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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

Categories: Enforcement Actions

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


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

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


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

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


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

Categories: Enforcement Actions

BlockFi Lending LLC - Consent Order

Categories: Enforcement Actions

Fiduciary Investment Funds, Fiduciary Investment Services, LLC & Mark G. Wagner - Consent Order

Categories: Enforcement Actions

Fundrise Entities - Consent Order & Consent to Entry of Order

Categories: Enforcement Actions

LendingClub Corporation - Consent Order & Consent to Entry of Order

Categories: Enforcement Actions

Solium Financial Services LLC - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

LPL Financial LLC - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Main Street Hospitality, LLC, and Robert Pagan - Consent to Entry of Order, Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Questar Capital Corporation - Settlement Agreement

Categories: Enforcement Actions

Susan L. Welo, Welo Wealth Management - Cease and Desist Order, Notice of Right to Request Hearing

Categories: Enforcement Actions

SagePoint Financial, Inc. - Consent Agreement

Categories: Enforcement Actions

First Financial Equity Corporation - Agreement

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Social Voucher.com, Inc., Gerald C. Parker - Consent to Entry of Order, Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Edwin Brent Lundgren - Order Refusing Registration as an Agent

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

UVEST Financial Services Group, Inc. - Consent Order

Categories: Enforcement Actions

ProEquities, Inc. - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

First Call Ventures, LLC d/b/a First Call Movers, Thomas M. White - Order to Vacate, Cease and Desist Order

Categories: Enforcement Actions

Caldwell International Securities Corporation - Consent Order, Consent to Entry of Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Scott L. Biggs - Cease and Desist Order

Categories: Enforcement Actions

Hartford Equity Sales Company Inc., Craig H. Miller - Consent Order, Consent to Entry of Order

Categories: Enforcement Actions

Alan Bernhagen - Consent Order, Consent to Entry of Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Associated Financial Services, Inc. - Order for Summary Suspension of the Dealer Registration

Categories: Enforcement Actions

R. Seelaus & Co. Inc. - Consent Order

Categories: Enforcement Actions

Ross Owen Haugen - Plea Agreement

Categories: Enforcement Actions

Raymond James & Associates, Inc., Raymond James Financial Services, Inc. - Administrative Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Michael Barukhin - Consent Agreement

Categories: Enforcement Actions

Jason P. Fettig - Order Refusing Registration as an Agent

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Bradley James Stroup - Cease and Desist Order

Categories: Enforcement Actions

David W. Torson - Cease and Desist Order

Categories: Enforcement Actions

RAHFCO Management Group, LLC - Consent Order

Categories: Enforcement Actions

Goldman, Sachs & Co. - Administrative Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Wells Fargo Investments, LLC - Administrative Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Que-Corp - Cease and Desist Order

Categories: Enforcement Actions

James R. Bullis, Montgomery, Goff & Bullis, P.C. - Consent to Entry of Order, Consent Order

Categories: Enforcement Actions

JP Morgan Chase & Co. - Administrative Consent Order

Categories: Enforcement Actions

RBC Capital Markets Corporation - Administrative Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Prosper Marketplace, Inc. - Administrative Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Life Partners Inc. - Consent Order

Categories: Enforcement Actions

Citigroup Global Markets Inc. - Administrative Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Jammie N. Avila - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Morgan Stanley & Co. Incorporated - Findings of Fact

Categories: Enforcement Actions

Rothschild Investment Corporation, Paul E. Geringer, Christian P. Geringer - Consent Order

Categories: Enforcement Actions

True Investments Inc., Ty Olstad - Notice of Right to Request Hearing, Order for Civil Penalty

Categories: Enforcement Actions

Dorothy K. Schlabsz -

Categories: Enforcement Actions

Andrew Schwandt - Consent Order

Categories: Enforcement Actions

Thomas W. Woodard dba Woodward Financial -

Categories: Enforcement Actions

Ashmore Family Foundation, a Minnesota Charitable Trust, Flint Ashmore, Monte R. Ashmore - Consent Order

Categories: Enforcement Actions

LAS International, Ltd., Neil Whittey, Syver Vinje - Stipulation for Amendment of Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

True Investments Inc., Ty Olstad, J & C Entertainment, James Carson - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

LAS International, Ltd., Neil Whittey, Syver Vinje, (SEE JUNE 19TH CONSENT ORDER) -

