, 2003 | Credit Suisse First Boston LLC. | Consent Order | consent-order | |
| CO-2003-0032 Addendum | S03-0070 | October 21, 2003 | Citigroup Global Markets INC. | Consent Order | consent-order | |
| CO-2003-0032 | S03-0070 | October 21, 2003 | Citigroup Global Markets INC. | Consent Order | consent-order | |
| OV-2003-0020 | S02-0091 | October 19, 2003 | Raymond James Investments, Inc. | Order to Vacate | order-to-vacate | |
| CO-2003- 0031 Addendum | S03-0072 | October 6, 2003 | Goldman Sachs & Co. | Consent Order | consent-order | |
| CO-2003-0031 | S03-0072 | October 6, 2003 | Goldman Sachs & Co. | Consent Order | consent-order | |
| SC-2003-0030 | S03-0026 | September 30, 2003 | T Phillip Webb | Show Cause | show-cause | |
| CO-2003-0029 Addendum | S03-0071 | September 23, 2003 | U S Bancorp Piper Jaffray INC. | Consent Order | consent-order | |
| CO-2003-0029 | S03-0071 | September 23, 2003 | U S Bancorp Piper Jaffray INC. | Consent Order | consent-order | |
| CO-2003-0028 Addendum | S03-0069 | September 23, 2003 | J P Morgan Securities, INC. | Consent Order | consent-order | |
| CO-2003-0028 | S03-0069 | September 23, 2003 | J P Morgan Securities, INC. | Consent Order | consent-order | |
| CD-2003-0027 | S03-0043 | September 18, 2003 | Yellow Pages Nationwide, Inc. | Cease & Desist | cease-desist | |
| OB-2003-0026 | S95-0082 | September 18, 2003 | Morton Glickman | Order to Bar | order-of-bar | |
| OB-2003-0026 | S95-0082 | September 18, 2003 | Morton Glickman | Order to Bar | order-of-bar | |
| OB-2003-0025 | S95-0082 | September 18, 2003 | Robert Martire | Order to Bar | order-of-bar | |
| CO-2003-0024 Addendum | S03-0074 | September 10, 2003 | Morgan Stanley & Co., INC. | Consent Order | consent-order | |
| CO-2003-0024 | S03-0074 | September 10, 2003 | Morgan Stanley & Co., INC. | Consent Order | consent-order | |
| CO-2003-0023 Addendum | S03-0073 | September 10, 2003 | Bear Stearns & Co., INC. | Consent Order | consent-order | |
| CO-2003-0023 | S03-0073 | September 10, 2003 | Bear Stearns & Co., INC. | Consent Order | consent-order | |
| CD-2003-0022 Addendum | S03-0073 | August 29, 2003 | Positive News Increase, INC. 11/09/2006 – All Respondents – Final Order Due to no Response
| Cease & Desist | cease-desist | |
| CD-2003-0022 | S02-0227 | August 29, 2003 | Positive News Increase, INC.
