Medium

Consent Order: Ireland & Sando, LLC, and Michael J. Rydell

Tuesday, March 12, 2024

Categories: Enforcement Actions

Administrative Consent Order


Consent Order: Jamieson Capital Financial, LLC, and Jeremy L. Carlson

Friday, January 12, 2024

Categories: Enforcement Actions

Administrative Consent Order


Cease and Desist Order: Taylor Orris Bang

Friday, December 15, 2023

Categories: Enforcement Actions

Cease and Desist Order, Order for Civil Penalty, and Notice of Right to Request a Hearing


Order: Ireland & Sando LLC, and Michael J. Rydell

Thursday, July 27, 2023

Categories: Enforcement Actions

Cease and Desist Order, Notice of and Order for Civil Penalties, Order for Rescission, and Notice of Right to Request a Hearing


AMS Holdings LLC, and Bradley J. Stroup

Wednesday, July 19, 2023

Categories: Enforcement Actions

Cease and Desist Order, Notice of Civil Penalties, Order for Rescission, and Notice of Right to Request a Hearing


Robinhood Financial LLC

Wednesday, July 12, 2023

Categories: Enforcement Actions

Administrative Consent Order


Agridime LLC, a Texas limited liability company, and Joshua Link

Thursday, May 25, 2023

Categories: Enforcement Actions

Cease and Desist Order, Notice of Civil Penalty, and Notice of Right to Request a Hearing


Cattle Company Ordered to Stop Selling Unregistered Securities

Thursday, May 25, 2023

Categories: Enforcement Actions

National Sports Opportunity Partners LLC, a/k/a the trade name, National Sports Opportunity, LLC, Michael R. Kuntz, Jamieson Capital Financial LLC, and Jeremy L. Carlson

Monday, April 24, 2023

Categories: Enforcement Actions

Findings of Fact, Conclusions of Law, Cease and Desist Order, Notice of and Order for Rescission, Notice of and Order for Civil Penalties, Notice of Reservation of Commissioner's Authority to Amend Order, and Notice of Right to Request a Hearing


Final Order: Bio-Sunn Technologies, Inc., Lewis Bauer, Equity Fund International (EFI), Inc., and Christopher Williams

Thursday, February 9, 2023

Categories: Enforcement Actions

Findings of Fact, Conclusions of Law, and Final Order


Consent Order: Nexo Capital, Inc.

Monday, February 6, 2023

Categories: Enforcement Actions

Enforcement Order: Jamieson Capital Financial LLC, a North Dakota Limited Liability Company, and Jeremy L. Carlson

Thursday, December 22, 2022

Categories: Enforcement Actions

Findings of Fact, Conclusions of Law, Cease and Desist Order, Notice of and Order for Rescission, Notice of and Order for Civil Penalties, Notice of Reservation of Commissioner's Authority to Amend Order, and Notice of Right to Request a Hearing


National Sports Opportunity Partners LLC, a/k/a the trade name, National Sports Opportunity LLC, ICON Investment Group, LLC, Leftfield Development, LLC, and Michael Kuntz

Friday, July 29, 2022

Categories: Enforcement Actions

Cease and Desist Order, Notice of Civil Penalties, Order for Rescission, and Notice of Right to Request a Hearing


Jamieson CAPEX Fund, LLC, Jamieson Medical, LLC, Jamieson Natural Resources Fund, LLC, Nova DC, LLC, Secure Income Fund, LLC, Jamieson Legacy Fund, LLC, Mainstreet Investment Partners, LLC, National Sports Capital, LLC, and Jeremy L. Carlson

Monday, July 18, 2022

Categories: Enforcement Actions

Stop Order Summarily Suspending the Offer and Sale of Federal Covered Securities, Cease and Desist Order, Notice of Civil Penalties, and Notice of Right to Request a Hearing


Jamieson Capital Financial, LLC, a North Dakota limited liability company, and Jeremy L. Carlson

Monday, July 18, 2022

Categories: Enforcement Actions

Findings of Fact, Conclusions of Law, Order to Summarily Suspend Investment Adviser Registration, Notice of Proposed Order to Revoke Investment Adviser Registration, Cease and Desist Order, Notice of Civil Penalties, Order for Rescission, Notice of Reservation of Commissioner's Authority to Amend Order, and Notice of Right to Request a Hearing


BlockFi Lending LLC - Consent Order

Friday, April 22, 2022 at 12:01 pm

Categories: Enforcement Actions

Fundrise Entities - Consent Order & Consent to Entry of Order

Friday, July 24, 2020

Categories: Enforcement Actions

LendingClub Corporation - Consent Order & Consent to Entry of Order

Tuesday, July 14, 2020

Categories: Enforcement Actions

Solium Financial Services LLC - Consent Order

Monday, June 22, 2020

Categories: Enforcement Actions

DHA Financial, LLC - Consent Order & Consent to Entry of Order

Monday, March 2, 2020

Categories: Enforcement Actions

LPL Financial LLC - Consent Order

Saturday, February 9, 2019

Categories: Enforcement Actions

Crystal Token and its Officers, Directors, Agents, and Employees - Cease and Desist Order

Wednesday, October 10, 2018

Categories: Enforcement Actions

H. Michael Hardy, RSE, Inc., and Hardy Management Group, LLC - Consent Order

Monday, February 26, 2018

Categories: Enforcement Actions

Questar Capital Corporation - Settlement Agreement

Monday, July 31, 2017

Categories: Enforcement Actions

SagePoint Financial, Inc. - Consent Agreement

Friday, July 15, 2016

Categories: Enforcement Actions

First Financial Equity Corporation - Agreement

Monday, June 13, 2016

Categories: Enforcement Actions

Halcyon Cabot Partners, Ltd. - Order to Revoke the Dealer Registration

Tuesday, November 24, 2015

Categories: Enforcement Actions

Panda Trucking, LLC, Daniel E. Jenkins - Consent to Entry of Order, Consent Order

Friday, June 12, 2015

Categories: Enforcement Actions

Dempsey Lord Smith, LLC - Consent to Entry of Order, Consent Order

Tuesday, January 20, 2015

Categories: Enforcement Actions

J. P. Morgan Securities, LLC - Administrative Consent Order

Sunday, August 24, 2014

Categories: Enforcement Actions

Landolt Securities, Inc. - Consent to Entry of Order, Consent Order

Monday, July 28, 2014

Categories: Enforcement Actions

ATEL Securities Corporation - Consent to Entry of Order, Consent Order

Friday, May 9, 2014

Categories: Enforcement Actions

UBS Financial Services, Inc. - Consent to Entry of Order, Consent Order

Monday, October 14, 2013

Categories: Enforcement Actions

RBC Capital Markets, LLC - Consent to Entry of Order, Administrative Consent Order

Friday, September 27, 2013

Categories: Enforcement Actions

Edwin Brent Lundgren - Order Refusing Registration as an Agent

Friday, September 20, 2013

Categories: Enforcement Actions

Inland National Securities, Inc., David Theusch - Consent Order

Tuesday, April 16, 2013

Categories: Enforcement Actions

Impact Energy, LLC, Eugene L. McArthur, Jr., Mike Ladue, Lynne Hanson - Consent Order

Tuesday, February 26, 2013

Categories: Enforcement Actions

UVEST Financial Services Group, Inc. - Consent Order

Monday, November 26, 2012

Categories: Enforcement Actions

ProEquities, Inc. - Consent Order

Friday, October 19, 2012

Categories: Enforcement Actions

Bankers Life and Casualty Company and BLC Financial Services, Inc. - Consent Order

Wednesday, October 17, 2012

Categories: Enforcement Actions

Freedom USA Investing, LLC, James Young - Cease and Desist Order

Tuesday, July 31, 2012

Categories: Enforcement Actions

Scott L. Biggs - Cease and Desist Order

Tuesday, July 3, 2012

Categories: Enforcement Actions

Alan Bernhagen - Consent Order, Consent to Entry of Order

Monday, March 5, 2012

Categories: Enforcement Actions

Piper Jaffray & Co., Brady Vollmers - Consent Order, Consent to Entry of Order

Thursday, February 16, 2012

Categories: Enforcement Actions

Core Funding Group, L.P., Thomas F. Emmick - Cease and Desist Order

Wednesday, February 8, 2012

Categories: Enforcement Actions

E*TRADE SECURITIES, LLC - Administrative Consent Order, Consent to Entry of Order