Categories: Enforcement Actions

Samuel G. Loumer, Michael Kramer - Consent Agreement

Categories: Enforcement Actions

CD Acquisition Group, LLC, David Mees - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Piper Jaffray & Co. - Consent Order

Categories: Enforcement Actions

Wachovia Capital Markets, LLC - Consent Order

Categories: Enforcement Actions

Banker's Life and Casualty Company - Consent Order

Categories: Enforcement Actions

Philip Moshier - Consent Agreement

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Ready Cash, Inc., Donald Gehrig - Consent Agreement

Categories: Enforcement Actions

James Wahl - Consent Order

Categories: Enforcement Actions

Lester Westgard - Consent Agreement

Categories: Enforcement Actions

ACAP Financial, Inc., Donald Fisher - Consent Agreement

Categories: Enforcement Actions

Lincoln Financial Advisors Corp. - Consent Agreement

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Michael L. Puklich - Consent Order

Categories: Enforcement Actions

Capital Growth Financial, LLC, Ross O. Haugen -

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Piper Jaffray & Co., Brady Vollmers - Consent Order

Categories: Enforcement Actions

ProTrust Financial Group, Inc., ProTrust Management Group, Inc., Gordon B. Grigg - Cease and Desist Order

Categories: Enforcement Actions

Anton Kunz, The ABC System - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

I2U, Inc., Harold Richard Mladek - Default Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Dakota Payphone, LLC - Order to Revoke the Securities Registrations

Categories: Enforcement Actions

Thomas Weisel Partners, LLC - Administrative Consent Order

Categories: Enforcement Actions

Dakota Payphone, LLC -

Categories: Enforcement Actions

Kevin David Wells - Order to Revoke the Agent Registration

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Kevin David Wells -

Categories: Enforcement Actions

Dale F. Roehrich - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Deutsche Bank Securities, Inc. - Administrative Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Waddell & Reed, Inc. - Consent Order

Categories: Enforcement Actions

Pruco Securities, LLC - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Dale F. Roehrich - Notice of Civil Penalty

Categories: Enforcement Actions

Schwartz Investment Management Company, James Schwartz - Consent Order

Categories: Enforcement Actions

Assemblies of God Loan Fund - Consent Agreement

Categories: Enforcement Actions

Piper Jaffray & Co., Terry Millner - Consent Order

Categories: Enforcement Actions

Capital Growth Financial, LLC - Consent Order

Categories: Enforcement Actions

Integrity Mutual Funds, Inc. f/k/a ND Holdings, Inc., ND Capital, Inc., Robert E. Walstad - Undertaking

Categories: Enforcement Actions

Third Ridge Capital, LP, Third Ridge Capital Partners, LLC, Edward Neugeboren, Keith Barksdale - Agreement

Categories: Enforcement Actions

David A. Skjerven - Consent Order

Categories: Enforcement Actions

Capital Growth Financial, LLC - Notice of Civil Penalty

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Bruce A. Hager -

Categories: Enforcement Actions

Investment Advisory Services, Thomas H. Marsden - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Huntleigh Securities Corporation - Consent Agreement

Categories: Enforcement Actions

Drew A. Likness - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Piper Jaffray & Co., Jason Millner - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Charles Archambault -

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

InterSecurities, Inc., Richard Colling - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Jeffrey Toft - Undertaking and Agreement

Categories: Enforcement Actions

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

Categories: Enforcement Actions

The (Wilson) Williams Financial Group, Inc., Sidney Mondschein - Undertaking and Agreement

Categories: Enforcement Actions

Principal Life Insurance Company - Consent Agreement

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Integrity Mutual Funds, Inc., ND Capital, Inc., Robert E. Walstad - Notice of Civil Penalty

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Larry Borud - Findings of Fact, Conclusions of Law

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Mark Dostert - Findings of Fact, Conclusions of Law

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Leon Borud - Findings of Fact, Conclusions of Law

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Ron Stafford - Findings of Fact, Conclusions of Law

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Tony Kautt - Findings of Fact, Conclusions of Law

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Todd Haskins - Findings of Fact, Conclusions of Law

Categories: Enforcement Actions

West East Developments, Inc., Webster Crown - Cease and Desist Order, Notice of Civil Penalty

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

T.L. Secrest - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Thomas V. Kozlowski - Consent Order

