| In the matter of |
Order number |
Order title |
| Accelerated Benefits Corporation, C. Keith Lamonda and Jess Lamonda |
S-03-0040 |
Order to Cease and Desist with Consent to Entry of Order |
| Access Integrity Funding Corp |
O-00-0019 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Acro-Tech, Inc., and Reggie D. Huff |
A-00-0023 |
Order to Cease and Desist and Stipulations and Consent to Entry of Order by Respondents Acro-Tech, Inc. and Reggie D. Huff |
| Acuity Lending Corporation, Rober Cancelosi, and Bret Costelow |
S-12-0098 |
order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order by Respondent Robert Cancelosi |
| Acuity Lending Corporation, Robert Cancelosi, and Bret Costelow |
S-12-0098 |
Final Order to Cease and Desist, Final Order Denying the Use of Exemptions to the Securities Registration Requirements, and Final Order Assessing Civil Penalties by Default Against Acuity Lending Corporation |
| Adriel J. Gaines |
S-09-0045 |
Order Granting Conditional Securities Salesperson License |
| Adriel J. Gaines |
S-10-0022 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Allan Winston Taylor and International Partners |
A-00-0018 |
Final Order to Cease and Desist and Assessing Civil Penalties Entered by Default as to Allan Winston Taylor and International Partners |
| Alpha Telcom, Inc, Charles Tummino, Chris Clapp, Julie Blair Fingerson, Paul Farver, Melinda Farver, Janna Ramelli, and David Ramelli |
A-03-0012 |
Stipulated Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties and Consent to Entry of Order as to Melinda Farver |
| Alpha Telcom, Inc, Charles Tummino, Chris Clapp, Julie Blair Fingerson, Paul Farver, Melinda Farver, Janna Ramelli, and David Ramelli |
A-03-0012 |
Stipulated Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties, and Consent to Entry of Order as to Chris Clapp |
| Alpha Telcom, Inc, Charles Tummino, Chris Clapp, Julie Blair Fingerson, Paul Farver, Melinda Farver, Janna Ramelli, and David Ramelli |
A-03-0012 |
Stipulated Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties, and Consent to Entry of Order as to Paul Farver |
| Alpha Telcom, Inc, Charles Tummino, Chris Clapp, Julie Blair Fingerson, Paul Farver, Melinda Farver, Janna Ramelli, and David Ramelli |
A-03-0012 |
Stipulated Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties and Consent to Entry of Order as to Charles Tummino |
| Alpha Telcom, Inc, Charles Tummino, Chris Clapp, Julie Blair Fingerson, Paul Farver, Melinda Farver, Jonna Ramelli, and David Ramelli |
A-03-0012 |
Stipulated Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties and Consent to Entry of Order as to Jonna Ramelli |
| Alpha Telcom, Inc., ATC, Inc, Strategic Partnership Alliance, LLC, Paul Rubera, Charles tummino, Ross Rambach, Mark Kennison, David Winstead, and Julie Blair Fingerson |
A-03-0012 (B) |
Final Order to Cease and Desist, Denying Exemptions, And Assessing Civil Penalties by Default as to Alpha Telcom, Inc, ATC, Inc, Strategic Partnership Alliance, LLC, Paul Rubera, Ross Rambach, Mark Kennison, David Winstead, and Julie Blair Fingerson Only |
| Alpha Telcom, Inc., Charles Tummino, Chris Clapp, Julie Blair Fingerson, Paul Farver, Melinda Farver, Janna Ramelli, and David Ramelli |
A-03-0012 (b) |
Stipulated Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties and Consent to Etnry of Order as to David Ramelli |
| American Service Corp. and Roger J. Miracle |
O-95-0014 |
Cease and Desist Order, Order Assessing Civil Penalty, and Consent to Order |
| American Wireless Systems, Inc.; Dexter Selwyn Cohen; Jeffrey Dane Howes; Steven Gail Johnson |
O-95-0012 |
Final Order |
| Amway Mutual Fund, Inc. |
O-96-0028 |
Order to Assess Civil Penalties and Consent to Entry of Order |
| Andrew Scot Bolsinger |
S-10-0034 |
Order to Cease and Desist, Order Denying Exemptions, Order Barring From Industry, and Consent to Entry of Order |
| Astra Strategic Investment Series, Astra Adjustable U.S. Government Securities Trust I-A and II |
O-96-0021 |
Order to Assess Civil Penalties and Consent to Entry of Order |
| AXA Advisors LLC |
IT-08-0043-2 |
Order to Cease and Desist and Assessing Civil Penalties, Entered by Consent |
| Banc of America Securities LLC and Banc of America Investment Services, Inc |
S-09-0033 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Bank Watch; MBS Clearning; Donna A. Walls; and Larry D. Eady |
S-10-0006 |
Final Order to Cease and Desist; Order Denying Exemptions; and Order Assessing Civil Penalties; Entered by Default |
| Bankers Life and Casualty Company and BLC Financial Services, Inc., |
S-12-0053 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Barbara Alexis Blassingame, Frank J. Picciolo, Sterling Advance Marketing, Inc., and Event Media, Inc. |
A-03-0002 |
Final Order Entered by Default to Cease and Desist, Assessing Civil Penalties, and Denying Exemptions |
| Berjac of Oregon, Michael S. Holcomb, Gary L. Holcomb, and Robert H. Holcomb |
O-96-0022 |
Order to Cease and Desist, Assessment of Civil Penalties, and Consent to Entry of Order |
| Billy Lynn Boedeker dba Lifeline Insurance Service |
S-06-0028-1 |
Order to Cease and Desist, Order Imposing Civil Penalty, and Consent to Entry of Order |
| Brendan Thomas Jones |
S-12-0077 |
Final Order to Cease and Desist, Final Order Denying Use of Exemptions to the Securities Registration Requirements, and Final Order Assessing Civil Penalties, Entered by Default |
| Brent Lince dba Treasure Heart Financial Counseling and dba Treasure Heart Financial Coaching |
S-11-0009 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Brookstreet Securities Corporation, Inc., and Ricardo Cabezas |
S-05-0017b |
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Default against Ricardo Cabezas Only |
| Brookstreet Securities Corporation, Inc., and Ricardo Cabezas |
S-05-0017 (a) |
Order to Cease and Desist and Consent to Entry of Order Against Brookstreet Securities Corporation, Inc., Only |
| Bull & Bear Quality Growth Fund |
O-95-0013 |
Order Assessing Civil Penalties and Consent to Entry of Order |
| Caffe' Diva Group, Ltd, Vista Consulting, New England International Surety, Ronald Davis, and Steve Bolen |
A-02-0005 |
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties as to Vista Consulting and Steve Bolen by Default |
| Caldwell Securities, Incorporated |
S-10-0029 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Calvert New World Fund, Inc., Calvert New Africa Fund, Class A |
O-96-0020 |
Order to Assess Civil Penalties and Consent to Entry of Order |
| Canyon Creek Development, Inc., Sunwest Management, Inc., Canyon Creek Financial, LLC., Senior Living Properties II, LLC., Senior Living Properties III, LLC., KDA Construction, Inc., Senenet, Inc., Encore Idemnity Management, LLC., Encore Indemnity, Ltd., Silver Insurance Management, LLC., and Silver Indemnity, Ltd. |
S-09-0028-1 |
Order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalties, and Notice of Right to a Public Hearing |
| Canyon Creek Development, Inc; Canyon Creek Financial, LLC; Sunwest Management, Inc.; Jon M. Harder; Darryl E. Fisher; Michael J. Deines; J. Wallace Gutzler; Thomas Biesiadecki; Jeffrey Schumacher; John David Thurber; Francis J. Curtis; and Mark Devos |
S-08-0044 |
Order Suspending Use of Exemptions to Registration Requirements; and Consent to Entry of Order as to the following Respondents: Canyon Creek Development, Inc; Canyon Creek Financial, LLC; Sunwest Management, Inc.; Jon M. Harder; Darryl E. Fisher; Michael J. Deines; J. Wallace Gutzler; Jeffrey Schumacher; Francis J. Curtis; and Mark Devos |
| Capital Guardian, Inc., Blake Wilson, Malory Investments, LLC, Ronald Stein, Pacific Network and Consulting, Daniel Caterino, Randle "Randy" Villa, Tony Albany, Lifeline Imaging, LLC, Randall Morton, Consulting Dynamics, Inc., and Stanley Johnson |
s-11-0003 |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties and Consent to Entry of Order as to Capital Guardian, Inc., and Blake Wilson Only |
| Capital Guardian, Inc., Blake Wilson, Malory Investments, LLC, Ronald Stein, Pacific Network and Consulting, Daniel Caterino, Randle "Randy" Villa, Tony Albany, Lifeline Imaging, LLC, Randall Morton, Consulting Dynamics, Inc., and Stanley Johnson |
S-11-0003 |
Final Order to Cease and Desist, Denying Exemptions, And Assessing Civil Penalties Entered by Default Against Pacific Network and Consulting, Daniel Caterino, Randle "Randy" Villa, Tony Albany, Lifeline IMaging, LLC, Randall Morton, Consulting Dynamics, Inc., and Stanley Johnson Only |