Wednesday, February 1, 2012

Categories: Enforcement Actions

Piper Jaffray & Co., Brady Vollmers - Order for and Notice of Civil Penalty

Friday, January 13, 2012

Categories: Enforcement Actions

Associated Financial Services, Inc. - Order to Revoke the Dealer Registration

Thursday, January 12, 2012

Categories: Enforcement Actions

Ronald Dean Bennett d/b/a Ron Bennett Commercial Real Estate - Cease and Desist Order

Wednesday, December 21, 2011

Categories: Enforcement Actions

Brent Kitzan d/b/a Kitzan & Associates - Cease and Desist Order

Wednesday, December 14, 2011

Categories: Enforcement Actions

R. Seelaus & Co. Inc. - Consent Order

Friday, November 25, 2011

Categories: Enforcement Actions

Ross Owen Haugen - Plea Agreement

Monday, November 14, 2011

Categories: Enforcement Actions

Global 1 Consulting, LLC, Joe Suarez - Cease and Desist Order

Friday, July 15, 2011

Categories: Enforcement Actions

A. J. Balfour & Group, Inc., Joseph L. Allen - Cease and Desist Order

Friday, July 15, 2011

Categories: Enforcement Actions

Gibraltar Partners, Inc., Anthony John Johnson - Cease and Desist Order

Monday, May 23, 2011

Categories: Enforcement Actions

RAHFCO Management Group, LLC - Stop Order Summarily Suspending the Offer and Sale

Wednesday, May 4, 2011

Categories: Enforcement Actions

Bio-Sunn, Inc., Lewis A. Bauer - Consent Order

Friday, April 22, 2011

Categories: Enforcement Actions

Michael Barukhin - Consent Agreement

Monday, November 1, 2010

Categories: Enforcement Actions

Jason P. Fettig - Order Refusing Registration as an Agent

Monday, October 18, 2010

Categories: Enforcement Actions

Pop N Go, Inc., Melvin J. Wyman - Cease and Desist Order

Monday, October 18, 2010

Categories: Enforcement Actions

Bradley James Stroup - Cease and Desist Order

Friday, October 15, 2010

Categories: Enforcement Actions

David W. Torson - Cease and Desist Order

Tuesday, September 14, 2010

Categories: Enforcement Actions

RAHFCO Management Group, LLC - Consent Order

Thursday, July 15, 2010

Categories: Enforcement Actions

Goldman, Sachs & Co. - Administrative Consent Order

Tuesday, June 22, 2010

Categories: Enforcement Actions

Blue Investments, LLC, Travis Richey - Cease and Desist Order

Tuesday, June 8, 2010

Categories: Enforcement Actions

Wells Fargo Investments, LLC - Administrative Consent Order

Friday, May 14, 2010

Categories: Enforcement Actions

UBS Securities, LLC, UBS Financial Services Inc. - Administrative Consent Order

Monday, April 26, 2010

Categories: Enforcement Actions

Stifel, Nicolaus & Company, Incorporated , , - Administrative Consent Order

Monday, April 12, 2010

Categories: Enforcement Actions

Que-Corp - Cease and Desist Order

Monday, March 29, 2010

Categories: Enforcement Actions

JP Morgan Chase & Co. - Administrative Consent Order

Monday, August 17, 2009

Categories: Enforcement Actions

Merrill Lynch, Pierce, Fenner & Smith Incorporated - Administrative Consent Order

Monday, June 22, 2009

Categories: Enforcement Actions

RBC Capital Markets Corporation - Administrative Consent Order

Monday, June 22, 2009

Categories: Enforcement Actions

Prosper Marketplace, Inc. - Administrative Consent Order

Tuesday, May 19, 2009

Categories: Enforcement Actions

Pelican Development, L.L.C. - Consent Order

Thursday, May 14, 2009

Categories: Enforcement Actions

Life Partners Inc. - Consent Order

Monday, April 6, 2009

Categories: Enforcement Actions

Wachovia Securities, LLC, Wachovia Capital Markets, LLC - Administrative Consent Order

Wednesday, April 1, 2009

Categories: Enforcement Actions

Citigroup Global Markets Inc. - Administrative Consent Order

Wednesday, April 1, 2009

Categories: Enforcement Actions

Jammie N. Avila - Consent Order

Monday, March 23, 2009

Categories: Enforcement Actions

Jonathan Brewer, Cyprus Builders, Inc. - Cease and Desist Order

Friday, August 15, 2008

Categories: Enforcement Actions

Inland National Securities, Inc., David Theusch, Keith Theusch - Consent Order

Thursday, July 31, 2008

Categories: Enforcement Actions

Morgan Stanley & Co. Incorporated - Findings of Fact

Monday, July 21, 2008

Categories: Enforcement Actions

Dorothy K. Schlabsz -

Tuesday, June 3, 2008

Categories: Enforcement Actions

Andrew Schwandt - Consent Order

Tuesday, March 25, 2008

Categories: Enforcement Actions

Thomas W. Woodard dba Woodward Financial -

Monday, March 17, 2008

Categories: Enforcement Actions

Ashmore Family Foundation, Flint Ashmore, Monte R. Ashmore - Cease and Desist Order

Thursday, October 4, 2007

Categories: Enforcement Actions

Vivian V. Gwin - Order to Summarily Postpone the Approval of Respon

Tuesday, June 26, 2007

Categories: Enforcement Actions

LAS International, Ltd., Neil Whittey, Syver Vinje - Consent Order

Tuesday, June 19, 2007

Categories: Enforcement Actions

Samuel G. Loumer, Michael Kramer - Consent Agreement

Tuesday, May 1, 2007

Categories: Enforcement Actions

CD Acquisition Group, LLC, David Mees - Consent Order

Saturday, March 3, 2007

Categories: Enforcement Actions

A. G. Edwards & Sons, Inc. - Consent Order

Tuesday, January 23, 2007

Categories: Enforcement Actions

Wachovia Capital Markets, LLC - Consent Order

Monday, December 4, 2006

Categories: Enforcement Actions

Piper Jaffray & Co. - Consent Order

Monday, December 4, 2006

Categories: Enforcement Actions

Banker's Life and Casualty Company - Consent Order

Friday, November 17, 2006

Categories: Enforcement Actions

Philip Moshier - Consent Agreement

Tuesday, November 7, 2006

Categories: Enforcement Actions

Berthel Fisher and Company Financial Services, Inc., Timothy Hayden - Consent Order