Categories: Enforcement Actions

ASKAR, Corp. - Consent Order

Categories: Enforcement Actions

Gregory A. Grossman - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

CGF Securities, LLC, Ross Owen Haugen - Consent Order

Categories: Enforcement Actions

William L. Toft - Consent Order

Categories: Enforcement Actions

Bear, Stearns & Co. Inc. - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation - Administrative Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Morgan Stanley & Co. Incorporated - Administrative Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Goldman, Sachs & Co. - Consent Order

Categories: Enforcement Actions

Debra Ann Lund - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Lehman Brothers Inc. - Administrative Order

Categories: Enforcement Actions

Kent Johanneson - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

CGF Securities, LLC - Order to Vacate

Categories: Enforcement Actions

David C. Gess -

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Jess Welstad -

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Preferred Trust and Management, LTD., Michael Hupka -

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Preferred Trust and Management, LTD., Keith Pierson -

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Leafhead Consultants, Inc., Media Info Fund, LTD, Arthur Martiney - Cease and Desist Order

Categories: Enforcement Actions

American Dream Systems, Inc., Coupon Connection of America, Inc. - Desist and Refrain Order

Categories: Enforcement Actions

Robert Woodward - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

US Petroleum, LLC - Consent Agreement

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Golden Eagle Oil, James McDaniel - Cease and Desist Order

Categories: Enforcement Actions

Ross Owen Haugen - Consent Order

Categories: Enforcement Actions

MDVIP, Inc. - Settlement Agreement

Categories: Enforcement Actions

Capital Growth Real Estate Partners of Miami, LLC, CGF Securities, LLC, Ross Owen Haugen - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

American Capital Corporation - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Ross Owen Haugen - Registration Agreement

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Michael J. Brooks -

Categories: Enforcement Actions

Carret Securities, LLC - Consent Order

Categories: Enforcement Actions

Carr Futures - Registration Agreement

Categories: Enforcement Actions

American Investment Services, Inc. -

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

American Investment Services, Inc. - Order for Rescission

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Engine Electronics, Inc. - Consent Order

Categories: Enforcement Actions

First Montauk Securities Corp. - Consent Order

Categories: Enforcement Actions

Shari Nelson -

Categories: Enforcement Actions

United Methodist Development Fund - Consent Order

Categories: Enforcement Actions

Jeff Nelson - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Gurpal S. Shokar -

Categories: Enforcement Actions

Jasmer Shokar a/k/a Jimmy Shokar -

Categories: Enforcement Actions

GunnAllen Financial, Inc. - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Gene Armstrong, Pat Armstrong - Order to Vacate Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Marion Bass Securities Corporation - Order to Revoke the Dealer Registration

Categories: Enforcement Actions

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

Categories: Enforcement Actions

R. Lang Construction, Inc. - Consent Order

Categories: Enforcement Actions

BrokerageAmerica, Inc. - Consent Order

Categories: Enforcement Actions

K-Ram Industries, Robert Pagan - Order

Categories: Enforcement Actions

Marion Bass Securities Corporation - Order for Summary Suspension of the Dealer Registration

Categories: Enforcement Actions

Dig-It Underground, Inc. - Consent Order

Categories: Enforcement Actions

ADM Enterprises, Inc. - Consent Order

Categories: Enforcement Actions

Dakota Imaging, Inc. - Consent Order

Categories: Enforcement Actions

Viper Acquisition, LLC - Consent Order

Categories: Enforcement Actions

Riverside RV Rentals, Inc. - Consent Order

Categories: Enforcement Actions

Effective Sport Nutrition Corporation - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

OptionsXpress - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

BrokerageAmerica, Inc. - Cease and Desist Order

Categories: Enforcement Actions

Provision, Inc., Provision, LLC, Randy Templeton, David Betting, Darla Betting - Cease and Desist Order

Categories: Enforcement Actions

Accord Insurance Co, Ltd., Carr, Graham, Wingham, Leslie, Wharram, Dominic - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Sparkman, Ronald - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Trinity Financial Group, LLC - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Accord Insurance Co, Ltd., Graham Carr, Leslie Wingham, Dominic Wharram - Cease and Desist Order

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Gene Armstrong, Pat Armstrong - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Kris Thorfinnson, Tana Thorfinnson - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Michael Hupka, Marlene Hupka - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Osland, Michael J. - Consent Order

Categories: Enforcement Actions

Chase Investments, Ltd., Chase Investments of North America, Al Wilson - Cease and Desist Order

