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Fiduciary Investment Funds, Fiduciary Investment Services, LLC & Mark G. Wagner - Consent Order
Categories: Enforcement Actions
Union Bank Payment Coin, a/k/a UBPC, and its Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
CacheCoine Corp., and Harlen Lee Ellis - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing
Categories: Enforcement Actions
Advertiza Holdings (Pty) Ltd, a South African registered company, and its Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
Life Cross Coin, a/k/a Lifecrosscoin GmbH, and its Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
Crystal Token and its Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
Magma Foundation, a/k/a Magma Coin, a/k/a Magma, and their Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
Pension Rewards Platform, a/k/a Pension Rewards, and their Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
BitConnect LTD and BitConnect International PLC, United Kingdom limited companies, and their Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
FBD Ventures II, LLC, and Craig F. Wollenburg - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty
Categories: Enforcement Actions
Main Street Hospitality, LLC, and Robert Pagan - Consent to Entry of Order, Consent Order
Categories: Enforcement Actions
Main Street Hospitality, LLC, and Robert Pagan - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty
Categories: Enforcement Actions
H. Michael Hardy, RSE, Inc., and Hardy Management Group, LLC - Consent Order
Categories: Enforcement Actions
Elements Franchising, LLC and Christopher J. Palumbo - Desist and Refrain Order, Notice of Right to Request Hearing, Order for Civil Penalty
Categories: Enforcement Actions
Rash Enterprises, LLC, Taylor Rash, and Tom Doll - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty
Categories: Enforcement Actions
Susan L. Welo, Welo Wealth Management - Cease and Desist Order, Notice of Right to Request Hearing
Categories: Enforcement Actions
Douglas E. Arends - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing
Categories: Enforcement Actions
Kevin D. Wanner, Precision Financial Services, Questar Capital Corporation - Order to Revoke the Agent Registration
Categories: Enforcement Actions
Kevin D. Wanner, Precision Financial Services, Questar Capital Corporation - Proposed Order to Revoke Agent Registration, Cease and Desist Order, Order for Summary Suspension of the Agent Registration, Notice of Right to Request Hearing
Categories: Enforcement Actions
Halcyon Cabot Partners, Ltd. - Order to Revoke the Dealer Registration
Categories: Enforcement Actions
Halcyon Cabot Partners - Order to Revoke the Dealer Registration, Order for Summary Suspension of the Dealer Registration, Notice of Right to Request Hearing
Categories: Enforcement Actions
Paul De Bastos, North Dakota Bakken Connection, LLC - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing
Categories: Enforcement Actions
Panda Trucking, LLC, Daniel E. Jenkins - Consent to Entry of Order, Consent Order
Categories: Enforcement Actions
North Dakota Developments, LLC, Robert Lee Gavin, Daniel John Hogan - Cease and Desist Order, Notice of Right to Request Hearing
Categories: Enforcement Actions
Panda Trucking, LLC, Daniel E. Jenkins - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty
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
Midwest Gold Company, LLC, Kirk Scott Grace - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing
Categories: Enforcement Actions
Morgan Asset Management, Inc., Morgan Keegan & Company, Inc. - Consent to Entry of Order, Administrative 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 to Summarily Postpone the Approval of Respon, Notice of Civil Penalty, Order Refusing Registration as an Agent, Order for Rescission, Notice of Right to Request Hearing
Categories: Enforcement Actions
Peachtree Partners, Ira J. Gaines - Stop Order Summarily Suspending the Offer and Sale, Notice of Right to Request Hearing
Categories: Enforcement Actions
Peachtree Partners, Ira J. Gaines - Order to Suspend Securities Registration, Notice of Right to Request Hearing
Categories: Enforcement Actions
Roman Novak, Radoslav Novak, Inter Reef Ltd., Profitable Sunrise - Cease and Desist Order, Notice of Civil Penalty, Order for Rescission, Notice of Right to Request Hearing
Categories: Enforcement Actions
Impact Energy, LLC, Eugene L. McArthur, Jr., Mike Ladue, Lynne Hanson - 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
New Hi-Tech Oil & Gas Discoveries, LLC, Dennis W. Stutes - Stop Order Summarily Suspending the Offer and Sale
Categories: Enforcement Actions