Tuesday, October 31, 2006

Categories: Enforcement Actions

Ready Cash, Inc., Donald Gehrig - Consent Agreement

Monday, October 30, 2006

Categories: Enforcement Actions

James Wahl - Consent Order

Monday, October 30, 2006

Categories: Enforcement Actions

Lester Westgard - Consent Agreement

Monday, October 23, 2006

Categories: Enforcement Actions

ACAP Financial, Inc., Donald Fisher - Consent Agreement

Tuesday, October 10, 2006

Categories: Enforcement Actions

Lincoln Financial Advisors Corp. - Consent Agreement

Monday, October 9, 2006

Categories: Enforcement Actions

Investment Centers of America, Inc., Larry A. Fust - Consent Agreement

Thursday, September 14, 2006

Categories: Enforcement Actions

Michael L. Puklich - Consent Order

Monday, September 11, 2006

Categories: Enforcement Actions

Capital Growth Financial, LLC, Ross O. Haugen -

Wednesday, September 6, 2006

Categories: Enforcement Actions

David A. Skjerven, Skjerven Financial Services - Cease and Desist Order

Thursday, August 31, 2006

Categories: Enforcement Actions

Piper Jaffray & Co., Brady Vollmers - Consent Order

Wednesday, June 28, 2006

Categories: Enforcement Actions

Anton Kunz, The ABC System - Cease and Desist Order

Wednesday, May 24, 2006

Categories: Enforcement Actions

National Forex Corp., Dennis Drake - Cease and Desist Order

Monday, May 1, 2006

Categories: Enforcement Actions

I2U, Inc., Harold Richard Mladek - Default Order

Thursday, April 13, 2006

Categories: Enforcement Actions

James R. Bullis, Montgomery, Goff & Bullis, P.C. - Cease and Desist Order

Tuesday, March 21, 2006

Categories: Enforcement Actions

Dakota Payphone, LLC - Order to Revoke the Securities Registrations

Thursday, February 2, 2006

Categories: Enforcement Actions

Dakota Payphone, LLC -

Friday, January 13, 2006

Categories: Enforcement Actions

Thomas Weisel Partners, LLC - Administrative Consent Order

Friday, January 13, 2006

Categories: Enforcement Actions

Kevin David Wells - Order to Revoke the Agent Registration

Friday, December 9, 2005

Categories: Enforcement Actions

Dominion Investments, Inc., Tony Adams - Cease and Desist Order

Thursday, December 8, 2005

Categories: Enforcement Actions

I2U, Inc., Harold Richard Mladek - Cease and Desist Order

Tuesday, November 22, 2005

Categories: Enforcement Actions

Kevin David Wells -

Monday, November 14, 2005

Categories: Enforcement Actions

Dale F. Roehrich - Consent Order

Wednesday, October 26, 2005

Categories: Enforcement Actions

CD Acquisition Corp., David Mees - Order for Civil Penalty

Wednesday, September 7, 2005

Categories: Enforcement Actions

Piper Jaffray & Co., Brady Vollmers - Notice of Civil Penalty

Monday, August 29, 2005

Categories: Enforcement Actions

Deutsche Bank Securities, Inc. - Administrative Consent Order

Friday, August 26, 2005

Categories: Enforcement Actions

A. G. Edwards & Sons, Inc., Daniel M. Schmidt - Notice of Civil Penalty

Thursday, August 11, 2005

Categories: Enforcement Actions

Waddell & Reed, Inc. - Consent Order

Friday, July 29, 2005

Categories: Enforcement Actions

Pruco Securities, LLC - Consent Order

Friday, July 15, 2005

Categories: Enforcement Actions

Government Benefit Services, Glen W. Finley, Jr. - Cease and Desist Order

Tuesday, July 5, 2005

Categories: Enforcement Actions

Schwartz Investment Management Company, James Schwartz - Consent Order

Friday, June 3, 2005

Categories: Enforcement Actions

Dale F. Roehrich - Notice of Civil Penalty

Friday, June 3, 2005

Categories: Enforcement Actions

Assemblies of God Loan Fund - Consent Agreement

Friday, May 20, 2005

Categories: Enforcement Actions

Piper Jaffray & Co., Terry Millner - Consent Order

Thursday, May 5, 2005

Categories: Enforcement Actions

Capital Growth Financial, LLC - Consent Order

Monday, April 4, 2005

Categories: Enforcement Actions

David A. Skjerven - Consent Order

Tuesday, February 15, 2005

Categories: Enforcement Actions

Capital Growth Financial, LLC - Notice of Civil Penalty

Thursday, February 10, 2005

Categories: Enforcement Actions

Bison Capital Management, LLC - Proposed Order to Refuse Investment Advisor Registration

Wednesday, January 26, 2005

Categories: Enforcement Actions

Bruce A. Hager -

Wednesday, January 26, 2005

Categories: Enforcement Actions

Investment Advisory Services, Thomas H. Marsden - Consent Order

Thursday, January 20, 2005

Categories: Enforcement Actions

R. T. Jones Capital Equities, Inc., Frank S. Ladner - Agreement

Thursday, December 16, 2004

Categories: Enforcement Actions

Huntleigh Securities Corporation - Consent Agreement

Wednesday, December 15, 2004

Categories: Enforcement Actions

Drew A. Likness - Consent Order

Wednesday, December 8, 2004

Categories: Enforcement Actions

Investment Advisory Services, Thomas H. Marsden - Notice of Civil Penalty

Monday, November 22, 2004

Categories: Enforcement Actions

Piper Jaffray & Co., Jason Millner - Consent Order

Monday, October 25, 2004

Categories: Enforcement Actions

Delta Trust Investments, Inc., Chad H. Carlson - Consent Order

Friday, September 24, 2004

Categories: Enforcement Actions

Charles Archambault -

Thursday, September 16, 2004

Categories: Enforcement Actions

Global eScience Corp., Virgil Hentz - Cease and Desist Order

Monday, August 30, 2004

Categories: Enforcement Actions

Ross Owen Haugen - Order for Summary Suspension of the Investment Advisor Registration

Friday, August 13, 2004

Categories: Enforcement Actions

InterSecurities, Inc., Richard Colling - Consent Order

Thursday, August 12, 2004

Categories: Enforcement Actions

Berthel, Fisher & Company Financial Services, Inc., Lawrence W. Warren - Consent Order

Wednesday, July 28, 2004

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Larry Borud - Consent Order

Wednesday, July 28, 2004

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Ron Stafford - Consent Order

Wednesday, June 30, 2004

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Thomas Deschamp - Consent Order

Tuesday, June 29, 2004

Categories: Enforcement Actions

Jeffrey Toft - Undertaking and Agreement

Tuesday, June 1, 2004

Categories: Enforcement Actions

Grainline.com, Scott D. Olson, Kent Sortland - Consent Order

Tuesday, May 25, 2004

Categories: Enforcement Actions

Principal Life Insurance Company - Consent Agreement

Thursday, April 22, 2004

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Dick Schultz - Consent Order

Thursday, March 18, 2004

Categories: Enforcement Actions

Tri-West Investment Club, Wesley Leroy Hiller - Consent Order

Monday, March 15, 2004

Categories: Enforcement Actions

EuroBond Fidelity, Ltd. - Cease and Desist Order, Notice of Civil Penalty

Thursday, March 4, 2004

Categories: Enforcement Actions

Preferred Trust and Management, LTD., Randy Bryans - Consent Order

Wednesday, March 3, 2004

Categories: Enforcement Actions

D & M Capital, LLC, Associated Financial Services, Inc. - Consent Agreement

Wednesday, March 3, 2004

Categories: Enforcement Actions

American Dream Systems, Inc., Coupon Connection of America, Inc. - Consent Order

Tuesday, February 24, 2004

Categories: Enforcement Actions

T.L. Secrest - Consent Order

Tuesday, February 24, 2004

Categories: Enforcement Actions

Thomas V. Kozlowski - Consent Order

Friday, February 13, 2004

Categories: Enforcement Actions

Gregory A. Grossman - Consent Order

Monday, February 9, 2004

Categories: Enforcement Actions

ASKAR, Corp. - Consent Order

Monday, February 9, 2004

Categories: Enforcement Actions

Preferred Trust and Management, Ltd., Dennis Skarphol - Consent Order

Tuesday, January 27, 2004

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Donald Marsch - Consent Order

Wednesday, December 17, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Galen Marsh - Consent Order

Wednesday, December 17, 2003

Categories: Enforcement Actions

CGF Securities, LLC, Ross Owen Haugen - Consent Order

Tuesday, December 16, 2003

Categories: Enforcement Actions

William L. Toft - Consent Order

Monday, December 15, 2003

Categories: Enforcement Actions

Bear, Stearns & Co. Inc. - Consent Order

Tuesday, December 9, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Gerald Henry - Consent Order

Wednesday, December 3, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Brian Henry - Consent Order

Wednesday, December 3, 2003

Categories: Enforcement Actions

Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. - Consent Order

Friday, November 21, 2003

Categories: Enforcement Actions

Craig F. Wollenburg, SPF Energy, Inc. - Consent Order

Thursday, November 20, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Mitchell Keiser - Consent Order

Thursday, November 20, 2003

Categories: Enforcement Actions

Berthel, Fisher & Company Financial Services, Inc. - Consent Order

Wednesday, November 12, 2003

Categories: Enforcement Actions

Morgan Stanley & Co. Incorporated - Administrative Consent Order

Tuesday, October 21, 2003

Categories: Enforcement Actions

J. P. Morgan Securities, Inc. - Administrative Consent Order

Tuesday, October 21, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Kris & Tana Thorfinnson - Consent Order