11/09/2006 – All Respondents – Final Order Due to no Response | Cease & Desist | cease-desist | |
| CD-2003-0019 | S02-0091 | August 29, 2003 | Gadsden LP | Cease & Desist | cease-desist | |
| SC-2003-0020 | S02-0091 | August 29, 2003 | Rodney Howard Lankford | Show Cause | show-cause | |
| OB-2003-0021 | S02-0091 | August 28, 2003 | David Leo Dennis | Order to Bar | order-of-bar | |
| CO-2003-0018 Addendum | S03-0068 | August 21, 2003 | UBS Warburg LLC | Consent Order | consent-order | |
| CO-2003-0018 | S03-0068 | August 21, 2003 | UBS Warburg LLC | Consent Order | consent-order | |
| CD-2003-0017 | S03-0019 | August 20, 2003 | Life Time Capital, INC | Cease & Desist | cease-desist | |
| OV-2002-0020 | S02-0197 | August 14, 2003 | Brian Fredrick Ferraioli | Order to Vacate | order-to-vacate | |
| OV-2002-0018 | S02-0172 | August 8, 2003 | Heartland Energy Inc. | Order to Vacate, Promissory Notes | order-to-vacate promissory-notes | |
| SC-2003-0016 | S03-0101 | August 1, 2003 | Gold Coast Securities Inc. | Commodities, Show Cause | commodities show-cause | |
| CD-2003-0015 | S03-0086 | July 28, 2003 | LSI Regional Development | Cease & Desist | cease-desist | |
| CD-2003-0014 | S03-0097 | July 15, 2003 | Jed Philip Kaplan | Cease & Desist | cease-desist | |
| OB-2003-0013 | S02-0197 | July 7, 2003 | Christian Negohosian | Order to Bar | order-of-bar | |
| CD-2003-0012 | S02-0205 | June 10, 2003 | Terry Harris 01/11/2006 – All Respondents – Final Order – Failure to Respond | Cease & Desist | cease-desist | |
| CD-2003-0011 | S02-0117 | June 6, 2003 | Trade Partners Inc. | Cease & Desist | cease-desist | |
| CO-2003-0010 | S02-0095 | April 24, 2003 | Lehman Brothers Inc. | Consent Order | consent-order | |
| OV-2003-0002 | S03-0001 | April 18, 2003 | Cherokee Energy Co., LLC | Order to Vacate, Imposter Scam | order-to-vacate imposter-scam | |
| CD-2003-0009 | S01-0169 | April 17, 2003 | Iron Horse Petroleum, Inc. | Cease & Desist, Commodities | cease-desist commodities | |
| CD-2003-0008 | S99-0198 | April 17, 2003 | The Albert Schweitzer Society USA, Inc. | Cease & Desist | cease-desist | |
| OV-2001-0010 | S00-0285 | April 15, 2003 | Attractions Plus | Order to Vacate | order-to-vacate | |
| OB-2003-0007 | S00-0331 | March 18, 2003 | Weddington Bishop Kelly Jr | Order to Bar | order-of-bar | |
| CD-2003-0006 | S02-0151 | March 6, 2003 | Charles Wadkins | Cease & Desist | cease-desist | |
| CD-2003-0005 | S02-0206 | March 3, 2003 | Foster Gas Corporation | Commodities, Cease & Desist | commodities cease-desist | |
| OB-2003-0004 | S01-0181 | February 28, 2003 | James K. Matter | Order to Bar | order-of-bar | |
| CD-2003-0003 | S02-0021 | February 6, 2003 | William Pierre Crotts | Cease & Desist, Affinity Fraud | cease-desist affinity-fraud | |
| CD-2003-0002 | S03-0001 | February 5, 2003 | Cherokee Energy Co., LLC | Imposter Scam, Cease & Desist | imposter-scam cease-desist | |
| CD-2003-0001 | S99-0128 | January 29, 2003 | Robert Hammond Wilkins | Cease & Desist | cease-desist | |
| CD-2002-0027 | S02-0014 | December 20, 2002 | John H. Seibert | Cease & Desist | cease-desist | |
| CD-2002-0026 | S00-0181 | December 6, 2002 | Dianna Blair Torbett | Cease & Desist | cease-desist | |
| CD-2002-0025 | S02-0015 | November 18, 2002 | Texan Energy Corp Inc. | Cease & Desist | cease-desist | |