| Capital Guardian, Inc., Blake Wilson, Malory Investments, LLC, Ronald Stein, Pacific Network and Consulting, Daniel Caterino, Randle "Randy" Villa, Tony Albany, Lifeline Imaging, LLC., Randall Morton, Consulting Dynamics, Inc., and Stanley Johnons |
S-11-0003 |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, and Consent to Entry of Order as to Malory Investments, LLC and Ronald Stein Only |
| Carla Key CRD #1348780 |
S-05-0031 |
Order to Cease and Desist, Assessing Civil Penalty and Consent to Entry of Order |
| Carroll Media, Inc., Roland Carroll, Paul L. Miller, and Gary Piano |
O-93-0018 |
Final Order to Cease and Desist, Denial of Exemptions, and Assessment of Civil Penalties |
| Castle Advisers LLC |
S-11-0058-b |
Order to Cease and Desist; Order Withdrawing Exclusions from Definition of "Investment Adviser;" Order Denying Use of Exemptions to the Securities Registration Requirements; Order Assessing Civil Penalties; and Consen to Entry of Order AS TO CASTLE ADVISERS, LLC ONLY. |
| Cecil F. Smith Jr. Aka "Buz" Smith, Church Ministries Distribution, Inc. dba Church Ministries Distribution |
S-10-0015 |
Final Order Finding Respondents in Violation of Prior Consent Order and Assessing Previously Suspended Civil Penalty, Entered by Default |
| Cecil F. Smith Jr. aka "Buz" Smith, Church Ministries Distribution, Inc., dba Church Ministries Distribution |
S-10-0015 |
Order to Cease and Desist, Order Assessing Civil Penalties, Order Denying Exemptions, and Consent to Entry of Order |
| Centex Securities, Inc., Frank M. Savasta, Peter Jason Worrell, and Robert Frank Toth |
A-01-0013 |
Order to Cease and Desist Denial of Exemptions Order Assessing Civil Penalty and Consent to Entry of Order as to Peter Jason Worrell |
| CFS Investment Trust |
O-93-0020 |
Order Assessing Civil Penalties and Consent to Entry of Order |
| Charles Edward Pruitt, Energy Group International, Inc., Energy Group Company, Inc., and Energy Group Associates, Inc. |
A-01-0004 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order |
| Charles V. Pownall, and Kovert Soft Technologies, Inc. |
S-05-0089 |
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Default Against Charles V. Pownall and Kovert Soft Technologies, Inc. |
| Charles Wesley Rhodes; The Rhodes Company; and Rhodes Econometrics |
O-99-0015 |
Order to Cease and Desist, Order Assessing Civil Penalty and Consent to Entry of Order |
| Childcare Seekers One Stop, Inc., and Christina Hart |
S-06-0019 |
Final Order to Cease and Desist and Assessing Civil Penalties Entered by Default as to Childcare Seekers One Stop, Inc., and Christina Hart |
| Christopher John Tento and James Joseph Honse |
S-05-0054 |
Order to Cease and Desist, Order Assessing civil Penalty and Consent to Entry of Order as to Christopher John Tento |
| Christopher John Tento and James Joseph Honse |
S-05-0054 |
Final Order to Cease and Desist Against James Hoseph Honse Entered by Default |
| Citigroup Global Markets Inc |
S-09-0017 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Citigroup Global Markets Inc. (formerly known as Salomon Smith Barney Inc.) 388 Greenwich Street, New York, New York 10013 |
S-03-0035 |
Administrative Order, Order Imposing Monetary Obligations, and Consent to Entry of Order |
| Cleveland J. Brigham and Michelle Brigham, aka Michele Brigham, Mortgage Lenders Unlimited, INc., an inactive Oregon corporation, Mortgage Services of America Inc., an Oregon corporation and CBJ Enterprises, Inc., an inactive Oregon Corporation |
9407-04872 (S-94-0027) |
Stipulated Final Decree/Permanent Injunction |
| Corbin Shirley |
A-01-0029 |
Final Order to Cease and Desist_Denying Exemptions and Assessing Civil Penalties_Entered by Default as to |
| Corporate Executives, Inc. and Larry M. Pember |
S-05-0067 |
Order to Cease and Desist, Denial of Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Craig Berkman |
O-98-0024 |
Stipulated Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, and Stipulation and Consent to Entry of Order by Respondent |
| Craig Berkman |
O-98-0024 |
Stipulated Amended Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, and Stipulation and Consent to Entry of Order by Respondent |
| Creative Pet Products, Inc., Phillip A. Berlin, and Frederick M. Bloom |
S-96-0018 |
Final Order to Cease and Desist, Denial of Exemptions, Assessment of Civil Penalties, Notice of Right to Hearing by Default |
| Creative Pet Products, Inc., Phillip A. Berlin, and Frederick M. Bloom |
S-96-0018 |
Acknowledgment of Payment of Monetary Penalty by Respondent Bloom |
| Credit Suisse Securities (USA) LLC |
S-09-0053 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Custom Mortgage, LLC and Patrick Carney |
X-09-0038 |
Order to Cease and Desist, Assessing Examination Fee, and Consent to Entry of Order |
| Cutler Investment Counsel, LLC |
S-11-0072 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Dale Stuart Lauder |
S-11-0061 |
Final Order of Cease and Desist, Order Denying Exemptions, and Order Assessing Civil Penalty, Entered by Default |
| Daniel Holz |
S-10-0028 |
Order to Cease and Desist; Order Denying Exemptions; License Application Bar; Order Assessing Civil Penalties; and Consent to Entry of Order |
| Daniel Michael Wheatley |
S-07-0009-1 |
Order to Cease and Desist, Order Barring From Industry, Order Denying Exemptions, Order Imposing Civil Penalties, and Consent to Entry of Order |
| Data Technology Group, Las Vegas 220 SMR, Leon Swichkow, Dean Lucas and Richard J. Allen |
A-01-0052 |
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Default Against Data Technology Group, Las Vegas 220 SMR, Leon Swichkow, Dean Lucas and Richard J. Allen |
| David Arnold Miller dba Western Internet Services Corp., aka Wincorp |
S-03-0056 |
Order to Cease and Desist, Order Denying Use of Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order |
| David R. Loeser and D.R. Loeser & Co., Inc. |
S-11-0074 |
Order to Cease and Desist, Order Assessing Civil Penalty, Consent to Entry of Order, License Surrender, and Bar from Securities Business in Oregon |
| David S. Treanor and Patience & Discipline Investment Club, Inc. |
A-02-0013 |
Final Order to Cease and Desist Denial of Exemptions and Assessment of Civil Penalties Entered by Default |
| DBSI Securities, Inc. |
A-03-0022 |
Order Terminating License and Consent to Order |
| Delbert Leroy Stephens, Jr. and D. L. Stephens, Inc. |
O-92-0005 |
Order to Cease and Desist, Denial of Exemptions, Order Assessing Civil Penalties and Consent to Entry of Order |
| Dennis J. Martinez and Janice L. Martinez |
S-12-0079 |
Order to Cease and Desist, Order Denying Exemptions, Proposed Order Assessing Civil Penalty, and Consent to Entry of Order |
| Dennis Reinold Thaut, dba First Security Financial |
S-09-0012 |
Order to Cease and Desist, Order Denying Exemptions, and Consent to Entry of Order |
| Derek R. Lenington and Lenington Financial LLC dba Lenington Financial |
S-10-0013 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Deutsche Bank Securities Inc |
S-09-0039 |
Order Assessing Civil Penalty and Consent to Entry of Order |
| Deutsche Bank Securities, Inc. |
S-05-0003 |
Administrative Consent Order |
| Diversified Resources Group; Larry Malbrue, Sr.; Ron Price; Jim Jackson |
O-93-0021 (1) |
Final Order by Default as to Diversified Resources Group and Larry Malbrue, Sr. |
| Diversified Resources Group; Larry Malbrue, Sr.; Ron Price; Jim Jackson |
O-93-0021 |
Final Order Against Jim Jackson and Ron Price |
| Donald E. Freeman and Freeman Capital Management, LLC |
S-12-0040 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Donald G. Varce |
O-94-0032 |
Final Order by Default, Order to Cease and Desist, Denial of Exemptions, and Assessment of Civil Penalties |
| Douglas Goodrum, Alpha Energy, Inc., Alliance Resources Group, Inc., Alex Bailey, and Jay Reynolds |
S-07-0025 |
Order Withdrawing Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Default Against Douglas Goodrum Only |
| Douglas Goodrum, Alpha Energy, Inc., Alliance Resources Group, Inc., Alex Bailey, and Jay Reynolds |
S-07-0025 |
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Default Against Douglas Goodrum, Alpha Energy, Inc., Alliance Resources Group, Inc., and Jay Reynolds Only |
| Douglas Goodrum, Alpha Energy, Inc., Alliance Resources Group, Inc., Alex Bailey, and Jay Reynolds |