Monday, October 20, 2003

Categories: Enforcement Actions

U.S. Bancorp Piper Jaffray Inc. - Administrative Consent Order

Monday, October 20, 2003

Categories: Enforcement Actions

UBS Warburg LLC, UBS PaineWebber Inc. - Administrative Consent Order

Friday, October 10, 2003

Categories: Enforcement Actions

Goldman, Sachs & Co. - Consent Order

Tuesday, October 7, 2003

Categories: Enforcement Actions

Debra Ann Lund - Consent Order

Monday, October 6, 2003

Categories: Enforcement Actions

Possible Technologies, Inc. , A/k/A The Right Reason, Treacy Duerfeld -

Wednesday, October 1, 2003

Categories: Enforcement Actions

Lehman Brothers Inc. - Administrative Order

Monday, September 22, 2003

Categories: Enforcement Actions

Kent Johanneson - Consent Order

Thursday, September 18, 2003

Categories: Enforcement Actions

Grainline.com, Inc., Scott D. Olson, Kent Sortland - Cease and Desist Order

Thursday, September 11, 2003

Categories: Enforcement Actions

CGF Securities, LLC - Order to Vacate

Wednesday, September 10, 2003

Categories: Enforcement Actions

David C. Gess -

Monday, September 8, 2003

Categories: Enforcement Actions

CGF Securities, LLC - Order for Summary Suspension of the Dealer Registration

Tuesday, September 2, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Gary L. Bryans - Consent Order

Wednesday, August 27, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Troy Borud - Consent Order

Monday, July 28, 2003

Categories: Enforcement Actions

Dulon, L.L.P. - Desist and Refrain Order

Monday, July 28, 2003

Categories: Enforcement Actions

Edward D. Jones & Co., L.P., DeAnne Gierke - Consent Order

Friday, July 18, 2003

Categories: Enforcement Actions

Alliance Care, Inc., CGF Securities, LLC, Ross Owen Huagen - Consent Order

Tuesday, July 1, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Jess Welstad -

Tuesday, July 1, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Gerald Haskins - Consent Order

Thursday, June 19, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD., Rodney J. Duncklee -

Wednesday, June 4, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD., Michael Hupka -

Wednesday, June 4, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD., Marlene Hupka - Consent Order

Tuesday, June 3, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD., Richard L. Solberg - Consent Agreement

Sunday, June 1, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD., Keith Pierson -

Wednesday, May 28, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD., James I Miller, Jr. -

Wednesday, May 28, 2003

Categories: Enforcement Actions

Robert Woodward - Consent Order

Monday, May 12, 2003

Categories: Enforcement Actions

Preferred Trust and Management, Ltd., Steve Tengesdal - Consent Order

Monday, May 12, 2003

Categories: Enforcement Actions

US Petroleum, LLC - Consent Agreement

Thursday, April 24, 2003

Categories: Enforcement Actions

Alliance Care, Inc., CGF Securities, LLC, Ross Owen Haugen - Cease and Desist Order

Tuesday, April 15, 2003

Categories: Enforcement Actions

Golden Eagle Oil, James McDaniel - Cease and Desist Order

Wednesday, March 19, 2003

Categories: Enforcement Actions

Ross Owen Haugen - Consent Order

Wednesday, March 5, 2003

Categories: Enforcement Actions

MDVIP, Inc. - Settlement Agreement

Thursday, January 23, 2003

Categories: Enforcement Actions

EPCOM, Ltd., Eldon P. Anderson - Cease and Desist Order

Monday, January 20, 2003

Categories: Enforcement Actions

American Capital Corporation - Consent Order

Friday, December 6, 2002

Categories: Enforcement Actions

Craig F. Wollenburg, SPF Energy, Inc. - Order to Suspend Agent Registration

Wednesday, November 20, 2002

Categories: Enforcement Actions

U. S. Petroleum, LLC, MEA Services - Cease and Desist Order

Tuesday, November 19, 2002

Categories: Enforcement Actions

Henry Foods, Inc. d/b/a Delimax - Consent Order

Wednesday, October 30, 2002

Categories: Enforcement Actions

MDVIP, Inc., Ross O. Haugen, CGF Securities, LLC - Cease and Desist Order

Thursday, October 3, 2002

Categories: Enforcement Actions

American Capital Corporation, Ross O. Haugen - Cease and Desist Order

Thursday, October 3, 2002

Categories: Enforcement Actions

Forex Capital Group, LLC, Alaron FX, John Normanton - Cease and Desist Order

Tuesday, September 10, 2002

Categories: Enforcement Actions

Henry Foods, Inc. d/b/a DeliMax - Desist and Refrain Order

Wednesday, August 21, 2002

Categories: Enforcement Actions

Ross Owen Haugen - Registration Agreement

Wednesday, August 21, 2002

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Eugene Zaderaka - Consent Order

Monday, August 19, 2002

Categories: Enforcement Actions

Michael J. Brooks -

Tuesday, August 13, 2002

Categories: Enforcement Actions

Carret Securities, LLC - Consent Order

Tuesday, July 30, 2002

Categories: Enforcement Actions

Carr Futures - Registration Agreement

Monday, July 22, 2002

Categories: Enforcement Actions

American Investment Services, Inc. -

Friday, June 14, 2002

Categories: Enforcement Actions

American Investment Services, Inc. - Proposed Order to Revoke Agent Registration

Friday, June 14, 2002

Categories: Enforcement Actions

American Investment Services, Inc. - Order to Amend Order for Rescission

Friday, June 7, 2002

Categories: Enforcement Actions

American Investment Services, Inc. - Order for Rescission

Thursday, May 30, 2002

Categories: Enforcement Actions

L.H. Ross & Co., Inc. - Consent Order

Monday, May 13, 2002

Categories: Enforcement Actions

Engine Electronics, Inc. - Consent Order

Tuesday, April 2, 2002

Categories: Enforcement Actions

First Montauk Securities Corp. - Consent Order

Thursday, March 21, 2002

Categories: Enforcement Actions

Shari Nelson -

Thursday, March 14, 2002

Categories: Enforcement Actions

United Methodist Development Fund - Consent Order

Tuesday, February 26, 2002

Categories: Enforcement Actions

Jeff Nelson - Consent Order

Friday, February 15, 2002

Categories: Enforcement Actions

Gurpal S. Shokar -

Tuesday, February 5, 2002

Categories: Enforcement Actions

Jasmer Shokar a/k/a Jimmy Shokar -

Tuesday, February 5, 2002

Categories: Enforcement Actions

Surjit S. Shokar a/k/a Steve Shokar -

Tuesday, February 5, 2002

Categories: Enforcement Actions

Angel Hung, Once Again Resale for Men & Women, -

Tuesday, February 5, 2002

Categories: Enforcement Actions

GunnAllen Financial, Inc. - Consent Order

Thursday, January 3, 2002

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Brian Snowden - Order to Vacate Cease and Desist Order

Tuesday, November 27, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Eric Maaske - Order to Vacate Cease and Desist Order

Tuesday, November 27, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Ken Howe - Order to Vacate Cease and Desist Order

Tuesday, November 27, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Mark Couper - Order to Vacate Cease and Desist Order

Tuesday, November 27, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Kenneth Ryer - Order to Vacate Cease and Desist Order

Tuesday, November 27, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Kyle Wurgler - Order to Vacate Cease and Desist Order

Tuesday, November 27, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Soren Sorenson - Order to Vacate Cease and Desist Order

Tuesday, November 27, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., David Martin, Kay Martin -

Tuesday, November 27, 2001

Categories: Enforcement Actions

Learn2Distribution.com, Inc., Sean Correia - Cease and Desist Order

Monday, November 19, 2001

Categories: Enforcement Actions

Marion Bass Securities Corporation - Order to Revoke the Dealer Registration

Wednesday, November 14, 2001

Categories: Enforcement Actions

L. H. Ross & Co., Inc. - Proposed Order to Refuse Dealer Registration

Monday, November 12, 2001

Categories: Enforcement Actions

R. Lang Construction, Inc. - Consent Order

Friday, November 2, 2001

Categories: Enforcement Actions

BrokerageAmerica, Inc. - Consent Order

Wednesday, October 24, 2001

Categories: Enforcement Actions

K-Ram Industries, Robert Pagan - Order

Wednesday, October 17, 2001

Categories: Enforcement Actions

Viper Acquisition, LLC - Consent Order

Wednesday, September 26, 2001

Categories: Enforcement Actions

Effective Sport Nutrition Corporation - Consent Order

Wednesday, September 26, 2001

Categories: Enforcement Actions

Riverside RV Rentals, Inc. - Consent Order

Wednesday, September 26, 2001

Categories: Enforcement Actions

Dakota Imaging, Inc. - Consent Order

Wednesday, September 26, 2001

Categories: Enforcement Actions

ADM Enterprises, Inc. - Consent Order

Wednesday, September 26, 2001

Categories: Enforcement Actions

Dig-It Underground, Inc. - Consent Order

Wednesday, September 26, 2001

Categories: Enforcement Actions

Valley Honey Company, LLC, Kirschman, Rodney, Anderson, Rodney - Consent Order

Tuesday, August 28, 2001

Categories: Enforcement Actions

OptionsXpress - Consent Order

Wednesday, August 22, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Velazques, Tracy - Civil Penalty