| CO-2002-0028 | S02-0097 | November 4, 2002 | Merrill Lynch, Pierce, Fenner, & Smith, Inc. | Consent Order | consent-order | |
| CD-2002-0024 | S00-0330 | October 30, 2002 | Hotel Connect, MGT, LLC. 03/08/2006 – All Respondents – Final Order Criminal Conviction | Cease & Desist | cease-desist | |
| CD-2002-0023 | S02-0035 | October 30, 2002 | Jack Chapman | Cease & Desist | cease-desist | |
| SC-2002-0022 | S01-0198 | October 15, 2002 | Forrest Granville Bruner | Show Cause | show-cause | |
| CO-2002-0010 | S02-0120 | October 10, 2002 | Coastal Discount Stockbrokers, Inc. | Consent Order | consent-order | |
| CD-2002-0021 | S02-0001 | October 8, 2002 | Mammoth Capital Corp. | Cease & Desist | cease-desist | |
| CD-2002-0020 | S02-0197 | October 8, 2002 | Brian Fredrick Ferraioli | Cease & Desist | cease-desist | |
| CD-2002-0019 | S02-0173 | September 16, 2002 | Cyber Vention L.L.C | Cease & Desist | cease-desist | |
| CD-2002-0018 | S02-0172 | September 16, 2002 | Heartland Energy Inc. | Cease & Desist | cease-desist | |
| SC-2002-0017 | S01-0126 | September 5, 2002 | Robert David Child | Show Cause | show-cause | |
| CD-2002-0015 | S02-0030 | August 14, 2002 | Pastor James S. Moore | Cease & Desist, Affinity Fraud | cease-desist affinity-fraud | |
| CO-2001-0018 | S01-0091 | August 13, 2002 | Viatical & Elderly Settlement Providers, LLC | Promissory Notes, Consent Order | promissory-notes consent-order | |
| CD-2002-0016 | S02-0114 | August 13, 2002 | Gregory D. Matthews | Commodities, Cease & Desist | commodities cease-desist | |
| CO-2002-0009 | S02-0099 | July 29, 2002 | Florida Capital Apartment Partners (Jacksonville) LTD | Consent Order | consent-order | |
| OB-2002-0014 | S00-0132 | July 15, 2002 | John Belkin | Order to Bar | order-of-bar | |
| OB-2002-0013 | S00-0132 | July 15, 2002 | Steven Finkelstein | Order to Bar | order-of-bar | |
| OB-2002-0012 | S00-0132 | July 15, 2002 | Salvatore Marasa | Order to Bar | order-of-bar | |
| OB-2002-0011 | S00-0132 | July 15, 2002 | Howard Schwartz | Order to Bar | order-of-bar | |
| CD-2002-0010 | S02-0120 | June 19, 2002 | Coastal Discount Stockbrokers, Inc. | Cease & Desist | cease-desist | |
| CO-2002-0003 | S02-0052 | May 21, 2002 | Heartland Investment Associates, Inc. | Consent Order | consent-order | |
| CD-2002-0009 | S02-0099 | May 16, 2002 | Florida Capital Apartment Partners (Jacksonville) LTD | Cease & Desist | cease-desist | |
| OB-2002-0005 | S02-0005 | May 8, 2002 | Ryan O. Rancher | Order to Bar | order-of-bar | |
| SC-2002-0008 | S01-0170 | April 1, 2002 | Josephthal & Company Inc. | Show Cause | show-cause | |
| OB-2002-0006 | S01-0226 | March 26, 2002 | Michael Joseph Esposito | Order to Bar | order-of-bar | |
| OB-2002-0007 | S01-0226 | March 26, 2002 | Michael A. Fortugno | Order to Bar | order-of-bar | |
| CD-2002-0004 | S02-0010 | March 18, 2002 | One Share of Stock, Inc. | Cease & Desist | cease-desist | |
| CD-2002-0003 | S02-0052 | March 4, 2002 | Heartland Investment Associates, Inc. | Cease & Desist | cease-desist | |
| OB-2002-0002 | S96-0123 | February 27, 2002 | Brenda Micklow Lawson | Order to Bar | order-of-bar | |
| OB-2002-0022 | S01-0198 | January 29, 2002 | Forrest Granville Bruner | Order to Bar | order-of-bar | |
| CO-2002-0022 | S01-0198 | January 26, 2002 | Forrest Granville Bruner | Consent Order | consent-order | |
| CO-2002-0021 | S02-0001 | January 22, 2002 | Mammoth Capital Corp. | Consent Order | consent-order | |