S-07-0025 (B) |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Consent as to Alex Bailey Only |
| Douglas Goodrum, Alpha Energy, Inc., Alliance Resources Group, Inc., Alex Bailey, and Jay Reynolds |
S-07-0025 (C) |
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Consent as to Douglas Goodrum Only |
| DR Thaut, Inc., dba First Security Financial, and Dennis Reinold Thaut |
A-02-0042 |
Order to Cease and Desist, Order Assessing Civil Penalty, Order Denying Use of Exemptions, and Consent to Entry of Order |
| E*Trade Securities LLC |
S-11-0130 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| E.M.E. Funding Corp. and Edward M. McKee |
O-94-0002 |
Order to Cease and Desist, Denying Certain Exemptions and Assessing Civil Penalty, and Consent to Entry of Order |
| Edward Michael Johnson |
CR0701788 |
Judgment (Clackamas County Circuit Court) |
| Edward Michael Johnson |
CR-07-0054-1 |
Order to Cease and Desist, Order Denying Exemptions, and Consent to Entry of Order |
| Edwin Tolentino Garcia |
S-07-0009-3 |
Order to Cease and Desist, Order Barring From Industry, Order Denying Exemptions, Order Imposing Civil Penalties, and Consent to Entry of Order |
| Elder Research Corporation, an Oregon corporation; Ronald R. Elder, and individual; and Rita M. Elder, and individual |
S-07-0022 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Eljay Investment Company; and Leonard J. Chaitin |
S-12-0001 |
Order to Cease and Desist; Order Assessing Civil Penalties; and Consent to Entry of Order |
| Elton T. Elliott and Virtual Adventures, Inc. |
A-02-0003 |
Order to Cease and Desist Order Assessing Civil Penalty and Consent to Entry of Order |
| Energy Service Company, Inc., aka Enserco; and John P. Brink |
O-96-0005 |
Final Order to Cease and Desist, Denial of Exemptions, and Assessment of Civil Penalties, Entered by Default |
| Epitome, LLC, a Washington Limited Liability Company; Robert Neace, Jr., and James Billington |
A-02-0030 |
Order to Cease and Desist Order Assessing Civil Penalty and Consent to Entry of Order as to Respondent James Billington |
| Epitome, LLC, a Washington Limited Liability Company; Robert Neace, Jr., and James Billington |
A-02-0030 |
Final Order to Cease and Desist Denial of Exemptions and Assessment of Civil Penalties Entered by Default as to Respondent Epitome, LLC |
| Epitome, LLC, a Washington Limited Liability Company; Robert Neace, Jr., and James Billington |
A-02-0030 |
Order to Cease and Desist Order Assessing Civil Penalty and Consent to Entry of Order as to Respondent Robert Neace, Jr. |
| Epitome, LLC, Robert Neace, Jr., and James Billington |
A-02-0030 |
Order Modifying, Order to Cease and Desist as to Robert Neace, Jr., Only |
| Errol H. Schnider; Arizona Metro Direct Information Services, Inc., (a Nevada corporation); Arizona Metro Direct Information Service, Inc., (an Arizona Corporation); and Arizona Metro Direct Information Services, Inc., (an Arizona corporation) |
A-01-0038 |
Order to Cease and Desist Denial of Exemptions Order Assessing Civil Penalty and Consent to Entry of Order |
| First Assurety Capital Corp., Sales Support Services, Inc., Steven E. Coryell, and Richard W. Scheu |
O-96-0037 |
Order to Cease and Desist, Denial of Exemptions, Assessment of Civil Penalties, Entered by Default |
| First Colonial Bank, LTD a/k/a Pac-Rim, Inc. |
S-88-0011 |
Closure Certificate; Case History |
| First Federated Companies of Oregon, Inc., an Oregon Corporation, fka First Federated Communications of Oregon, Inc., dba First Choice Communications; Michael J. Morris; Robert A. Miller; and Stephen E. Allsup |
A-02-0009(b) |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order by Respondent Michael A. Miller |
| First Federated Companies of Oregon, Inc., an Oregon Corporation, fka First Federated Communications of Oregon, Inc., dba First Choice Communications; Michael J. Morris; Robert A. Miller; and Stephen E. Allsup |
A-02-0009 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order by Respondent Michael J. Morris |
| First Federated Companies of Oregon, Inc., an Oregon Corporation, fka First Federated Communications of Oregon, Inc., dba First Choice Communications; Michael J. Morris; Robert A. Miller; and Stephen E. Allsup |
A-02-0009(c) |
Final Order to Cease and Desist Denying Exemptions and Assessing Civil Penalties Entered by Default as to Respondent First Federated Companies of Oregon, Inc. |
| First Federated Companies of Oregon, Inc., an Oregon Corporation, fka First Federated Communications of Oregon, Inc., dba First Choice Communications; Michael J. Morris; Robert A. Miller; and Stephen E. Allsup |
A-02-0009(a) |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order by Respondent Stephen E. Allsup |
| First Financial Planners, Inc.; FFP Securities, Inc.; FFP Advisory Services, Inc., |
A-00-0007 |
Order to Cease and Desist and Stipulations and Consent to Entry of Order by Respondents First Financial Planners, Inc.; FFP Securities, Inc., FFP Advisory Services, Inc. |
| First Liberty Financial, Kerry Dalbert, Stephen M. Parrino, Danny M. Rayburn, Michael Donaldson, Joshua Craig |
S-04-0014 |
Order to Cease and Desist Order Imposing Civil Penalty and Denying Use of Exemptions Entered by Default |
| Fiscal Funding, Inc. (formerly known as Franklin Funding, Inc.) and Richard F. Yost |
O-95-0011 |
Order to Cease and Desist, Assessment of Civil Penalties and Consent to Entry of Order by Fiscal Funding, Inc., and Richard F. Yost |
| Flameseal International, Inc., American Venture-Eagle International, Inc.; and Larry E. Hunter |
O-96-0009 |
Order to Cease and Desist, Denial of Exemptions, and Assessment of Civil Penalties |
| Frank T. Dunn, Jr. |
S-07-0002 |
Order Conditioning the Securities Broker-Dealer Salesperson License of Frank T. Dunn, Jr., Entered by Consent |
| Fresh NetSoft, Inc., Cybernet International, Inc., Gateway Consulting, Inc., A. Blaine Randall, Chuck Kempton, Joseph Howard Champion, aka Allan Wells, Pather Lloyd Neff, Clay Sanger, and Alan Poon |
O-97-0013 |
Final Order; Cease and Desist, Denial of Exemptions, and Assessment of Civil Penalties; Default Order for Cybernet International, Inc., Gateway Consulting, Inc., A. Blaine Randall, Joseph Howard Champion, Clay Sanger, Alan Poon |
| FTI Capital Advisors LLC |
S-12-0102 |
Order to Cease and Desist, Order Assessing Civil Penalties, and Consent to Entry of Order |
| G. David Chinchurreta |
O-95-0018b.pdf |
Agreement |
| G. T. Global Growth and Income Fund |
O-93-0008 |
Order Assessing Civil Penalties and Consent to Entry of Order |
| G. T. Global Health Care Fund |
O-93-0009 |
Order Assessing Civil Penalties and Consent to Entry of Order |
| Gaia Capital Management, Inc., and James C. Pursley |
S-12-0103 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Gary Buchanan and Turfmate Products, Inc. |
A-01-0002 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order |
| GBS Funding, James Georgen and Lee Stortz |
A-03-0023 |
Final Order to cease and Desist, Denying Exemptions, and Assessing Civil Penalties by Default as to GBS Funding and Lee Stortz |
| Gigapix Studios, Inc., a California corporation, and Christopher J. Blauvelt, an individual |
S-08-0018 |
Order to Cease and Desist, Conditioning of Exemptions, Order Assessing Civil Penalty and Consent to Entry of Order |
| Goldman, Sachs & Co., (CRD #361) |
S-10-0009 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Gordon Rodney Baze, Jr., aka Gordy Baze |
S-05-0028 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Gregory Louis Peck |
A-04-0001 |
Order to Cease and Desist, Order Imposing Civil Penalty, Entered by Default |
| H. C. Denison Company |
S-10-0004 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| H. G. Wellington & Co., Inc. |
O-92-0008 |
Cease and Desist Order, Civil Penalty, Consent of H. G. Wellington & Co., Inc. |
| Hans Wayne Schnauber, an individual, Kathy Charlee, an individual, and Horace T. Johnson, an individual |
S-05-0056 |
Order of Dismissal as to Horace T. Johnson |
| Hans Wayne Schnauber, an individual, Kathy Charlee, an individual, and Horace T. Johnson, an individual |
S-05-0056 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order Against Hans Wayne Schnauber |
| Hans Wayne Schnauber, an individual, Kathy Charlee, an individual, and Horace T. Johnson, an individual |
S-05-0056 |
Order to Cease and Desist, Order Assessing Civil Penalty and Consent to Entry of Order against Kathy Charlee |