Monday, August 6, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., David Martin, Kay Martin - Civil Penalty

Monday, August 6, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Ryer, Kenneth - Civil Penalty

Monday, August 6, 2001

Categories: Enforcement Actions

Marion Bass Securities Corporation - Suspension--Proposed Order to Revoke

Sunday, August 5, 2001

Categories: Enforcement Actions

Valley Honey Company, LLC, Rodney Kirschman, Rodney Anderson - Cease and Desist Order

Tuesday, July 31, 2001

Categories: Enforcement Actions

BrokerageAmerica, Inc. - Cease and Desist Order

Monday, July 23, 2001

Categories: Enforcement Actions

K-Ram Industries, Robert Pagan - Desist and Refrain Order

Monday, June 4, 2001

Categories: Enforcement Actions

Sparkman, Ronald - Consent Order

Friday, May 25, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Morey, Michael - Consent Order

Thursday, May 17, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Renfandt, Scott -

Tuesday, May 15, 2001

Categories: Enforcement Actions

Tri-West Investment Club, Wesley Leroy Hiller - Cease and Desist Order

Monday, May 14, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Schatz, Jackie - Consent Order

Tuesday, May 8, 2001

Categories: Enforcement Actions

Trinity Financial Group, LLC - Cease and Desist Order

Tuesday, May 8, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Elberg, Bev - Consent Order

Tuesday, May 8, 2001

Categories: Enforcement Actions

US Bancorp Piper Jaffray, Inc., Birmingham, Christopher - Consent Order

Tuesday, May 8, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Jess Welstad - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Kenneth Ryer - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Kyle Wurgler - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Larry Skiftun - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Mark Dostert - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Mitchell Keiser - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Ron Stafford - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Soren Sorensen - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Tony Kaut - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Dennis Skarphol - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Jackie Schatz - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Mike Morey - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Raymond Van Bockel - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Rodney J. Duncklee - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Scott Renfandt - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Brian Snowden - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Todd Haskins - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Troy Borud - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Eric Maaske - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Gary Bryans - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Gerald Henry - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Janene Haugen - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Ken Howe - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Kevin Martin - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Larry Borud - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Mark Couper - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Randy Bryans - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Richard L. Solberg - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Brian Henry - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Steve Tengesdal - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., David Martin, Kay Martin - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Galen Marsh - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Gerald Haskins - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., James I. Miller Jr. - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Keith Pierson - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Leon Borud - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Mark Peterson - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Bev Elberg - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Tracy Velazques - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Donald Marsh - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Eugene Zaderaka - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Osland, Michael J. - Consent Order

Monday, March 12, 2001

Categories: Enforcement Actions

Archambault, Charles - Consent Order

Monday, March 5, 2001

Categories: Enforcement Actions

Hausauer, Dirk P. - Consent Order

Wednesday, February 21, 2001

Categories: Enforcement Actions

Jorve, Wayne - Consent Order

Monday, February 12, 2001

Categories: Enforcement Actions

Schulz, Todd James - Agent Suspension - Proposed Revocation

Tuesday, January 30, 2001

Categories: Enforcement Actions

Schulz, Arnold James a/k/a Jim Schulz - Agent Suspension - Proposed Revocation

Tuesday, January 30, 2001

Categories: Enforcement Actions

Arizona Capital Group, Inc., Pittman, Samuel - Consent Agreement

Thursday, January 25, 2001

Categories: Enforcement Actions

Frederick W. Keiser, Jr. - Cease and Desist Order

Thursday, January 4, 2001

Categories: Enforcement Actions

Schulz, Arnold James (Jim), Schulz, Todd James - Cease and Desist Order

Wednesday, December 6, 2000

Categories: Enforcement Actions

Mike Bierman - Civil Penalty

Tuesday, November 21, 2000

Categories: Enforcement Actions

U.P.A., Inc. - Civil Penalty

Tuesday, November 21, 2000

Categories: Enforcement Actions

Todd Rooker - Civil Penalty

Tuesday, November 21, 2000

Categories: Enforcement Actions

New Life Technologies, Inc. - Civil Penalty

Tuesday, November 21, 2000

Categories: Enforcement Actions

US Bancorp Piper Jaffray, Inc., Christopher Birmingham - Civil Penalty

Thursday, November 9, 2000

Categories: Enforcement Actions

New England International Surety - Civil Penalty

Monday, November 6, 2000

Categories: Enforcement Actions

Josephthal & Co., Inc., James Gus Oliver -

Thursday, October 19, 2000

Categories: Enforcement Actions

Dirk P. Hausauer - Civil Penalty

Thursday, August 24, 2000

Categories: Enforcement Actions

Craig Brown - Consent Order

Monday, July 31, 2000

Categories: Enforcement Actions

Joe Aguda, Aguda Financial Services, Inc. - Consent Order

Monday, July 31, 2000

Categories: Enforcement Actions

Phoenix Telecom, L.L.C., Trinity Financial Group -

Tuesday, July 11, 2000

Categories: Enforcement Actions

Gerard Cerullo - Consent Order

Monday, July 10, 2000

Categories: Enforcement Actions

Baxter, Banks & Smith, Ltd., Francis M. McDermott - Consent Order

Friday, June 16, 2000

Categories: Enforcement Actions

The Bobwhite Company, Bob White - Cease and Desist Order

Thursday, May 25, 2000

Categories: Enforcement Actions

Torrey Pines Securities, Inc., Harvey G. Leason A/K/A Glen Leason - Consent Order