Categories: Enforcement Actions

Archambault, Charles - Consent Order

Categories: Enforcement Actions

Hausauer, Dirk P. - Consent Order

Categories: Enforcement Actions

Jorve, Wayne - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Schulz, Todd James - Agent Suspension - Proposed Revocation

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

New Life Technologies, Inc. - Civil Penalty

Categories: Enforcement Actions

Mike Bierman - Civil Penalty

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Todd Rooker - Civil Penalty

Categories: Enforcement Actions

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

Categories: Enforcement Actions

New England International Surety - Civil Penalty

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Dirk P. Hausauer - Civil Penalty

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Craig Brown - Consent Order

Categories: Enforcement Actions

Ragen MacKenzie Investment Services, Inc., Richard Lawrence, Philip Wimer - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Gerard Cerullo - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

The Bobwhite Company, Bob White - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Craig Brown - Civil Penalty

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Linsco Private Ledger Corp. - Consent Agreement

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Wayne Jorve - Cease and Desist Order

Categories: Enforcement Actions

William Ebele - Civil Penalty

Categories: Enforcement Actions

Charles Schwab & Co., Inc. - Consent Agreement

Categories: Enforcement Actions

Copeland Equities, Inc. - Consent Agreement

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Sunpoint Securities, Inc. -

Categories: Enforcement Actions

Kenneth Lynn Copen - Consent Order

Categories: Enforcement Actions

Debt Management Club - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Edward Oliver Samuelson -

Categories: Enforcement Actions

Fordham Financial Management, Inc. - Denial of Application

Categories: Enforcement Actions

Attain Direct, Inc. f/k/a All-Tech Investment Group, Inc. - Proposed Order to Refuse Dealer Registration

Categories: Enforcement Actions

Leuthold Funds, Inc. - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Integrowth Financial Group - Civil Penalty

Categories: Enforcement Actions

Bisys Brokerage Services, Inc. - Consent Order

Categories: Enforcement Actions

Steve Hiltbrand - Civil Penalty

Categories: Enforcement Actions

Alliance Trust, Clifton Wilkinson - Civil Penalty

Categories: Enforcement Actions

Kenneth Lynn Copen - Civil Penalty

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Edward Weeks - Registration Agreement

Categories: Enforcement Actions

Popular Link, Jeff Cheng - Cease and Desist Order

Categories: Enforcement Actions

James Newton Darwin, II - Consent Order

Categories: Enforcement Actions

William Santoro - Civil Penalty

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Burt Bjur, New World International, a citizens group, Charles E. Thompson - Default Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Santoro's Gourmet Foods, Inc. - Civil Penalty

Categories: Enforcement Actions

Verlin Swartzendurber - Notice of Default, Default Order

Categories: Enforcement Actions

Alliance Trust, Clifton Wilkinson - Cease and Desist Order

Categories: Enforcement Actions

David J. Naughton - Civil Penalty

Categories: Enforcement Actions

Ramon C. Papa, III - Civil Penalty

Categories: Enforcement Actions

Jonathan C. Papa - Civil Penalty

Categories: Enforcement Actions

Allen Halstead - Civil Penalty

Categories: Enforcement Actions

Kourosh Saroole - Civil Penalty

Categories: Enforcement Actions

David M. Beneake - Civil Penalty

Categories: Enforcement Actions

The Ponzu Companies, Inc. - Civil Penalty

Categories: Enforcement Actions

Papa Holdings, Inc. - Civil Penalty

Categories: Enforcement Actions

Thomas L. Anderson - Civil Penalty

Categories: Enforcement Actions

AMS Financial Corporation - Civil Penalty

Categories: Enforcement Actions

Kerlin Securities, Inc. - Consent Agreement

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Amerivet Securities, Inc. - Consent Agreement

Categories: Enforcement Actions

AMS Financial Corp., Allen Halstead - Subpoena Duces Tecum

Categories: Enforcement Actions

AMS Financial Corporation, Allen Halstead - Cease and Desist Order

Categories: Enforcement Actions

Equity Securities Investments, Inc. - Consent Order

Categories: Enforcement Actions

Denis M. Benson - Civil Penalty

Categories: Enforcement Actions

Internet Casino Sports Gaming - Civil Penalty

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Bruce M. Follick - Civil Penalty