| Harold Michael Peterson, B.A. Prabhudass, aka Aaron Bolleddula, M & L Investments, Inc., and Steadfast Ventures, Ltd. |
O-95-0009 |
Final Order Entered by Default |
| Harry Dean Proudfoot, III; Insurance Designers of the Northwest, Inc.; and Phil Jensen |
O-91-0030 |
Cease and Desist Order, Order Denying Exemptions, and Consent to Entry of Order by Phil Jensen |
| Harry Dean Proudfoot, III; Insurance Designers of the Northwest, Inc.; and Phil Jensen |
O-91-0030 |
Cease and Desist Order, Order Revoking License, Order Denying Exemptions, and Consent to Entry of Order by Harry Dean Proudfoot, III |
| Henry Paul Regan, Jr. |
S-04-0011 |
Final Order to Cease and Desist and Assessing Civil Penalties Entered by Default |
| High Tech Travel Services Corporation, Benjamin R. Callari, Donald R. Myatt, Jr., and Dennis L. Weathers |
A-00-0026 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order |
| IGR Mortgage Co. and Scott E. Shankland |
O-93-0016 |
Order to Cease and Desist, Order Denying Certain Exemptions, Civil Penalty, and Consent to Entry of Order |
| International Business Development, LTD., and Yoram Gordon |
S-10-0023 |
Order to Cease and Desist and Consent to Entry of Order |
| International Financial Resources, LLC, Norman Jansen, and Edward Johnson |
O-01-0006 |
Order to Cease and Desist; Order Denying Use of Exemptions, and Consent to Entry of Order |
| Jack Kleck, doing business individually and under the name Jack Kleck Investments |
S-07-0001 |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties. Order of Revocation of Broker-Dealer Salesperson License of Jack Kleck |
| Jacqueline Atkinson |
IT-08-0043-1 |
Order to Cease and Desist, License Revocation, Denying Exemptions, Imposing Permanent Bar, Assessing Civil Penalties, and Consent to Entry of Order |
| James A. McHan |
O-95-0018 |
Agreement |
| James Dombrowski aka James dba Entrepenuer Exports Corp. |
S-05-0023 |
Final Order to Cease and Desist and Assessing Civil Penalties Entered by Default |
| James Edward Theeler |
S-10-0058-2 |
Order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order |
| James Hampton Simmons Jr |
S-09-0054 |
Order Granting Conditional Securities Salesperson License |
| James Honse, and Starship Consortium, Ltd. |
O-94-0045 |
Agreement and Undertaking for James Honse and Starship Consortium, Ltd. |
| James John Rask |
S-05-0064-7 |
Final Judgment Incorporating the Consent Order of Permanent Injunction, Ancillary Equitable Releift, and Civil Monetary Penalty Against James John Rask |
| James Salvatore Georgen, Jr. |
S-08-0014 |
Order to Cease and Desist, Order Denying Exemptions, Bar from Financial Industry, Assessment of Civil Penalty, and Consent to Entry of Order |
| James Salvatore Georgen, Jr. |
CR-07-0028 |
Clackamas County Judgment |
| Jeffrey Louis Moore |
CR0701600 |
Judgement (Clackamas County Circuit Court) |
| Jim Georgen |
S-03-0044 |
Order to Cease and Desist, Denying Exemptions, Revoking Licensure, and Assessing Civil Penalties and Consent to Entry of Order |
| Jimmy Ray Kelly and The Roje |
S-12-0066 |
Order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order |
| John David Thurber |
S-09-0016-4 |
Order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalties, and Consent to Entry of Order |
| John M. Mendola |
S-09-0067-2 |
Order Granting Conditional Securities Salesperson and Investment Adviser Representative Licenses |
| John Michael Grishkin |
S-11-0107 |
Order to Cease and Desist, Order Denying Securities Exemptions, Agreement Not to Apply for Finance Industry Related License or Registration, Order Assessing Civil Penalties, and Consent to Entry of Order |
| John Michael Grishkin |
S-12-0021 |
Final Order of Violation of Prior Consent Order and Order Assessing Previously Suspended Civil Penalty |
| Jon Michael Harder |
S-09-0028-2 |
Order to Cease and Desist, Order Denying Exemptions, License Application Bar, Order Assessing Civil Penalties, Voluntary Surrender of License, and Consent to Entry of Order |
| Joseph M. Blackwell and Blackwell Donaldson & Company |
S-05-0001 |
Final Order |
| JPMorgan Chase & Co., CRD #79 |
S-09-0040 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Karl Kent Spencer, dba Kirby of Greater Oregon |
S-09-0071 |
Order to Cease and Desist, Order Assessing Civil Penalties and Consent to Entry of Order |
| Karl Kent Spencer, dba Kirby of Greater Oregon |
S-11-0007 |
Final Order |
| Kathie A. Hitchcock and Janice Binion dba Four Steps to Wealth |
A-02-0069 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order as to Kathie A. Hitchcock |
| Kathie A. Hitchcock and Janice Binion dba Four Steps to Wealth |
A-02-0069 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order as to Janice Binion |
| Keeley Funds, Inc. |
S-09-0008 |
Order to cease and desist, Order Assessing Securities Notice Filing Fees, and Consent to Entry of Order |
| Kenneth G. Titus, Sr. dba Redwood Trust |
S-05-0029 |
Final Order |
| Kevin Ruggiero and Baxter, Banks, and Smith, Ltd. |
A-00-0009 |
Final Order to Cease and Desist Denying Exemptions and Assessing Civil Penalties Entered by Default as to Baxter, Banks, and Smith, Ltd. |
| Kristopher K. Keeney |
S-11-0073 |
Final Order to Cease and Desist, Order Denying Exemptions, and Order Assessing Civil Penalty, Entered by Default |
| L.H. Ross & Company, Inc., a New York corporation |
S-05-0039 |
Final Order Revoking Broker-Dealer License Entered by Default |
| Larry Alan Stockett and OTC Emerging Growth Fund Inc |
O-96-0007 |
Order to Cease and Desist, Denial of Exemptions, Assessment of Civil Penalties, and Consent to Entry of Order |
| Laser Vision Technologies, Inc. |
A-00-0017 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order |
| Lawrence Lewis Beard, and individual |
S-06-0025 |
Order to Cease and Desist, Denial of Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Leading Solutions, Inc., and Douglas Goodrum |
A-02-0001 |
Order to Cease and Desist Order Assessing Civil Penalty and Consent to Entry of Order |
| Lee Douglas Tusberg and Barbara Edgemon |
A-01-0020 |
Stipulated Amended Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties and Stipulation and Consent to Entry of Order by Respondent |
| Lendingclub Corporation |
S-10-0050 |
Final Order Denying Application for Registration of Securities, Entered by Default |
| Les Kruse, an individual, James B. Gilmore, an individual, Gerrick Rod Powell, an individual and Morgan Investment Pool, Inc., a Nevada corporation |
S-93-0014 |
Final Judgment, Money Judgment, and Permanent Injunction |
| Lewis Hanson and Company, Inc.; Tony Lewis; Steve D. Hanson |
O-92-0033 |
Order to Cease and Desist, Order Assessing Civil Penalties, and Consent of Lewis Hanson and Company, Inc., to Entry of Order |
| Lightstone Value Plus Real Estate Investment Trust, Inc. |
S-10-0051 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Lincoln Highlands Limited Partnership and Marjorie M. Boyd |
S-05-0057 |
Order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order |
| LPL Financial LLC, fka Linsco Private Ledger Corporation |
S-07-0001-2 |
Order to Cease and desist and Assessing Civil Penalties and Consent to Entry of Order |
| Magellan Securities Inc., Terry Michael Laymon, Dennis Leroy Dunn |
A-01-0033 |
Order to Cease and Desist Order Assessing Civil Penalty Order Denying Exemptions Order Suspending Securities Salesperson License of Dennis Leroy Dunn and Consent to Entry of Order as to Dennis Leroy Dunn |
| Marcus White, Russell F. Kenaga, Jr., Russ Kenaga, Inc., and Property Acquisitions, Inc. |
O-96-0029 |
Order to Cease and Desist to Assess Civil Penalties, Denial of Exemptions, and Consent to Entry of Order |
| Mark E. Stuart; and Halsey L. Johnston |
O-95-0030 |
Final Order as to Respondent Johnston, Entered by Default |
| Mark E. Stuart; and Halsey L. Johnston |
O-95-0030 |
Order to Cease and Desist, Denying Exemptions; Imposing Civil Penalties; and Stuart Consent to Entry of Order |
| Mary Manin Morrissey, and individual; Edward P. Morrissey, and individual; The Living Enrichment Center, a non-profit religious organization, Living Enrichment Ministries, a non-profit religious corporation; New Thought Broadcasting, Inc.; and New Thought Broadcasting Foundation, a dissolved Oregon corporation |
S-05-0005
(Multnomah County Case number 0504-035090 |
Consent Decree and Final Judgement and Order |
| Merrill Lynch Pierce Fenner & Smith Incorporated |
S-09-0034 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated |
S-09-0059 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. |
A-02-0025 |
Administrative Order Order Imposing Monetary Obligations and Consent to Entry of Order |
| Metlife Securities, Inc. |
S-05-0006 |
Order to Cease and Desist Entered by Consent |
| Michael D. Mansfield, Mansfield Trust, Mansfield Corporation, and Mansfield Viatical Management |
S-03-0046 |
Final Order to Cease and Desist, Order Denying Use of Exemptions, and Order Imposing Civil Penalty Entered by Default |
| Michael Del Branson |
A-01-0017 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order |
| Michael Francis Dobbs and GIT Securities Corporation |
S-03-0051 |
Order to Cease and Desist, Order Imposing Civil Penalty Entered by Default |
| Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A. Resort Holdings International, Inc., Resort Holdings International, S.A., World Phantasy Tours a/k/a Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder |
S-07-0043 |
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Defaul Against Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phantasy Tours a/k/a Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Stephen Monroe, and Dale Lauder only |
| Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phantasy Tours a/k/a Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Rick Greene, Roget Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, Dale Lauder, and James Theeler |
S-07-0043-15 |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Lawrence Beard Only |
| Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phatasy Tours a/ka/ Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder |
S-07-0043-17 |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Kenneth Christensen Only |
| Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phatasy Tours a/ka/ Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder |
S-07-0043-16 |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Royal Edwards Only |
| Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phatasy Tours a/ka/ Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder |
S-07-0043-11 |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Rick Greene Only |
| Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phatasy Tours a/ka/ Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder |
S-07-0043-19 |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Joel Whaley Only |
| Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phatasy Tours a/ka/ Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder, and James Theeler |
S-07-0043-13 |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Douglas Laird Only |
| Michael Kelly, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phantasy Tours a/k/a Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder |
S-07-0043-12 |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Roger Stewart Only |
| Michael Kelly, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phantasy Tours a/k/a Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder, and James Theeler |
S-07-0043-20 |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to James Theeler Only |
| Michael Nelson Real Estate, Inc., Michael R. Nelson |
O-94-0012 |
Order to Cease and Desist, Denying Certain Exemptions and Assessing Civil Penalty, and Consent to Entry of Order |
| Michael Patrick Kaiser |
S-07-0006 |
Order to Cease and Desist, Order Denying Use of Exemptions, Order Imposing Civil Penalties, and Consent to Entry of Order |
| Michael Wayne Smith and Stacey Lynne Smith |
S-06-0032-2 |
Order to Cease and Desist, Order Denying Exemptions, and Consent to Entry of Order as to Stacey Lynne Smith Only |
| Michael Wayne Smith and Stacey Lynne Smith |
S-06-0032-1 |
Order to Cease and Desist, Order Denying Exemptions, and Consent to Entry of Order as to Michael Wayne Smith Only |
| Michelle Moses |
S-05-0087-2 |
Final Order to Cease and Desist and Order Assessing Civil Penalties by Default |
| Millennium Electronics 2, Inc., |
A-02-0084 |
Order to Cease and Desist, Order of Rescission, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Morgan Asset Management, Inc., a wholly owned subsidiary of MK Holding, Inc., a wholly owned subsidiary of Regions Financial Corporation; and Morgan Keegan & Company, Inc., a wholly owned subsidiary of Regions Financial Corporation |
S-11-0067 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Morgan Stanley & Co Incorporated (CRD#9209) |
S-09-0060 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Morgan Stanley & Co. Incorporated |
S-08-0017 |
Findings of Fact, Conclusions of Law, Consent Order |
| Morgan Stanley Charter Graham L.P. and Morgan Stanley Spectrum Select L.P. |
s-09-0009 |
Order to Cease and Desist and Consent to Entry of Order |
| Mortgage Exchange, Inc. |
S-08-0033 |
Order Suspending Order of Registration and Use of Exemptions to Registration Requirements and Consent to Entry of Order |
| Mother Nature's Remedies, Inc., Phillip L. Peters, and Bruce E. Schulte |
O-95-0016 |
Order to Cease and Desist, Denial of Exemptions, Assessment of Civil Penalties, and Consent of Bruce E. Schulte to Entry of Order |
| Mother Nature's Remedies, Inc., Phillip L. Peters, and Bruce E. Schulte |
O-95-0016 |
Order to Cease and Desist, Denial of Exemptions, Assessment of Civil Penalties, and Consent of Mother Nature's Remedies, Inc., and Phillip L. Peters to Entry of Order |
| National Equipment Providers, LLC; Spa Marketing, LLC; Walter Theis; Ross Rambach; Mark Kennison, and Harry Proudfoot III |
S-03-0047-b |
Order of Dismissal Without Prejudice as to Walter Theis Only |
| National Equipment Providers, LLD; Spa Marketing, LLC: Walter Theis; Ross Rambach; Mark Kennison, and Harry Proudfoot III |
S-03-0047a |
Final Order to Cease and Desist, Denying Exemptions, And assessing Civil Penalties by Default as the National Equipment Providers, LLC; Spa Marketing, LLC; Ross Rambach; Mark Kennison, and Harry Proudfoot III only |
| National Funding Service Inc. |
O-00-0010 |
Order to Cease and Desist Order to Assess Civil Penalty Consent to Entry of Order |
| Nendels Corporation, nka Skylink Communications Corporation, an Oregon Corporation; Gary Alfred Shill and Tarlton Snead Gosney |
A-01-0027 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order by Respondent Gary Alfred Shill |
| Nendels Corporation, nka Skylink Communications Corporation, an Oregon Corporation; Gary Alfred Shill and Tarlton Snead Gosney |
A-01-0027 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order by Respondent Tarlton Snead Gosney |
| Nendels Corporation, nka Skylink Communications Corporation, an Oregon Corporation; Gary Alfred Shill and Tarlton Snead Gosney |
A-01-0027 |
Final order to Cease and Desist, Denial of Exemptions, and Assessment of Civil Penalties Entered by Default As to Nendels Corp. |
| Northwest Paytele Communications, Inc., and Steven Cooper |
S-04-0012 |
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Default as to Northwest Paytele Communications, Inc. |
| Northwest Paytele Communications, Inc., and Steven Cooper |
S-04-0012 |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties and Consent to Entry of Order as to Steven Cooper |
| Nuhart Funding, Inc.; and David L. Fendall |
O-96-0003 |
Order to Cease and Desist; Denial of Exemptions; Assessment of Civil Penalties; and Consent of Respondents to Entry of Order |
| Ocean Resources Corporation of America, Timothy Roen Kraft |
O-95-0004 |
Order to Withdraw |
| Omni Advisor Group, Inc., Brian P. McGuane, Kevin E. Sullivan, Brent Burke, Chris Duda, Nora Fileccia, Bernie Lemke, and Gus Thomas |
S-03-0039 |
Stipulated Order as to Respondents Omni Advisor Group, Inc., and Brian P. McGuane |
| Orion International, Inc., Russell B. Cline, April Duffy, Bangone Vorachith, and Nancy Hoyt |
S-05-0064-1 |
Order of Default Judgement for Permanent Injunction, Ancillary Equitable Relief, and Civil Monetary Penalty Against Orion International, Inc. |
| Orion International, Inc., Russell B. Cline, April Duffy, Bangone Vorachith, and Nancy Hoyt |
S-05-0064-8 |
Consent Order of Permanent Injunction, Ancillary Equitable Relief, and Civil Monetary Penalty Against April Duffy |
| Orion International, Inc., Russell B. Cline, April Duffy, Bangone Vorachith, and Nancy Hoyt |
S-05-0064-3 |
Consent Order of Permanent Injunction, Ancillary Equitable Releift, and Civil Monetary Penalty Against Nancy Hoyt |
| Orion International, Inc., Russell B. Cline, April Duffy, Bangone Vorachith, and Nancy Hoyt |