| OV-2001-0038 | S01-0125 | January 3, 2002 | National Viatical, Inc | Order to Vacate | order-to-vacate | |
| OB-2002-0001 | S98-0187 | January 3, 2002 | Jere Locke Beasley Jr. | Order to Bar | order-of-bar | |
| CD-2001-0048 | S01-0158 | December 18, 2001 | Payday Today.Com, Inc. | Cease & Desist | cease-desist | |
| CD-2001-0047 | S01-0233 | December 4, 2001 | Gold Capital Management, Inc. | Cease & Desist | cease-desist | |
| CO-2001-0017 | S01-0089 | November 6, 2001 | Exchangemall.com, Inc. | Consent Order | consent-order | |
| OB-2001-0046 | S01-0082 | November 5, 2001 | Thomas John Downey, Jr. | Order to Bar | order-of-bar | |
| CD-2001-0045 | S01-0171 | September 4, 2001 | Health Maintenance Centers Inc. | Cease & Desist | cease-desist | |
| CO-2001-0035 | S00-0284 | August 27, 2001 | Ed Deerman | Consent Order | consent-order | |
| OV-2001-0011 | S01-0049 | August 23, 2001 | Jerry’s Of The Caribbean, LLC | Order to Vacate | order-to-vacate | |
| CD-2001-0044 | S01-0177 | August 22, 2001 | The Silver Club | Cease & Desist | cease-desist | |
| CD-2001-0043 | S01-0133 | August 20, 2001 | USA Transit Facility, Inc | Cease & Desist | cease-desist | |
| CD-2001-0042 | S00-0128 | August 16, 2001 | O’Neal Cleveland 06/05/2008 – Final Order Due to no response | Cease & Desist | cease-desist | |
| CD-2001-0040 | S01-0066 | August 14, 2001 | Pack Currency Management | Cease & Desist | cease-desist | |
| CD-2001-0039 | S01-0156 | July 24, 2001 | Daystar Assembly of God Church | Cease & Desist | cease-desist | |
| SC-2001-0015 | S01-0071 | July 24, 2001 | James C Hulsey, III | Show Cause | show-cause | |
| CD-2001-0041 | S01-0132 | July 14, 2001 | Community Homebanc | Cease & Desist | cease-desist | |
| OB-2001-0017 | S01-0088 | July 11, 2001 | Exchangemall.com, Inc. | Order to Bar | order-of-bar | |
| OB-2001-0016 | S01-0089 | July 10, 2001 | Millennium Associates | Order to Bar | order-of-bar | |
| CD-2001-0038 | S01-0125 | July 9, 2001 | National Viatical, Inc | Cease & Desist | cease-desist | |
| OB-2001-0015 | S01-0071 | June 25, 2001 | James C Hulsey, III | Order to Bar | order-of-bar | |
| CO-2001-0008 | S01-0034 | June 1, 2001 | Wallstreet Associates, Inc. | Consent Order | consent-order | |
| CD-2001-0036 | S01-0122 | June 1, 2001 | The Abernathy Technology Research Institute Inc. | Cease & Desist | cease-desist | |
| CD-2001-0037 | S01-0098 | May 31, 2001 | First Americap Corporation | Cease & Desist | cease-desist | |
| CO-2001-0036 | S01-0122 | May 25, 2001 | The Abernathy Technology Research Institute Inc. | Consent Order | consent-order | |
| OB-2001-0030 | S00-0132 | May 23, 2001 | John James Caso, Jr. | Order to Bar | order-of-bar | |
| OB-2001-0029 | S00-0132 | May 23, 2001 | Peter Laurence Falk | Order to Bar | order-of-bar | |
| OB-2001-0028 | S00-0132 | May 23, 2001 | Christopher Polisano | Order to Bar | order-of-bar | |
| OB-2001-0027 | S00-0132 | May 23, 2001 | Raymond Maglione III | Order to Bar | order-of-bar | |
| OB-2001-0026 | S00-0132 | May 23, 2001 | Victoria Susan Edwards | Order to Bar | order-of-bar | |
| OB-2001-0025 | S00-0132 | May 23, 2001 | John Catalano, Jr. | Order to Bar | order-of-bar | |
| OB-2001-0024 | S00-0132 | May 23, 2001 | Donny Menashe Bashkin | Order to Bar, Promissory Notes | order-of-bar promissory-notes | |