Robert H. Medhus, RTM, Ltd., Medhus Company, Associated Financial Services, Inc. - Cease and Desist Order
Categories: Enforcement Actions
First Call Ventures, LLC d/b/a First Call Movers, Thomas M. White, Please see VACATED ORDER - 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
Piper Jaffray & Co., Brady Vollmers - Consent Order, Consent to Entry of 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
Associated Financial Services, Inc. - Order for Summary Suspension of the Dealer Registration
Categories: Enforcement Actions
Raymond James & Associates, Inc., Raymond James Financial Services, Inc. - Administrative Consent 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
UBS Securities, LLC, UBS Financial Services Inc. - Administrative Consent Order
Categories: Enforcement Actions
Stifel, Nicolaus & Company, Incorporated , , - Administrative Consent Order
Categories: Enforcement Actions
James R. Bullis, Montgomery, Goff & Bullis, P.C. - Consent to Entry of Order, Consent Order
Categories: Enforcement Actions
Merrill Lynch, Pierce, Fenner & Smith Incorporated - Administrative Consent Order
Categories: Enforcement Actions
Banc of America Securities LLC, Banc of America Investment Services, Inc. - Administrative Consent Order
Categories: Enforcement Actions
Wachovia Securities, LLC, Wachovia Capital Markets, LLC - Administrative Consent Order
Categories: Enforcement Actions
Nicholas Alexander Smirnow aka Nick Smirnow, doing business under the Ontario registered Business Name P-2-P NETWORK - Cease and Desist Order
Categories: Enforcement Actions
Inland National Securities, Inc., David Theusch, Keith Theusch - Consent Order
Categories: Enforcement Actions
Larry M. Atkins, Atkins Brokerage Services, Inc., Retirement Planning Concepts, Inc., Retirement Income Planning, Inc., Retirement Navigation, Inc. - Order for Permanent Injunction
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
Larry M. Atkins, Atkins Brokerage Services, Inc., Retirement Planning Concepts, Inc., Retirement Income Planning, Inc., Retirement Navigation, Inc. - Ex Parte Order for Preliminary Injunction
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
LAS International, Ltd., Neil Whittey, Syver Vinje (also see order on 6/19/07) - Stipulation for Amendment
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
First Union Securities, Inc., later known as Wachovia Securities, Inc., now known as Wachovia Securities, LLC - Consent Order
Categories: Enforcement Actions
LAS International, Ltd., Neil Whittey, Syver Vinje, (SEE JUNE 19TH CONSENT ORDER) -
Categories: Enforcement Actions
Americans for Lawful Financial Independence & Information, MY ICIS, Inc., Wayne Hicks, Lori Hicks - Cease and Desist Order
Categories: Enforcement Actions
IRAX International, LLC, Impact Industries International, LLC, Financial Planning Services, Inc., Bruce Anderson - Consent Order
Categories: Enforcement Actions
Berthel Fisher and Company Financial Services, Inc., Timothy Hayden - Consent Order
Categories: Enforcement Actions
Investment Centers of America, Inc., Larry A. Fust - Consent Agreement
Categories: Enforcement Actions
David A. Skjerven, Skjerven Financial Services - Cease and Desist Order
Categories: Enforcement Actions
ProTrust Financial Group, Inc., ProTrust Management Group, Inc., Gordon B. Grigg - Cease and Desist Order
Categories: Enforcement Actions
Viper Acquisition, LLC, Mees Masonry Corp., Riverside RV Rentals, Inc., Dig-it Underground, Inc., R. Lang Construction, Inc., Calvin K. Mees, Wade J. Vogel - Cease and Desist Order
Categories: Enforcement Actions
James R. Bullis, Montgomery, Goff & Bullis, P.C. - Cease and Desist Order
Categories: Enforcement Actions
Harmony Consultants, Inc., Conejo Valley Consultants, Inc., Mel Rosoff a/k/a Mel Fields - Cease and Desist Order
Categories: Enforcement Actions
Kea-Watt and Associates, Ltd., Joseph Henry Kalina, Larry Gene Kalina, Terry Wanless - Cease and Desist Order
Categories: Enforcement Actions
A. G. Edwards & Sons, Inc., Daniel M. Schmidt - Notice of Civil Penalty
Categories: Enforcement Actions
Government Benefit Services, Glen W. Finley, Jr. - Cease and Desist Order
Categories: Enforcement Actions
Schwartz Investment Management Company, James Schwartz - Consent Order
Categories: Enforcement Actions
Integrity Mutual Funds, Inc. f/k/a ND Holdings, Inc., ND Capital Inc., Robert E. Walstad - Order to Vacate Notice of Civil Penalty
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
Bison Capital Management, LLC - Proposed Order to Refuse Investment Advisor Registration
Categories: Enforcement Actions
L. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