Categories: Enforcement Actions

First Fidelity Financial Corporation - Civil Penalty

Categories: Enforcement Actions

California Laser Company - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

First Financial Equity Corporation - Registration Agreement

Categories: Enforcement Actions

Low Priced Stock Wealth - Notice of Civil Penalty

Categories: Enforcement Actions

David Johnson - Notice of Civil Penalty

Categories: Enforcement Actions

Low Priced Stock Wealth - Civil Penalty

Categories: Enforcement Actions

David Johnson - Civil Penalty

Categories: Enforcement Actions

Mike T. McEnroe - Civil Penalty

Categories: Enforcement Actions

Kaizen International Consulting Corporation - Civil Penalty

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Amerivet Securities, Inc. - Civil Penalty

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Lon Finkelstein - Civil Penalty

Categories: Enforcement Actions

Sharon Malkin - Notice of Civil Penalty

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Magnum Petroleum, Inc. - Notice of Civil Penalty

Categories: Enforcement Actions

Bert Bjur - Cease and Desist Order

Categories: Enforcement Actions

Jerry Nichter - Civil Penalty

Categories: Enforcement Actions

Public Communication Services, Inc. - Civil Penalty

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Buckhorn Financial Services, Inc - Notice of Civil Penalty

Categories: Enforcement Actions

Joseph K. Hilyard - Notice of Civil Penalty

Categories: Enforcement Actions

Michael Lee Mathis - Notice of Civil Penalty

Categories: Enforcement Actions

Safe Keeping, Inc. - Notice of Civil Penalty

Categories: Enforcement Actions

Steven L. Shook - Civil Penalty

Categories: Enforcement Actions

Creative Capital Management Corporation - Consent Order

Categories: Enforcement Actions

State Farm VP Management Corp. - Consent Order

Categories: Enforcement Actions

Commonwealth Capital Group, Inc., Octet Communications Corp., Albert Faivush - Consent Order

Categories: Enforcement Actions

William R. Richard - Consent Order

Categories: Enforcement Actions

Synovus Securities, Inc. - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Lenny Bierstein - Notice of Civil Penalty

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Foreign Currency International - Cease and Desist Order

Categories: Enforcement Actions

Dirk P. Hausauer -

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Tradestar Investments, Inc. - Consent Order

Categories: Enforcement Actions

Global Prosperity Group, Global Leadership Council, Paul Whealy - Cease and Desist Order

Categories: Enforcement Actions

The Gold Lead Pool , A-Z Systems, Alexei Zoubov, Julie Frahm, Richard Frahm - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Magnum Petroleum, Jerry Nichter - Cease and Desist Order

Categories: Enforcement Actions

Tradeway Securities Group, Inc. - Consent Order

Categories: Enforcement Actions

Temper of the Times Communications, Inc. - Consent Order

Categories: Enforcement Actions

Harvey Senn, Lutheran Brotherhood Securities Corporation -

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Centex Securities, Inc. f/k/a La Jolla Securities Corporation, Bruce A. Biddick - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Michael C. Parke, Michael C. Parke Management Services, Inc. - Findings of Fact, Conclusions of Law

Categories: Enforcement Actions

Richard Tomitz - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Centex Securities, Inc. f/k/a La Jolla Securities Corporation, Bruce A. Biddick - Order

Categories: Enforcement Actions

Daniel Wood -

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Prosperity Unlimited Trust, Annette Cain - Cease and Desist Order

Categories: Enforcement Actions

Raoul Brandt - Consent Order

Categories: Enforcement Actions

La Jolla Securities Corporation, Daniel Wood - Consent Order

Categories: Enforcement Actions

Financial Advantage Brokerage Services, Inc., AISCO Holdings, Ltd. - Revocation of Exemption

Categories: Enforcement Actions

USA Financial News, James Bartel - Consent Order

Categories: Enforcement Actions

David Stavig -

Categories: Enforcement Actions

Furniture Medic Limited Partnership, Kevin Schmitcke -

Categories: Enforcement Actions

Prince Dr. Augustine Ayuba - Cease and Desist Order

Categories: Enforcement Actions

Information Processing Office - Order to Amend Cease and Desist

Categories: Enforcement Actions

Kidztime TV, Dennis Johnson, Capital Funding and Financial Group, Inc. - Cease and Desist Order

Categories: Enforcement Actions

Bob Ivensen, Sunward Club - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Vern Van Ornum - Cease and Desist Order

Categories: Enforcement Actions

Nigerian National Petroleum Corporation, Central Bank of Nigeria, Alhaji D. Bayero - Cease and Desist Order

Categories: Enforcement Actions

Information Processing Office - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