| CD-2001-0035 | S00-0284 | May 23, 2001 | Alabama Sand LLP | Cease & Desist | cease-desist | |
| OB-2001-0034 | S00-0132 | May 23, 2001 | Kenneth Thomas Tripoli | Order to Bar | order-of-bar | |
| OB-2001-0033 | S00-0132 | May 23, 2001 | Michael Caso | Order to Bar | order-of-bar | |
| OB-2001-0032 | S00-0132 | May 23, 2001 | Frank Joseph Messina | Order to Bar | order-of-bar | |
| OB-2001-0031 | S00-0132 | May 23, 2001 | Seth Brian Kanarick | Order to Bar | order-of-bar | |
| CD-2001-0023 | S99-0343 | May 22, 2001 | Elder Care Network, LLC | Cease & Desist | cease-desist | |
| CD-2001-0022 | S01-0105 | May 4, 2001 | Financial Warfare Club, Inc. | Cease & Desist | cease-desist | |
| CD-2001-0021 | S01-0018 | May 4, 2001 | Tri-West Investment Club | Cease & Desist | cease-desist | |
| OB-2001-0019 | S01-0101 | May 2, 2001 | Morris Malone Johnson, Jr. | Order to Bar | order-of-bar | |
| CD-2001-0020 | S00-0087 | May 2, 2001 | Unitel Investments | Cease & Desist | cease-desist | |
| CD-2001-0003 | S01-0016 | April 24, 2001 | American Millennium Corp. Inc. | Cease & Desist | cease-desist | |
| CD-2001-0018 | S01-0091 | April 20, 2001 | Viatical & Elderly Settlement Providers, LLC | Cease & Desist | cease-desist | |
| CD-2001-0017 | S01-0089 | April 18, 2001 | Exchangemall.com, Inc. | Cease & Desist | cease-desist | |
| CD-2001-0016 | S01-0088 | April 18, 2001 | Internet & Television Programming Fund, LLC | Cease & Desist | cease-desist | |
| OS-2001-0015 | S01-0071 | March 27, 2001 | James C Hulsey, III | Order of Suspension | order-of-suspension | |
| OV-2001-0013 | S01-0048 | March 19, 2001 | Your Discount Broker, Inc. | Order to Vacate | order-to-vacate | |
| CO-2001-0047 | S01-0233 | March 17, 2001 | Gold Capital Management, Inc. | Consent Order | consent-order | |
| OB-2001-0014 | S00-0289 | February 21, 2001 | Pamela M Cook | Order to Bar | order-of-bar | |
| CD-2001-0013 | S01-0048 | February 16, 2001 | Your Discount Broker, Inc. | Cease & Desist | cease-desist | |
| CD-2001-0012 | S01-0027 | February 14, 2001 | MN Partners Inc. | Cease & Desist | cease-desist | |
| CD-2001-0011 | S01-0049 | February 12, 2001 | Jerry’s Of The Caribbean, LLC | Cease & Desist | cease-desist | |
| CD-2001-0010 | S00-0285 | February 6, 2001 | Attractions Plus | Cease & Desist | cease-desist | |
| CD-2001-0009 | S00-0153 | February 6, 2001 | ETS Payphones Inc. | Cease & Desist | cease-desist | |
| CD-2001-0008 | S01-0034 | February 1, 2001 | Wallstreet Associates, Inc. | Cease & Desist | cease-desist | |
| CD-2001-0007 | S01-0019 | January 24, 2001 | Hollywood On Air, Inc. | Cease & Desist | cease-desist | |
| CD-2001-0006 | M01-0030 | January 24, 2001 | Aqcess Technologies, Inc. 03/12/2001 – All Respondents Final Order due to no response | Cease & Desist | cease-desist | |
| CD-2001-0004 | S00-0028 | January 12, 2001 | American Internet Research Institute | Cease & Desist | cease-desist | |
| CD-2001-0005 | S00-0220 | January 11, 2001 | Betty S Wood | Cease & Desist | cease-desist | |
| CO-2001-0003 | S01-0016 | January 10, 2001 | Jack Augsback & Company, LLC | Consent Order | consent-order | |
| CD-2001-0002 | S98-0017 | January 10, 2001 | Progressive Primitive Oaks, Inc. | Cease & Desist, Promissory Notes | cease-desist promissory-notes | |
| CD-2001-0001 | S00-0062 | January 3, 2001 | Liberty International Foundation | Cease & Desist, Promissory Notes | cease-desist promissory-notes |