Wednesday, May 24, 2000

Categories: Enforcement Actions

Emily Water & Beverage Co., Inc. - Civil Penalty

Wednesday, April 26, 2000

Categories: Enforcement Actions

Joe Aguda, Aguda Financial Services, Inc. - Civil Penalty

Wednesday, April 26, 2000

Categories: Enforcement Actions

Craig Brown - Civil Penalty

Wednesday, April 26, 2000

Categories: Enforcement Actions

Rick Wallace, Private Assets.com - Cease and Desist Order

Tuesday, April 25, 2000

Categories: Enforcement Actions

Linsco Private Ledger Corp. - Consent Agreement

Friday, March 31, 2000

Categories: Enforcement Actions

Phoenix Telecom, LLC, Trinity Financial Group - Cease and Desist Order

Friday, March 31, 2000

Categories: Enforcement Actions

Wayne Jorve - Cease and Desist Order

Friday, March 3, 2000

Categories: Enforcement Actions

Peregrine Financials & Securities, Inc., Patrick Steven Jage - Consent Order

Friday, March 3, 2000

Categories: Enforcement Actions

Josephthal & Co., Inc., James Gus Oliver - Cease and Desist Order

Friday, March 3, 2000

Categories: Enforcement Actions

William Ebele - Civil Penalty

Wednesday, March 1, 2000

Categories: Enforcement Actions

Charles Schwab & Co., Inc. - Consent Agreement

Monday, February 28, 2000

Categories: Enforcement Actions

Copeland Equities, Inc. - Consent Agreement

Monday, February 28, 2000

Categories: Enforcement Actions

Emily Water & Beverage Co., Inc. - Desist and Refrain Order

Monday, February 28, 2000

Categories: Enforcement Actions

Kenneth Lynn Copen - Consent Order

Thursday, January 20, 2000

Categories: Enforcement Actions

Sunpoint Securities, Inc. -

Thursday, January 20, 2000

Categories: Enforcement Actions

Debt Management Club - Consent Order

Tuesday, December 21, 1999

Categories: Enforcement Actions

ESI, Rogers, Ralph W., III - Cease and Desist Order

Friday, December 10, 1999

Categories: Enforcement Actions

Friends N Freedom, Hansen, Scott, Hansen, Becky - Cease and Desist Order

Monday, November 29, 1999

Categories: Enforcement Actions

Friends N Freedom, Davis, Ruth - Cease and Desist Order

Monday, November 29, 1999

Categories: Enforcement Actions

Friends N Freedom, LaVerne Zenker, Kay Zenker - Default Order

Monday, November 29, 1999

Categories: Enforcement Actions

Friends N Freedom, Davis, Norma - Cease and Desist Order

Monday, November 29, 1999

Categories: Enforcement Actions

Friends N Freedom, Kirschman, Rodney, Kirschman, Judy - Cease and Desist Order

Monday, November 29, 1999

Categories: Enforcement Actions

Friends N Freedom, Hansen, Vernon, Hansen, Darlene - Cease and Desist Order

Monday, November 29, 1999

Categories: Enforcement Actions

Fordham Financial Management, Inc. - Denial of Application

Tuesday, October 19, 1999

Categories: Enforcement Actions

Edward Oliver Samuelson -

Tuesday, October 19, 1999

Categories: Enforcement Actions

Leuthold Funds, Inc. - Consent Order

Thursday, September 16, 1999

Categories: Enforcement Actions

Friends N Freedom, LaVerne Zenker, Kay Zenker - Subpoena Duces Tecum

Friday, September 3, 1999

Categories: Enforcement Actions

Friends N Freedom, Zenker, LaVerne, Zenker, Kay - Cease and Desist Order

Friday, September 3, 1999

Categories: Enforcement Actions

Alliance Trust, Clifton Wilkinson - Civil Penalty

Tuesday, August 24, 1999

Categories: Enforcement Actions

Steve Hiltbrand - Civil Penalty

Tuesday, August 24, 1999

Categories: Enforcement Actions

Bisys Brokerage Services, Inc. - Consent Order

Tuesday, August 24, 1999

Categories: Enforcement Actions

Integrowth Financial Group - Civil Penalty

Tuesday, August 24, 1999

Categories: Enforcement Actions

Kenneth Lynn Copen - Civil Penalty

Friday, August 20, 1999

Categories: Enforcement Actions

Baxter, Banks & Smith, Shklovsky, Michael, Feldman, Alec - Cease and Desist Order

Monday, August 16, 1999

Categories: Enforcement Actions

Edward Weeks - Registration Agreement

Thursday, July 29, 1999

Categories: Enforcement Actions

Popular Link, Jeff Cheng - Cease and Desist Order

Thursday, July 22, 1999

Categories: Enforcement Actions

James Newton Darwin, II - Consent Order

Monday, July 19, 1999

Categories: Enforcement Actions

Debt Management Club, Fair Tax, Renesa Leeds - Cease and Desist Order

Wednesday, July 7, 1999

Categories: Enforcement Actions

Santoro's Gourmet Foods, Inc. - Civil Penalty

Wednesday, July 7, 1999

Categories: Enforcement Actions

R. Seelaus & Co., Inc. - Consent Order

Wednesday, July 7, 1999

Categories: Enforcement Actions

William Santoro - Civil Penalty

Wednesday, July 7, 1999

Categories: Enforcement Actions

Alliance Trust, Clifton Wilkinson - Cease and Desist Order

Monday, June 28, 1999

Categories: Enforcement Actions

Verlin Swartzendurber - Notice of Default, Default Order

Monday, June 28, 1999

Categories: Enforcement Actions

The Ponzu Companies, Inc. - Civil Penalty

Friday, June 25, 1999

Categories: Enforcement Actions

Kourosh Saroole - Civil Penalty

Friday, June 25, 1999

Categories: Enforcement Actions

Ramon C. Papa, III - Civil Penalty

Friday, June 25, 1999

Categories: Enforcement Actions

Jonathan C. Papa - Civil Penalty

Friday, June 25, 1999

Categories: Enforcement Actions

Allen Halstead - Civil Penalty

Friday, June 25, 1999

Categories: Enforcement Actions

Thomas L. Anderson - Civil Penalty

Friday, June 25, 1999

Categories: Enforcement Actions

David J. Naughton - Civil Penalty

Friday, June 25, 1999

Categories: Enforcement Actions

David M. Beneake - Civil Penalty

Friday, June 25, 1999

Categories: Enforcement Actions

Papa Holdings, Inc. - Civil Penalty

Friday, June 25, 1999

Categories: Enforcement Actions

AMS Financial Corporation - Civil Penalty

Friday, June 25, 1999

Categories: Enforcement Actions

Kerlin Securities, Inc. - Consent Agreement

Tuesday, June 8, 1999

Categories: Enforcement Actions

Nori, Hennion, Walsh, Inc., Jonathan N. Ponte - Consent Order

Friday, May 28, 1999

Categories: Enforcement Actions

Amerivet Securities, Inc. - Consent Agreement

Monday, May 24, 1999

Categories: Enforcement Actions

AMS Financial Corp., Allen Halstead - Subpoena Duces Tecum

Monday, May 10, 1999

Categories: Enforcement Actions

AMS Financial Corporation, Allen Halstead - Cease and Desist Order

Monday, May 10, 1999

Categories: Enforcement Actions

Equity Securities Investments, Inc. - Consent Order

Thursday, April 29, 1999

Categories: Enforcement Actions

The Station Corporation, Wayne Southam, Tonya Southam - Cease and Desist Order

Monday, April 26, 1999

Categories: Enforcement Actions

Internet Casino Sports Gaming - Civil Penalty

Monday, April 26, 1999

Categories: Enforcement Actions

Denis M. Benson - Civil Penalty

Monday, April 26, 1999

Categories: Enforcement Actions

Bruce M. Follick - Civil Penalty

Friday, April 16, 1999

Categories: Enforcement Actions

First Fidelity Financial Corporation - Civil Penalty

Friday, April 16, 1999

Categories: Enforcement Actions

California Laser Company - Cease and Desist Order

Wednesday, March 31, 1999

Categories: Enforcement Actions

Santoro's Gourmet Foods, Inc., William G. Santoro - Cease and Desist Order

Monday, March 29, 1999

Categories: Enforcement Actions

First Financial Equity Corporation - Registration Agreement

Thursday, March 18, 1999

Categories: Enforcement Actions

David Johnson - Civil Penalty

Monday, March 8, 1999

Categories: Enforcement Actions

Low Priced Stock Wealth - Notice of Civil Penalty

Monday, March 8, 1999

Categories: Enforcement Actions

Low Priced Stock Wealth - Civil Penalty

Monday, March 8, 1999

Categories: Enforcement Actions

David Johnson - Notice of Civil Penalty

Monday, March 8, 1999

Categories: Enforcement Actions

Kaizen International Consulting Corporation - Civil Penalty

Thursday, March 4, 1999

Categories: Enforcement Actions

Mike T. McEnroe - Civil Penalty

Thursday, March 4, 1999

Categories: Enforcement Actions

Red River Dispatch, Inc., Billy Johnson - Cease and Desist Order

Monday, March 1, 1999

Categories: Enforcement Actions

American Investment Services, Inc., David R. Bjork - Consent Order

Friday, February 26, 1999

Categories: Enforcement Actions

Amerivet Securities, Inc. - Civil Penalty

Tuesday, February 9, 1999

Categories: Enforcement Actions

Magnum Petroleum, Inc. - Notice of Civil Penalty

Wednesday, January 20, 1999

Categories: Enforcement Actions

Bert Bjur - Cease and Desist Order

Wednesday, January 20, 1999

Categories: Enforcement Actions

Low Priced Stock Wealth, David Johnson - Cease and Desist Order

Wednesday, January 20, 1999

Categories: Enforcement Actions

Jerry Nichter - Civil Penalty

Wednesday, January 20, 1999

Categories: Enforcement Actions

Public Communication Services, Inc. - Civil Penalty

Wednesday, January 20, 1999

Categories: Enforcement Actions

Sharon Malkin - Notice of Civil Penalty

Wednesday, January 20, 1999

Categories: Enforcement Actions

New World International, a citizens group, Charles E. Thompson - Cease and Desist Order