S-05-0064-4 |
Final Judgement Order of Permanent Injunction, Ancillary Equitable Relief, and Civil Monetary Penalty Against Russell B. Cline |
| Orion International, Inc., Russell B., Cline, April Duffy, Bangone Vorachith, and Nancy Hoyt |
S-05-0064-9 |
Consent Order of Permanent Injunction and Ancillary Equitable Relieft, Against Samantha B. Vorachith formerly known as Bangone Vorachith |
| Owens Mortgage Investment Fund, A California Limited Partnership and Owns Securities Corporation |
S-09-0020 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Pac West Mortgage & Investments and Ron Ogle |
O-01-0009 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Pacific Cascade Investment, Inc. |
O-94-0042 |
Order to Cease and Desist, Suspension of License, Assessment of Civil Penalties, Consent to Entry of Order |
| Pacwest Funding.com and Das Financial Services, Inc. dba Boise River Mortgage |
O-01-0054 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| PaineWebber Incorporated |
O-96-0002 |
Consent Order |
| Philip V. Swan Associates, Inc. |
O-93-0039 |
Cease and Desist Order, Order Assessing Civil Penalty, and Consent to Order |
| Piedmont Office Realty Trust Inc |
S-09-0077 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Preferred Securities Group, Inc. |
A-00-0013 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order |
| Presidents Trust Company, LLC, Jon Patrick Pierce, David D. Klasna and Herbert L. Perilloux |
S-04-0005 |
Final Order to Cease and Desist Entered by Default |
| Prime One Mortgage Corporation |
O-02-0008 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| ProEquities, Inc. |
S-12-0055 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Prosper Marketplace, Inc. |
S-08-0045 |
Order to Cease and Desist, Assessing Civil Penalties, Consent to Entry of Order |
| Prosper Trust and David Alan Cole |
A-00-0015 |
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties as to Respondent Prosper Trust |
| Quantum Network Services, Inc., and Clifford Goehring |
S-08-0029 |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties and Consent to Entry of Order |
| Quantum Network Services, Inc., Pacific Financial Solutions, Inc., and Clifford Goehring |
S-08-0029 |
Order of Dismissal of Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties as to Pacific Financial Solutions, Inc., Only |
| Ragen Mackenzie Investment Services LLC and Peter E. Nipoti |
S-03-0057 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Ralph Michael Shirtcliff and Marlin Larsen |
O-97-0032 |
Order to Cease and Desist, Denial of Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order |
| RAS Securities Corporation |
O-95-0049 |
Cease and Desist Order, Order Imposing Undertakings and Civil Penalty, and Consent to Order |
| Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. |
S-11-0060 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| RBC Capital Markets Corporation |
S-09-0035 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| RDSC, LLC |
S-09-0024 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley haragan, Leta Mae haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece, and Michael Whelan |
S-05-0029-18 |
Order to Cease and Desist and Consent to Entry of ORder as to Aaron Bolleddula Only |
| Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley haragan, Leta Mae haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece, and Michael Whelan |
S-05-0029-3 |
Order to Cease and Desist and Consent to Entry of Order as to Greg Diamond Only |
| Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley haragan, Leta Mae haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece, and Michael Whelan |
S-05-0029-4 |
Order to Cease and Desist and Consent to Entry of Order as to Lisa Diamond Only |
| REI Exchange, LLC, TMG Ventures, Inc., and Anthony C. Scwhartz |
S-09-0041 |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Default |
| Resource Trading Group, Inc., and Thomas M. Moorman |
S-10-0026 |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties and Consent to Entry of Order |
| Response Mortgage Services, Inc. |
O-01-0040 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Rex A. Haragan dba Bountiful LLC |
S-05-0029 |
Final Order |
| Rex A. Haragan, d/b/a Bountiful LLC; Kenneth G. Titus, Sr., d/b/a Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley Haragan, Leta Mae Haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece and Michael Whelan |
S-05-0029-15 |
Order to Cease and Desist and Consent to Entry of Order as to Jeff Preece Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Order to Cease and Desist and Consent to Entry of Order as to Christos Mandalides Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Order to Cease and Desist and Consent to Entry of Order as to Brent Morriss Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Amended Order to Cease and Desist, Order Assessing Civil Penalties Entered by Default as to Linda Pfeiffer Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Order to Cease and Desist and Consent to Entry of Order as to Brett Pittner Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Order to Cease and Desist and Consent to Entry of Order as to Clyde Demoss Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Second Amended Order to Cease and Desist, Order Assessing Civil Penalties Entered by Default as to Scott Lee Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Order to Cease and Desist and Consent to Entry of Order as to Sterling Griffiths Only |
| Rex A. Haragan, dba Bountiful, LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley Haragan, Leta Mae Haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece, and Michael Whelan |
S-05-0029 |
Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Mary Ann Mathis Only |
| Rex A. Haragan, dba Bountiful, LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley Haragan, Leta Mae Haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece, and Michael Whelan |
S-05-0029 |
Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Riley Haragan Only |
| Rex A. Haragan, dba Bountiful, LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley Haragan, Leta Mae Haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece, and Michael Whelan |
S-05-0029 |
Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Nancy Alexander Only |
| Rex A. Haragan, dba Bountiful, LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley Haragan, Leta Mae Haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece, and Michael Whelan |
S-05-0029 |
Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Shawn McCorkle Only |
| Rex A. Haragan, dba Bountiful, LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley Haragan, Leta Mae Haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece, and Michael Whelan |
S-05-0029 |
Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Leta Mae Haragan Only |
| Rex A. Haragan, dba Bountiful, LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley Haragan, Leta Mae Haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece, and Michael Whelan |
S-05-0029 |
Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Michael Whelan Only |
| Rex A. Haragan, dba Bountiful, LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley Haragan, Leta Mae Haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece, and Michael Whelan |
S-05-0029 |
Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Christa Kirby Only |
| Rhodes Econometrics, Inc., and Charles Wesley Rhodes, Jr., doing business individually and under the names "The Rhodes Company," "Professional Practice Planning Service," and "PPPS," |
S-06-0036 (A) |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties. Order of Revocation of Investment Adviser Representative License of Charles Wesley Rhodes, Jr. |
| Riccardo Morano and CFG Solutions, LLC |
13-0002 |
Final Order to Cease and Desist, Denial of Exemptions and Order Assessing Civil Penalties, Entered by Default |
| Richard G. Thomas |
S-12-0029-1 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Richard Wielenbeck |
S-11-0076 |
Order Finding Richard Wielenbeck in Violation of Prior Consent Order and Assessing Previously Suspended Civil Penalty |
| Richard Wielenbeck |
S-11-0076 |
Order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order |
| RJJ Pasadena Securities, Inc. |