IRAX International, LLC, Financial Planning Services, Inc., Bruce Anderson, Rodney Kirschmann - Cease and Desist Order
Categories: Enforcement Actions
Impact Industries International, LLC, Financial Planning Services, Inc., Bruce Anderson, Rodney Kirschmann - Cease and Desist Order
Categories: Enforcement Actions
Investment Advisory Services, Thomas H. Marsden - Notice of Civil Penalty
Categories: Enforcement Actions
L. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker - Consent Order
Categories: Enforcement Actions
Ross Owen Haugen - Order for Summary Suspension of the Investment Advisor Registration
Categories: Enforcement Actions
Berthel, Fisher & Company Financial Services, Inc., Lawrence W. Warren - Consent Order
Categories: Enforcement Actions
Preferred Trust and Management, LTD, Thomas Deschamp - Consent Order
Categories: Enforcement Actions
The (Wilson) Williams Financial Group, Inc., Sidney Mondschein - Undertaking and Agreement
Categories: Enforcement Actions
Integrity Mutual Funds, Inc., ND Capital, Inc., Robert E. Walstad - Notice of Civil Penalty
Categories: Enforcement Actions
L. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker -
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, 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
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
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
D & M Capital, LLC, Associated Financial Services, Inc. - Consent Agreement
Categories: Enforcement Actions
American Dream Systems, Inc., Coupon Connection of America, Inc. - Consent Order
Categories: Enforcement Actions
Preferred Trust and Management, Ltd., Dennis Skarphol - 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
Microvision Systems Corporation, Interactive Acquisition Master, Inc., Camry Consulting Services, Inc., Steve Lehner, Michael Hammerschmidt -
Categories: Enforcement Actions
Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation - 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
L. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker - Cease and Desist Order
Categories: Enforcement Actions
Possible Technologies, Inc. , A/k/A The Right Reason, Treacy Duerfeld -
Categories: Enforcement Actions
Grainline.com, Inc., Scott D. Olson, Kent Sortland - Cease and Desist Order
Categories: Enforcement Actions
CGF Securities, LLC - Order for Summary Suspension of the Dealer Registration
Categories: Enforcement Actions
Alliance Care, Inc., CGF Securities, LLC, Ross Owen Huagen - Consent Order
Categories: Enforcement Actions
Preferred Trust and Management, LTD., Richard L. Solberg - Consent Agreement
Categories: Enforcement Actions
Select Electronic Devices, Inc., VOIP Communications, Inc., Kent Johanneson a/k/a W. K. Johanneson, David Ludwick - Cease and Desist Order
Categories: Enforcement Actions
Camry Investment Services, Inc., Nathanson Investment Trust Account, Colin Nathanson, James Armstrong, Sheila R. Green - Cease and Desist Order
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
Preferred Trust and Management, Ltd., Steve Tengesdal - Consent Order
Categories: Enforcement Actions
Alliance Care, Inc., CGF Securities, LLC, Ross Owen Haugen - Cease and Desist Order
Categories: Enforcement Actions
Seed International Limited, Ocean International Marketing, Sam Howard, Hakki Kupper - Cease and Desist Order
Categories: Enforcement Actions
Capital Growth Real Estate Partners of Miami, LLC, CGF Securities, LLC, Ross Owen Haugen - Consent Order
Categories: Enforcement Actions
Craig F. Wollenburg, SPF Energy, Inc. - Order to Suspend Agent Registration
Categories: Enforcement Actions
Fegen & Associates, Legend Mobile f/k/a PTN Media, Inc., Nicholas A. Fegen, Peter C. Klamka - Cease and Desist Order
Categories: Enforcement Actions
Capital Growth Real Estate Partners of Miami, LLC, 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
MDVIP, Inc., Ross O. Haugen, CGF Securities, LLC - Cease and Desist Order
Categories: Enforcement Actions
Buck TV.Com, Inc., BuckBuilders.com, Inc., BK.com, Inc., MyFreeBingo.com, Inc., Schematic Cash Transactions Network.com, Inc., American Venture Trust, Larry E. Hunter, Bry Behrmann - Cease and Desist Order
Categories: Enforcement Actions
Forex Capital Group, LLC, Alaron FX, John Normanton - Cease and Desist Order
Categories: Enforcement Actions
St. Clare Film Fund Capital Corporation, St. Paul Film Fund, Guadalupe Film Committee, Onesimus Production, Inc., Stephen A. Jones, Debbie Cartier - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust and Management, LTD, Eugene Zaderaka - Consent Order
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