Wednesday, January 20, 1999

Categories: Enforcement Actions

Lon Finkelstein - Civil Penalty

Wednesday, January 20, 1999

Categories: Enforcement Actions

Pentad Securities, Inc., Warren B. True - Consent Order

Monday, January 4, 1999

Categories: Enforcement Actions

Safe Keeping, Inc. - Notice of Civil Penalty

Wednesday, December 30, 1998

Categories: Enforcement Actions

Michael Lee Mathis - Notice of Civil Penalty

Wednesday, December 30, 1998

Categories: Enforcement Actions

Steven L. Shook - Civil Penalty

Wednesday, December 30, 1998

Categories: Enforcement Actions

Joseph K. Hilyard - Notice of Civil Penalty

Wednesday, December 30, 1998

Categories: Enforcement Actions

Buckhorn Financial Services, Inc - Notice of Civil Penalty

Wednesday, December 30, 1998

Categories: Enforcement Actions

Creative Capital Management Corporation - Consent Order

Monday, December 28, 1998

Categories: Enforcement Actions

State Farm VP Management Corp. - Consent Order

Tuesday, December 8, 1998

Categories: Enforcement Actions

William R. Richard - Consent Order

Monday, November 16, 1998

Categories: Enforcement Actions

Synovus Securities, Inc. - Consent Order

Thursday, November 5, 1998

Categories: Enforcement Actions

Argent Securities, Inc. - Proposed Order to Refuse Dealer Registration

Monday, November 2, 1998

Categories: Enforcement Actions

Lenny Bierstein - Notice of Civil Penalty

Monday, November 2, 1998

Categories: Enforcement Actions

Public Communications Services, Inc., Lon Finkelstein, Sharon Malkin - Cease and Desist Order

Wednesday, September 23, 1998

Categories: Enforcement Actions

Venture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order

Monday, August 24, 1998

Categories: Enforcement Actions

Capital Management International, Ltd., Ronald Ratoff - Cease and Desist Order

Friday, July 24, 1998

Categories: Enforcement Actions

American Investment Services, Inc., David R. Bjork - Notice of Civil Penalty

Thursday, July 23, 1998

Categories: Enforcement Actions

Buckhorn Financial Services, Inc., SafeKeeping, Inc. - Cease and Desist Order

Wednesday, July 1, 1998

Categories: Enforcement Actions

Foreign Currency International - Cease and Desist Order

Friday, June 26, 1998

Categories: Enforcement Actions

Dirk P. Hausauer -

Tuesday, June 9, 1998

Categories: Enforcement Actions

Internet Casino Sports Gaming, LLC, Denis M. Benson - Cease and Desist Order

Monday, June 8, 1998

Categories: Enforcement Actions

Tradestar Investments, Inc. - Consent Order

Monday, May 18, 1998

Categories: Enforcement Actions

For Champions Only, The Winner's Circle, Tom Kincaid - Cease and Desist Order

Tuesday, March 24, 1998

Categories: Enforcement Actions

Magnum Petroleum, Jerry Nichter - Cease and Desist Order

Tuesday, February 3, 1998

Categories: Enforcement Actions

Tradeway Securities Group, Inc. - Consent Order

Wednesday, January 28, 1998

Categories: Enforcement Actions

Temper of the Times Communications, Inc. - Consent Order

Tuesday, December 9, 1997

Categories: Enforcement Actions

Harvey Senn, Lutheran Brotherhood Securities Corporation -

Friday, November 7, 1997

Categories: Enforcement Actions

International Benevolence Fund Trust, Frank R. Johnson - Cease and Desist Order

Wednesday, October 15, 1997

Categories: Enforcement Actions

Arrow Environmental Remediation Operations, Hank M. Kendrick - Cease and Desist Order

Monday, September 22, 1997

Categories: Enforcement Actions

The Infinity Group Company, Geoff Benson - Cease and Desist Order

Friday, August 15, 1997

Categories: Enforcement Actions

Investment Management and Research, Inc., David Rothchild - Consent Order

Monday, July 21, 1997

Categories: Enforcement Actions

Richard Tomitz - Consent Order

Monday, July 21, 1997

Categories: Enforcement Actions

Daniel Wood -

Monday, May 12, 1997

Categories: Enforcement Actions

Financial Advantage Brokerage Services, Inc., Bradley Wells, Bruce Hager - Consent Order

Thursday, April 17, 1997

Categories: Enforcement Actions

Prosperity Unlimited Trust, Annette Cain - Cease and Desist Order

Monday, March 31, 1997

Categories: Enforcement Actions

Raoul Brandt - Consent Order

Monday, March 31, 1997

Categories: Enforcement Actions

La Jolla Securities Corporation, Daniel Wood - Consent Order

Tuesday, March 18, 1997

Categories: Enforcement Actions

USA Financial News, James Bartel - Consent Order

Monday, February 24, 1997

Categories: Enforcement Actions

David Stavig -

Wednesday, February 19, 1997

Categories: Enforcement Actions

Furniture Medic Limited Partnership, Kevin Schmitcke -

Tuesday, January 14, 1997

Categories: Enforcement Actions

Prince Dr. Augustine Ayuba - Cease and Desist Order

Thursday, January 9, 1997

Categories: Enforcement Actions

Information Processing Office - Order to Amend Cease and Desist

Tuesday, December 31, 1996

Categories: Enforcement Actions

Bob Ivensen, Sunward Club - Cease and Desist Order

Monday, December 9, 1996

Categories: Enforcement Actions

Celebrity Foods, Inc., Tri-Bradley Investments - Cease and Desist Order

Friday, November 29, 1996

Categories: Enforcement Actions

Donald O. Atuegbu, Nigerian National Petroleum Corporation - Cease and Desist Order

Monday, October 21, 1996

Categories: Enforcement Actions

Vern Van Ornum - Cease and Desist Order

Tuesday, October 1, 1996

Categories: Enforcement Actions

Information Processing Office - Cease and Desist Order

Wednesday, September 4, 1996

Categories: Enforcement Actions

Joseph F. Desanto, Joseph Roberts & Co., Inc. - Revocation Order

Sunday, June 9, 1996

Categories: Enforcement Actions

Gruntal & Co., Inc. - Consent Order

Thursday, May 23, 1996

Categories: Enforcement Actions

Dent Busters, Inc., Bill Tyson - Cease and Desist Order

Monday, May 13, 1996

Categories: Enforcement Actions

The Ellis Group, Frank Ellis, CEO - Cease and Desist Order

Monday, May 13, 1996

Categories: Enforcement Actions

U. S. Wireless, Mark Silberman, Harry Kaiser, Sheldon Ziskind - Consent Order

Thursday, May 9, 1996

Categories: Enforcement Actions

Merrill Lynch, John D. McCroskey - Order for Hearing

Monday, May 6, 1996

Categories: Enforcement Actions

Merrill Lynch, John D. McCroskey - Notice of Right to Request Hearing

Monday, May 6, 1996

Categories: Enforcement Actions

Central Bank of Nigeria, Dr. O. Chimezie - Cease and Desist Order

Tuesday, April 30, 1996

Categories: Enforcement Actions

Engineer Sunday Bari Saro Wiwa - Cease and Desist Order

Thursday, April 18, 1996

Categories: Enforcement Actions

Trans-American Ostrich Traders, Inc. - Cease and Desist Order

Monday, April 15, 1996

Categories: Enforcement Actions

Eleventh Hour, Inc., American Consolidated Growth Corporation - Order for Hearing

Friday, April 12, 1996

Categories: Enforcement Actions

Norfolk Securities Corp. - Proposed Order to Refuse Agent Registration

Friday, April 12, 1996

Categories: Enforcement Actions

Gruntal & Co., Inc., Robert Goldstein - Order for Hearing

Thursday, March 21, 1996

Categories: Enforcement Actions

The Oxford Club, James Boxley Cooke - Cease and Desist Order

Monday, March 18, 1996

Categories: Enforcement Actions

Melvin C. Klindt, Berean Non-Profit Corporation - Consent Order

Tuesday, June 6, 1995

Categories: Enforcement Actions

The Principality of Hutt River Province - Cease and Desist Order

Monday, May 8, 1995

Categories: Enforcement Actions

M.D. Rothchilds - Cease and Desist Order

Thursday, March 16, 1995

Categories: Enforcement Actions

Group Dynamics Downline - Cease and Desist Order

Wednesday, March 15, 1995

Categories: Enforcement Actions

Alhaji Jubril Umar - Cease and Desist Order

Tuesday, January 3, 1995

Categories: Enforcement Actions

Metropolitan Mortgage & Securities Co., Inc. - Suspension Order

Monday, March 28, 1994

Categories: Enforcement Actions

First National Services, Marc A. Rona - Order for Hearing

Tuesday, February 22, 1994

Categories: Enforcement Actions

Dayle Maloney - Order for Hearing

Tuesday, February 22, 1994

Categories: Enforcement Actions

Toluca Pacific Securities Corp. - Order for Hearing

Wednesday, February 16, 1994

Categories: Enforcement Actions

Mid Valley Broadcasting, Inc., Charles Skip Rutledge, Jack Brush - Pre-Hearing Order