A.G. Edwards & Sons, Inc., Cameron Erickson, Unitech Industries, Inc. - Order for Hearing

Categories: Enforcement Actions

Gruntal & Co., Inc. - Consent Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

U. S. Wireless, Mark Silberman, Harry Kaiser, Sheldon Ziskind - Order to Cancel Hearing

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Merrill Lynch, John D. McCroskey - Order for Hearing

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Engineer Sunday Bari Saro Wiwa - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Eleventh Hour, Inc., American Consolidated Growth Corporation - Cease and Desist Order

Categories: Enforcement Actions

Norfolk Securities Corp. - Proposed Order to Refuse Agent Registration

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

The Principality of Hutt River Province - Cease and Desist Order

Categories: Enforcement Actions

M.D. Rothchilds - Cease and Desist Order

Categories: Enforcement Actions

Group Dynamics Downline - Cease and Desist Order

Categories: Enforcement Actions

Gold Unlimited, Inc., David Crowe, an individual, Martha Crowe, an individual - Cease and Desist Order

Categories: Enforcement Actions

Alhaji Jubril Umar - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Dayle Maloney - Order for Hearing

Categories: Enforcement Actions

Toluca Pacific Securities Corp. - Order for Hearing

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Becki Anderson Warren, James W. Warren, Lawrence W. Warren - Notice of Right to Request Hearing

Categories: Enforcement Actions

First National Services - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Sanford D. Greenberg -

Categories: Enforcement Actions

Reading Wireless Cable - Cease and Desist Order

Categories: Enforcement Actions

Telecom/Mobile Wireless Cable - Cease and Desist Order

Categories: Enforcement Actions

TransAmerica Wireless Systems, Inc., TransAmerica Wireless Associates, Rod Weaver - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Kingswood Associates, Inc., Mortek Corporation, Robert Button, Berry Mitchell - Cease and Desist Order

Categories: Enforcement Actions

Continental Wireless Cable Television Inc. - Cease and Desist Order

Categories: Enforcement Actions

John Sebastian Ragazzo, Geneva Companies - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

United Communications Ltd., a Texas Limited Liability Company, Al J. Gauert - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Doug Nassif - Cease and Desist Order

Categories: Enforcement Actions

Doug Nassif -

Categories: Enforcement Actions

Leo Elroy Sjolseth -

Categories: Enforcement Actions

Leo Elroy Sjolseth - Cease and Desist Order

Categories: Enforcement Actions

Charles Edward Marean, Junior - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Paragon International Communications, Inc., Buzz Gossage, C. B. Miller - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Financial Services Network, Paul Navestad - Cease and Desist Order

Categories: Enforcement Actions

East-West Marketing, Inc., Vicki Capri, Arnold Winter, Thurston McKenzie - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Ratheal Companies, Rodney Ratheal, Stephen Mitchell -

Categories: Enforcement Actions

Mortgage Service Associates - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

The National CLub - Cease and Desist Order

Categories: Enforcement Actions

The Connoisseur of California - Cease and Desist Order

Categories: Enforcement Actions

OPC and Associates - Cease and Desist Order

Categories: Enforcement Actions

FAX-9, Rene Boutin - Cease and Desist Order

Categories: Enforcement Actions

Mark Steven Eiken -

Categories: Enforcement Actions

MCM Marketing, Inc., McElton Skaggs, Connie Mac Skaggs, Wayne Stone - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

LABCO/ARBCO Electronics Inc., Robert Widner, Byrd Widner, Edward Widner, Gary Amos - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Edward Robert McGlynn -

Categories: Enforcement Actions

J. T. Moran & Co., Inc., Nicholas Mariniello, Peter Edward Bulger - Cease and Desist Order

Categories: Enforcement Actions

EFJ Funds, Emanuel Fettig - Cease and Desist Order

Categories: Enforcement Actions

Western Trading Group LTD, Sam Lessard, Richard Lindner, Mark Alexander - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Natonal Communications Network, Pepper Isenhart - Cease and Desist Order

Categories: Enforcement Actions

Television Sales Corporation, Mark Glaser, Chris Abbott, Alan D. Mason - Cease and Desist Order

Categories: Enforcement Actions

National Communications Network, Pepper Isenhart - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

News Limit
7
Medium

For Assistance Contact:

Michael F. Daley, Deputy Commissioner / Attorney , Email Mike

Phone:  (701) 328-4701, ND Toll Free (800) 297-5124