Telecom Action Entertainment, William Marlin & Co., Marlin, William B., Davis, William, Anthony, Dave - Cease and Desist Order
Categories: Enforcement Actions
Highbury Capital, Inc., Inner Technologies Corp, Howard, Scott N., Hoyt, Jeffrey C., Stogner, Ron - 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., 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., Gene Armstrong, Pat Armstrong - Order to Vacate Cease and Desist 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
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
Marion Bass Securities Corporation - Order for Summary Suspension of the Dealer Registration
Categories: Enforcement Actions
Advanced Technology Feasibility Group, LLC, Bruce W. Anderson , Rodney Anderson - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Infinity Mining Venture, Inc., Maxum Investors Group, Gerald Coffman, Jasmer Shokar (Jimmy), Surjit S. Shokar (Steve), Andrew W. Lawrence - Cease and Desist Order
Categories: Enforcement Actions
Valley Honey Company, LLC, Kirschman, Rodney, Anderson, Rodney - Consent Order
Categories: Enforcement Actions
Alberta Diamondfields, Inc., Gerpal S. Shokar , Angel Hung, Once Again Resale for Men & Women, David K. Gramlich, Maxum Investors Group - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., David Martin, Kay Martin - Civil Penalty
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Velazques, Tracy - 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
Advanced Technology Feasibility Group, LLC, Bruce W. Anderson, Rodney Anderson - 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
Bison Capital, Inc., Medhus, Robert, Gugisberg, Peter, Fay, Brad, Larson, Christopher, Klubec, Christine - Agreement
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Tri-West Investment Club, Larry Eugene Slaubaugh - Cease and Desist Order
Categories: Enforcement Actions
Tri-West Investment Club, Wesley Leroy Hiller - Cease and Desist Order
Categories: Enforcement Actions
US Bancorp Piper Jaffray, Inc., Birmingham, Christopher - 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., 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., 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., 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., 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., 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
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., Gene Armstrong, Pat Armstrong - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Jackie Schatz - Cease and Desist Order
Categories: Enforcement Actions
Chase Investments, Ltd., Chase Investments of North America, Al Wilson - Cease and Desist Order
Categories: Enforcement Actions
Schulz, Arnold James a/k/a Jim Schulz - Agent Suspension - Proposed Revocation
Categories: Enforcement Actions
Star Search 2000, Inc. a/k/a Talent Search 2000, $1,000000 Talent Search, Inc., Shari Nelson - Cease and Desist Order
Categories: Enforcement Actions
Global Prosperity Group, The Global Leadership Council, The Institute of Global Prosperity, Dan Andersen, David Struckman, Zo LaMantia - Cease and Desist Order
Categories: Enforcement Actions
Frederick Wayne Keiser, Jr., Etoile Keiser, Preferred Trust & Management, Ltd., Tactical Investments, Ltd., Nassau Investors Group, Ltd., Concord Investments, Ltd., Ideal Group a/k/a 1M Group, F & E Consulting, LLC - Cease and Desist Order
Categories: Enforcement Actions
Schulz, Arnold James (Jim), Schulz, Todd James - Cease and Desist Order
Categories: Enforcement Actions
US Bancorp Piper Jaffray, Inc., Christopher Birmingham - Civil Penalty
Categories: Enforcement Actions
Grupo Inverso Rio Del Sol, Paul Enright, Kevin Mark Skow a/ka K. Mark Skow, Ronald Sparkman - Cease and Desist Order
Categories: Enforcement Actions
Advantage International Marketing a/k/a The Tax People a/k/a Renaissance Designer Gallery Products, Inc., Lee Christianson, Phyllis Christianson, Michael C. Cooper, Kori Koepke, Larry R. Martin, John MacNaught, Roger E. Smith - Cease and Desist Order
Categories: Enforcement Actions
Albemarle Investments, Limited, New Life Technologies, Inc., UPA, Inc., Mike Bierman, Todd Rooker, Patrick Alan Sanders, Stanley Schulman - Cease and Desist Order
Categories: Enforcement Actions
Ragen MacKenzie Investment Services, Inc., Richard Lawrence, Philip Wimer - Consent Order
Categories: Enforcement Actions
Private Gifting, Sharing Equally, For Kids, Inc., Randy Bertsch, Betty Holzer, Daniel Reimche, Betty Wahl, Carl Lamm, Raymond Kotchian, Robin Stene, Kristy Keller, Gered Keller - Cease and Desist Order
Categories: Enforcement Actions
Torrey Pines Securities, Inc., Harvey G. Leason A/K/A Glen Leason - Consent Order
Categories: Enforcement Actions