Monday, February 14, 1994

Categories: Enforcement Actions

Becki Anderson Warren, James W. Warren, Lawrence W. Warren -

Monday, February 14, 1994

Categories: Enforcement Actions

Offerman & Company, Inc., The Offerman Group, Inc. - Notice of Right to Request Hearing

Thursday, February 10, 1994

Categories: Enforcement Actions

First National Services - Cease and Desist Order

Wednesday, February 2, 1994

Categories: Enforcement Actions

Becki Anderson Warren, James W. Warren, Lawrence W. Warren - Order for Hearing

Tuesday, February 1, 1994

Categories: Enforcement Actions

Image Financial Network, Ltd., Joel Freezon - Cease and Desist Order

Tuesday, January 25, 1994

Categories: Enforcement Actions

Sanford D. Greenberg -

Wednesday, January 19, 1994

Categories: Enforcement Actions

Reading Wireless Cable - Cease and Desist Order

Monday, December 27, 1993

Categories: Enforcement Actions

Telecom/Mobile Wireless Cable - Cease and Desist Order

Monday, December 27, 1993

Categories: Enforcement Actions

Northeast Telecom, Inc., 3rd Mobile of Central New York - Cease and Desist Order

Friday, December 10, 1993

Categories: Enforcement Actions

Continental Wireless Cable Television Inc. - Cease and Desist Order

Friday, October 22, 1993

Categories: Enforcement Actions

John Sebastian Ragazzo, Geneva Companies - Cease and Desist Order

Wednesday, October 20, 1993

Categories: Enforcement Actions

Richard F. Pinnow, Liberty International Networking Company - Cease and Desist Order

Monday, October 4, 1993

Categories: Enforcement Actions

Kenneth Finochiaro d/b/a Pre-cooked Pasta Company - Cease and Desist Order

Thursday, September 23, 1993

Categories: Enforcement Actions

Betty Aleshire, Great Western Communications, Int'l - Cease and Desist Order

Thursday, September 9, 1993

Categories: Enforcement Actions

Smart Industries, Inc., Life Crystals, Inc., Elliot Pierce - Cease and Desist Order

Tuesday, July 6, 1993

Categories: Enforcement Actions

Kiowa Resources Inc., Robert Charles - Cease and Desist Order

Wednesday, May 19, 1993

Categories: Enforcement Actions

Health Excellence, T. C. Fry - Cease and Desist Order

Monday, March 15, 1993

Categories: Enforcement Actions

Banner Fund International, Swiss Trade & Commerce Trust - Cease and Desist Order

Thursday, March 4, 1993

Categories: Enforcement Actions

Doug Nassif - Cease and Desist Order

Monday, June 1, 1992

Categories: Enforcement Actions

Doug Nassif -

Monday, June 1, 1992

Categories: Enforcement Actions

Leo Elroy Sjolseth - Cease and Desist Order

Wednesday, May 27, 1992

Categories: Enforcement Actions

Leo Elroy Sjolseth -

Wednesday, May 27, 1992

Categories: Enforcement Actions

Charles Edward Marean, Junior - Cease and Desist Order

Tuesday, May 19, 1992

Categories: Enforcement Actions

Worldwide Treasure Bureau, Samuel E. Cox - Cease and Desist Order

Tuesday, April 14, 1992

Categories: Enforcement Actions

Express Communications, Inc., Reliable Cellular Consultants - Cease and Desist Order

Tuesday, April 14, 1992

Categories: Enforcement Actions

1st Equity International, Richard Gould - Cease and Desist Order

Tuesday, April 14, 1992

Categories: Enforcement Actions

Trans-Global Trading Incorporated, Robert Bowin, Peter Greenwood - Cease and Desist Order

Wednesday, December 4, 1991

Categories: Enforcement Actions

Reach Exploration, Inc., Warren Wellborn, Paul Webb, David Dolph - Cease and Desist Order

Wednesday, November 20, 1991

Categories: Enforcement Actions

Equity Estates Galleries, Inc., Alex Pierce - Cease and Desist Order

Wednesday, November 20, 1991

Categories: Enforcement Actions

Montague-Weston Associates Limited, Wayne Ford, J. Petersen - Cease and Desist Order

Friday, November 15, 1991

Categories: Enforcement Actions

Productions Plus, Priscilla J. Deters, Charles Chuck Crosby - Cease and Desist Order

Friday, November 1, 1991

Categories: Enforcement Actions

CanOdi International, Inc., Donald S. Dalman - Cease and Desist Order

Monday, September 23, 1991

Categories: Enforcement Actions

Financial Services Network, Paul Navestad - Cease and Desist Order

Friday, September 13, 1991

Categories: Enforcement Actions

Regency Collectibles, Inc., Bob Johnson, Jack Tischer - Cease and Desist Order

Friday, August 30, 1991

Categories: Enforcement Actions

Imperial World Trade Exchange, Ryan Blake - Cease and Desist Order

Friday, August 30, 1991

Categories: Enforcement Actions

International Exchange Board, Gene Young, Michael Simon - Cease and Desist Order

Friday, August 30, 1991

Categories: Enforcement Actions

Ratheal Companies, Rodney Ratheal, Stephen Mitchell - Cease and Desist Order

Wednesday, June 19, 1991

Categories: Enforcement Actions

Ratheal Companies, Rodney Ratheal, Stephen Mitchell -

Friday, June 14, 1991

Categories: Enforcement Actions

Mortgage Service Associates - Cease and Desist Order

Thursday, June 6, 1991

Categories: Enforcement Actions

RMC Enterprises, Ralph G. McCoy - Cease and Desist Order

Thursday, May 16, 1991

Categories: Enforcement Actions

The National CLub - Cease and Desist Order

Monday, April 15, 1991

Categories: Enforcement Actions

The Connoisseur of California - Cease and Desist Order

Thursday, January 10, 1991

Categories: Enforcement Actions

OPC and Associates - Cease and Desist Order

Wednesday, January 9, 1991

Categories: Enforcement Actions

FAX-9, Rene Boutin - Cease and Desist Order

Monday, November 26, 1990

Categories: Enforcement Actions

Mark Steven Eiken -

Tuesday, November 13, 1990

Categories: Enforcement Actions

Donex Resources, Inc., Jerry Woods, Ken Poindexter, Douglas Brown - Cease and Desist Order

Thursday, October 18, 1990

Categories: Enforcement Actions

R. B. Marich & Co. Inc., Rudy Marich, Betty Jane Marich, Irving Hale, Robert L. Long -

Thursday, September 20, 1990

Categories: Enforcement Actions

Edward Robert McGlynn -

Thursday, May 10, 1990

Categories: Enforcement Actions

EFJ Funds, Emanuel Fettig - Cease and Desist Order

Friday, April 20, 1990

Categories: Enforcement Actions

Independent Financial, Eric Guichet, Gary Lowenthal - Cease and Desist Order

Wednesday, March 28, 1990

Categories: Enforcement Actions

Carl's Furniture Barn, Carl H. Weisser - Cease and Desist Order

Friday, March 23, 1990

Categories: Enforcement Actions

The Right Combination, Inc., Jim Silkwood, - Cease and Desist Order

Monday, March 19, 1990

Categories: Enforcement Actions

American Gold Eagle, Inc., James H. Ridinger, - Cease and Desist Order

Monday, March 19, 1990

Categories: Enforcement Actions

American Gold Eagle, Inc., James H. Ridinger - Cease and Desist Order

Monday, March 19, 1990

Categories: Enforcement Actions

The Right Combination, Inc., Jim Silkwood - Cease and Desist Order

Thursday, March 1, 1990

Categories: Enforcement Actions

Natonal Communications Network, Pepper Isenhart - Cease and Desist Order

Friday, February 16, 1990

Categories: Enforcement Actions

National Communications Network, Pepper Isenhart - Cease and Desist Order

Wednesday, February 7, 1990

Categories: Enforcement Actions

Junction Financial Corp., Stanley Black - Cease and Desist Order

Thursday, February 1, 1990

Categories: Enforcement Actions

Constitutional Communications, Inc., Stanley Weiner - Cease and Desist Order

Tuesday, January 16, 1990

Categories: Enforcement Actions

News Limit
7
Medium

For Assistance Contact:

Carl Karpinski, Attorney, Email Carl

Phone: (701) 328-4881