S-08-0034 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| RKane III, LLC, Rimrock III, Ltd., Three Nines Minerals, Ltd., Harry Proudfoot III, Family Benefits USA, LLC, Kurt Black, and Lyle Hathaway |
S-09-0013 |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties and Consent to Entry of Order as to Kurt Black Only |
| RKane III, LLC, Rimrock III, Ltd., Three Nines Minerals, Ltd., Harry Proudfoot III, Family Benefits USA, LLC, Kurt Black, and Lyle Hathaway |
S-09-0013 |
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Defualt as to Lyle Hathaway Only |
| RKane III, LLC, Rimrock III, Ltd., Three Nines Minerals, Ltd., Harry Proudfoot III, Family Benefits USA, LLC, Kurt Black, and Lyle Hathaway |
S-09-0013 |
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Default as to RKane III, LLC and Rimrock III Ltd., Only |
| Robert Todd Calvert |
S-10-0058 |
Order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Robert Warren Spruill, dba Brooke Auto Insurance Services and dba Brooke Agency Services Company, LLC |
ID-09-0027 |
Order to Cease and Desist, Order Assessing Civil Penalty and Consent to Entry of Order |
| Rodman & Renshaw, Inc., and Jack L. Eisenkramer |
O-92-0038 |
Cease and Desist Order, Order Revoking License, Order Imposing Civil Penalty, Consent of Jack L. Eisenkramer to Entry of Order |
| Rodman & Renshaw, Inc., and Jack L. Eisenkramer |
O-92-0038 |
Cease and Desist Order, Order Revoking License, Order Imposing Civil Penalty, Consent to Rodman & Renshaw to Entry of Order |
| Roger A. Chinn, Gerald "Jerry" H. Chinn, and Sanford "Dusty" Webb |
A-01-0039 |
Final Order by Default as to Roger A. Chinn and Sanford "Dusty" Webb |
| Ronald Dale Tenison |
13-0008 |
Final Order to Cease and Desist, Final Order Denying the Use of Exemptions to the Securities Registration Requirements, and Final Order Assessing Civil Penalties Entered by Default |
| Ronald L. McLain, Constance McLain and IQ Travel & Entertainment, Inc. |
S-05-00 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order |
| Royal Hannon Edwards, an individual |
S-08-0009-1 |
Order to Cease and Desist, Denial of Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order |
| RV Financial Inc. |
O-00-0022 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Safe Systems, Inc., Genesis Holdings Group, Inc., Phoenix Development Group, Inc., Philippine Gold Importation Venture, and Joseph A. Untalan |
S-12-0068 |
Final Order to Cease and Desist, Denial of Exemptions and Order Assessing Civil Penalties, Entered by Default |
| Salomon Brothers, Inc. |
O-92-0052 |
Stipulation for Consent Order |
| Salomon Brothers, Inc. |
O-92-0052 |
Cease and Desist Order and Order Imposing Civil Penalty |
| Savory Telecom, Inc., and International Internet & Telecom, Inc. |
S-06-0026 |
Order to Cease and Desist, Order Assessing Securities Registration Fees and Consent to Entry of Order |
| Schield Management Company |
O-93-0013 |
Cease and Desist Order, Order Assessing Civil Penalty, and Consent to Order |
| Scott J Baklenko and BAK Ventures, Inc. |
S-11-0058-a |
Order to Cease and Desist; Order Denying Use of Exemptions to the Securities Registration Requirements; Order Withdrawing Exclusion from Definition of Investment Adviser; Order Withdrawing Exclusion from Definition of Broker-Dealer; Order Withdrawing Exclusion from Definition of Investment Adviser Representative; Order Withdrawing Exclusion from Definition of Salesperson; Order Assessing Civil Penalties; and Consent to Entry of Order; As to Respondents Scott J. Baklenko and BAK Ventures, Inc. Only |
| Senior Homeowners Financial Services, Inc. |
O-02-0021 |
Final Order by Default - Revocation of Mortgage Banker/Broker License and Imposition of Civil Penalties |
| Shelby H. Bell; Hobo Prince Economic Project, LLC; and Be'Rio Transports, LLC |
S-12-0064 |
Final Order to Cease and Desist, Final Order Denying Exemptions, and Final Order Assessing Civil Penalties, Entered by Default |
| Sierra Pacific Mortgage Company, Inc. |
O-02-0036 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Skylink Communications Corporation, an Oregon Corporation (fka Nendels Corporation and Skylink Telecommunications Corporation); and Northwest Communications, Inc., an Oregon Corporation |
A-01-0045 |
Final order to Cease and Desist, Denial of Exemptions, and Assessment of Civil Penalties, Entered by Default Against All Respondents |
| Smith Barney Income Funds |
O-95-0020 |
Order to Assess Civil Penalties and Consent to Entry of Order |
| Smith Barney Muni Funds - California Money Market Portfolio, and Smith Barney Arizona Municipals Fund Inc |
O-95-0051 |
Order to Assess Civil Penalties and Consent to Entry of Order |
| Southwest Exchange, Inc., a Nevada Corporation, dba Arrow 1031 Exchange, aka Southwest 1031 Exchange, Inc. |
S-07-0015 |
Final Order to Cease and Desist and Denying Use of Exemptions Entered by Default |
| Special Mortgage Solutions of Oregon Inc. |
O-02-0048 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Stanley R. Stearns and San Clemente Securities |
A-00-0028 |
Final Order to Cease and Desist and Assessing Civil Penalties Entered by Default as to Respondent San Clemente Securities Only |
| Stanley R. Stearns and San Clemente Securities |
A-00-0028 |
Order to Cease and Desist and Assessing Civil Penalties and Stipulations and Consent to Entry of Order by Respondent Stanley R. Stearns |
| Stephen Harold Smither, aka Steven H. Smither, GGN, GG Network, GGN Gemologocal Services, GGN Brokers, and GGN Ideal Diamond Brokers |
A-01-0011 |
Order to Cease and Desist and Assessing Civil Penalties and Stipulations and Consent to Entry of Order by Respondents |
| Stephen W. Finley |
S-12-0031-1 |
Order to Cease and Desist, Order Assessing Civil Penalties, and Consent to Entry of Order |
| Steven G. Kendall; Continental Acceptance Corporation |
O-93-0017 |
Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties, and Consent to Entry of Order |
| Steven G. Kendall; Continental Acceptance Corporation |
O-93-0017 |
Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties, and Consetn of continental Acceptance Corporation to Entry of Order |
| Stifel, Nicolaus & Company Incorporated CRD #793 |
S-10-0003 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Stohr Capital Group Inc. dba Source Financial |
O-02-0032 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Stratton Oakmont, Inc. |
O-95-0037 |
Order Revoking License and Consnet to Entry of Order |
| Success Concept Enterprises, Inc dba Success POS; Ameripos dba Vision One dba WBCI; David Tarr; David Ross; Brandon Clarey; and Frank Mineo |
A-03-0013 |
Order to Cease and Desist, Denying Exemptions, and Assessing/Suspending Civil Penalties as to Success Concept Enterprises, Inc dba Success POS and David Tarr |
| Sunshine Elise Merie Simmons |
S-07-0009-2 |
Order to Cease and Desist, Order Barring From Industry, Order Denying Exemptions, Order Imposing Civil Penalties, and Consent to Entry of Order |
| Susumu Alan Sasaki and MCCA Oregon Corporation |
S-07-0056 |
Order to Cease and Desist, Order Denying Exemptions and Consent to Entry of Order |
| Taramar Venture Capital, LLC; KNC Software, LLC dba Kidsnet Connect; Marvin Butler, Peter M. Fagnant, and Dawn Lillie aka Dawn Lillie Flores |
A-02-0022 |
Order to Cease and Desist Order Assessing Civil Penalty Order Denying Exemptions and Consent to Entry of Order as to Peter M. Fagnant |
| Taramar Venture Capital, LLC; KNC Software, LLC dba Kidsnet Connect; Marvin Butler, Peter M. Fagnant, and Dawn Lillie aka Dawn Lillie Flores |
A-02-0022 |
Final Order by Default as to Taramar Venture Capital, LLC; KNC Software, LLC dba Kidsnet Connect; Marvin Butler; and Dawn Lillie aka Dawn Lillie Flores |
| TD Ameritrade, Inc. |
S-09-0051 |
Consent Order |
| Terra Firma Investments, Inc. and Steven W. Monroe |
X-12-0088 |
Final Order to Cease and Desist, Final Order Denying the Use of Exemptions to the Securities REgistration REquirements, and Final Order Assessing Civil Penalties Entered by Default |
| The Cody Group, Inc., and Stuart E. Cody |
O-96-0008 |
Order to Cease and Desist, Denial of Exemptions, Assessment of Civil Penalties, and Consent to Entry of Order |
| The Griswold Company, Inc., |
S-12-0100 |
Order to Cease and Desist, Order Assessing Civil Penalties, and Consent to Entry of Order |
| The January 2007 Rescission Offering of Morgan Stanley DW Inc. and/or Morgan Stanley & Co. Incorporated |
2007-WVR-01 |
Order Granting Waiver Pursuant to ORS 59.045 (1) (b) |
| The Loan Co. Inc. dba TLC Mortgage |
O-02-0018 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| The Marketplace Mortgage Company |
O-00-0020 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| The Prudential Investment Portfolios, Inc., a Maryland corporation |
S-07-0034 |
Order to Cease and Desist, Order Assessing Securities Notice Filing Fees and Consent to Entry of Order |
| The Sheffield Group and M.D. Ruth |
A-00-0008 |
Final Order to Cease and Desist and Assessing Civil Penalties |
| Thomas Dale Kienlen and Thomas D. Kienlen Corp., dba Market Momentum, S&P Option Trader, and S&P Option Trader Daily Fax Service |
A-00-0011 |
Order to Cease and Desist, Assessing Civil Penalty, and Denying Exemptions and Consent to Entry of Order |
| Thomas F Biesiadecki |
S-09-0016-2 |
Order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalties, and Consent to Entry of Order |
| Thomas Weisel Partners, LLC |
S-05-00004 |
Administrative Consent Order |
| Thurston, Springer, Miller, Herd, & Titak, Inc. |
S-08-0019 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Timothy Colin McGuire; and American Assets Management Corporation, Inc. |
A-02-0029 |
Order to Cease and Desist Order Assessing Civil Penalty and Consent to Entry of Order |
| Tracker International, Inc., Mark Labertew, David Cheng, Southport S.D.G., Inc., Les Fleishman, Ken Gross, Anthony Hall, Craig Williams |
O-99-0023 |
Order to Cease and Desist, Assessing Civil Penalty Denying Exemptions and Consent to Entry of Order as to Respondent Tracker International |
| Tracker International, Inc., Mark Labertew, David Cheng, Southport S.D.G., Inc., Les Fleishman, Ken Gross, Anthony Hall, Craig Williams |
O-99-0023 |
Final Order to Cease and Desist, Assessment of Civil Penalties and Denial of Exemptions, Entered by Default as to Respondent Anthony Hall |
| Tracker International, Inc., Mark Labertew, David Cheng, Southport S.D.G., Inc., Les Fleishman, Ken Gross, Anthony Hall, Craig Williams |
O-99-0023 |
Order to Cease and Desist, Assessing Civil Penalty Denying Exemptions and Consent to Entry ff Order as to Respondents Southport S.D.G, Inc., Les Fleishman, Ken Gross, and Craig Williams |
| Tracker International, Inc., Mark Labertew, David Cheng, Southport S.D.G., Inc., Les Fleishman, Ken Gross, Anthony Hall, Craig Williams |
O-99-0023 |
Dissmissing Case against respondents Mark Labertew and David Cheng |
| Trend Management Group, Inc, an Arizona corporation, Trend Capital LLC, an Arizona limited liability corporation, The Trend Group, Inc., an Arizona corporation, and Ryan James Herndon |
S-08-0009-2 |
Final Order to Cease and Desist and Denial of Exemptions Entered by Default |
| Trendtrac Incorporated |
O-94-0015 |
Cease and Desist Order, Order Assessing Civil Penalty, and Consent to Entry of Order |
| True North Productions, LLC and Cecil F. |
S-12-0076 |
Final Order to Cease and Desist, Final Order Denying Exemptions, and Final Order Assessing Civil Penalties Entered by Default |
| True Wholesale Houses, LLC and Portland Funding, LLC |
S-12-0080 |
Order to Cease and Desist and and Assessing Civil Penalties and Consent to Entry of Order |
| U.S. Bancorp Piper Jaffray Inc. |
S-03-0033 |
Administrative Order, Order Imposing Monetary Obligations, and Consent to Entry of Order |
| U.S. Securities, Intl. Corp. and William Coppa |
A-02-0040 |
Stipulated Order to Cease and Desist and Assessing Civil Penalties Stipulation and Consent to Entry of Order |
| UBS Securities LLC (CRD #7654) and UBS Financial Services Inc. (CRD#8174) |
S-10-0008 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Ultimate Ventures, Inc., a Canadian corporation, Cameron Kuipers, an individual, Assurance Financial, Inc., an Idaho corporation, and K. Barth Williams, an individual |
S-03-0048 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order as to Assurance Financial, Inc., and K. Barth Williams |
| Ultimate Ventures, Inc., Cameron Kuipers, Assurance Financial, Inc., and K. Barth Williams |
S-03-0048 |
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Default Against Respondents Ultimate Ventures, Inc., and Cameron Kuipers Only |
| Umraan Syed Hasan, aka Suvraan Hasan, aka Ron Hasan, and individual, dba Strategic Funds Group, LP, dba Strategic Hedge Fund, LP, and dba Strategic Mini Hedge Fund, LP |
S-05-0095 |
Final Order to Cease and Desist and Assessing Civil Penalties Entered by Default |
| Unlimited Cash, Inc., Wayne Flesher, Douglas Network Enterprises, Inc., Nancy Khalial, Ruttenberg and Associates MVP, Inc., Mark Ruttenberg, Kenneth Begarowski, Randall Covelli, and Bill Boedeker |
S-05-0040 |
Order ot Cease and desist, Denying Exemtions, and Assessing Civil Penalties, Entered by Consent as to Unlimited Cash, Inc., Wayne Flesher, Douglas Netowrk Enterprises, Inc., and Nancy Khalial Only |
| Unlimited Cash, Inc., Wayne Flesher, Douglas Network Enterprises, Inc., Nancy Khalial, Ruttenberg and Associates MVP, Inc., Mark Ruttenberg, Kenneth Gebarowski, Randall Covelli, and Bill Boedeker |
S-05-0040 |
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Default Against Ruttenberg and Associates MVP, Inc., Mark Ruttenberg, Kenneth Gebarowski, and Randall Covelli Only |
| Unlimited Cash, Inc., Wayne Flesher, Douglas Network Enterprises, INc., Nancy Khalial, Ruttenberg and Associates MVP, Inc., Mark Ruttenberg, Kenneth Gebarowski, Randall Covelli, and Bill Boedeker |
S-05-0040 |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Bill Boedeker Only |
| UVEST Financial Services Group, Inc. |
S-12-0054 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Van Deventer & Hoch |
O-94-0014 |
Cease and Desist Order, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Van Eck Funds |
O-93-0006 |
Order Assessing Civil Penalties and Consent to Entry of Order |
| W.E. Nightingale Brokerage Services, Inc. |
S-12-0095 |
Order to Cease and Desist, Order Assessing Civil Penalties, and Consent to Entry of Order |
| Wachovia Securities LLC and Wachovia Capital Markets LLC |
S-09-0022 |
Order to Cease adn Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Waddell & Reed, Inc., and W & R Insurance Agency, Inc. |
S-05-0059 |
Stipulation and Final Order |
| Walter Curtis Maddux, WCM Financial Services, and Equity Options, Inc. |
X-11-0112-2 |
Order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Wayne D. Butler |
O-96-0044 |
Order to Cease and Desist, Denial of Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Wayne Von Borstel and Oregon Trail Financial Services, Inc. |
S-12-0007 |
Order to Cease and Dessit, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Webster E. Barth III |
S-12-0031-2 |
Final Order to Cease and Desist, Final Order Denying Use of Exemptions to the Securities Registration Requirements, and Final Order Assessing Civil Penalty Entered by Default |
| Weiss Money Management, Inc. |
O-96-0024 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Wells Fargo Investments, LLC, CRD #10582) |
S-09-0023 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Westamerica Investment Company dba Westamerica Investment Group |
O-96-0026 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Westminster Holdings, Ltd; Compclubcasino.com, Inc.; Ace Linden Moses (aka A. Lyndon Moses); Robert Israel Moses; Robert Hammerstein (aka Robert Haammerstein) |
A-02-0024 |
Final Order to Cease and Desist Denial of Exemptions and Assessment of Civil Penalties Entered by Default Against All Respondents |
| Westminster Securities Corporation |
A-03-0021 |
Order Denying Request to Set Aside Default Order and for Post Order Hearing |
| Westminster Securities Corporation |
A-03-0021 |
Final Order Revoking License Entered by Default |
| Window World, Inc. |
F-12-0033 |
Order to Cease and Desist and Assessing Civil Penalties and Consent to Entry of Order |
| Windsor Capital Mortgage Corporation |
O-02-0046 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Yongsu Meade |
C091716CR |
Judgment of Conviction and Sentence |
| Yongsu Meade, aka Young Sue Meade, aka Sue Meade |
S-09-0050 |
Order to Cease and Desist, Order Denying Exemptions from Securities Registration, and Consent to Entry of Order |
| Zurcrowner, P.C., dba Zurcrowner, Scott A. Whitney, and Randy A. Gray |
S-09-0076 |
Order to Cease and Desist, Order Assessing Civil Penalties, Order Denying Exemptions, Order Withdrawing Use of Exclusions, Bar from Financial Services Business activities, and Consent to Entry of Order as to Zurcrowner, P.C. dbs Zurcrowner and Scott A. Whitney Only |