Elmer Reiner, Swift Advisory & Consulting, Inc., The Institute of Learning a/k/a The Institute of Learning and Biblical Studies - Cease and Desist Order
Categories: Enforcement Actions
Phoenix Telecom, LLC, Trinity Financial Group - Cease and Desist Order
Categories: Enforcement Actions
Peregrine Financials & Securities, Inc., Patrick Steven Jage - Consent Order
Categories: Enforcement Actions
Educate America Resource Network, Financial Planning Consultants, Gary E. Luckow, Scott W. Grant - Cease and Desist Order
Categories: Enforcement Actions
Craig Brown, New England International Surety, Inc., Joe Aguda, Aguda Financial Services, Inc., - Cease and Desist Order
Categories: Enforcement Actions
Baxter, Banks & Smith, Mikhail S. Shklovsky, Oleg A. Feldman, Francis McDermott, Maurizio V. Grammatica, Kevin J. Ruggiero, John Does 1-3 - Civil Penalty
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, Kirschman, Rodney, Kirschman, Judy - Cease and Desist Order
Categories: Enforcement Actions
Baxter, Banks & Smith, Mikhail S. Shklovsky, Oleg A. Feldman, Francis A. McDermott, Maurizio V. Grammatica, Kevin J. Ruggiero, John Does 1-3 - Administrative Complaint
Categories: Enforcement Actions
Attain Direct, Inc. f/k/a All-Tech Investment Group, Inc. - Proposed Order to Refuse Dealer Registration
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
Baxter, Banks & Smith, Shklovsky, Michael, Feldman, Alec - Cease and Desist Order
Categories: Enforcement Actions
Alliance Trust, Integrowth Financial Group, Clifton Wilkinson, Steve Hiltbrand - Cease and Desist Order
Categories: Enforcement Actions
Fordham Financial Management, Inc., Frank Patrick Marchione - Proposed Order to Refuse Dealer Registration
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
Agkota Holdings, Inc., International Joint Ventures Association, Preferred Home Loans, Founders Club, Inc., Verlin Swartzendruber, Terry Nitschke, Duane Moos, Norman Nitschke, William Ebele - Consent Order
Categories: Enforcement Actions
Agkota Holdings, Inc., International Joint Ventures Association, Preferred Home Loans, Founder's Club, Inc., Verlin Swartzendruber, Terry Nitschke, Duane Moos, Norman Nitschke, William Ebele - Consent Order
Categories: Enforcement Actions
The Station Corporation, Wayne Southam, Tonya Southam - Cease and Desist Order
Categories: Enforcement Actions
Santoro's Gourmet Foods, Inc., William G. Santoro - Cease and Desist Order
Categories: Enforcement Actions
First Fidelity Financial Corporation, Newport Financial Corporation, Exchange.Online, Inc., Bruce M. Follick - Cease and Desist Order
Categories: Enforcement Actions
Microvision Systems Corporation, Interactive Acquisition Master, Inc., Camry Consulting Services, Inc., Millennium Networks, Inc., Steve Lehner, Michael Hammerschmidt - Cease and Desist Order
Categories: Enforcement Actions
New World International, a citizens group, Charles E. Thompson - Cease and Desist Order
Categories: Enforcement Actions
Papa Holdings, Inc., The Ponzu Companies, Inc., Jonathan C. Papa, Ramon C. Papa III, Thomas L. Anderson, David M. Beneake, Kourosh Saroole, David J. Naughton - Consent Order
Categories: Enforcement Actions
McDowell International, Incorporated of Washington, McDowell Industries, Northern Plains Agriculture, Incorporated, Agsources, Incorporated, Matthew McDowell - Cease and Desist Order
Categories: Enforcement Actions
Commonwealth Capital Group, Inc., Octet Communications Corp., Albert Faivush - Consent Order
Categories: Enforcement Actions
Argent Securities, Inc. - Proposed Order to Refuse Dealer Registration
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
Future Tech Developments, 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
Tri State Innkeepers, 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
Capital Management International, Ltd., Ronald Ratoff - Cease and Desist Order
Categories: Enforcement Actions
Papa Holdings, Inc., The Ponzu Companies, Inc., Jonathan C. Papa, Ramon C. Papa III, Thomas L. Anderson, David M. Beneakem, Kourosh Saroole, David J. Naughton - 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
The Piddler International Downline Building Co-op, The Sharing Funds Foundation, Eugene Henley - Cease and Desist Order
Categories: Enforcement Actions
Internet Casino Sports Gaming, LLC, Denis M. Benson - Cease and Desist Order
Categories: Enforcement Actions
HJB, Inc., Dakota Utilities, Inc., Gerold Busche, Craig Dallman, Ron Thompson, Lee Schobinger, Shirley Prigge, Loraine Zuber - Cease and Desist Order
Categories: Enforcement Actions
AgKota Holdings, Inc., International Joint Ventures Association, Preferred Home Loans, Founder's Club, Inc., Verlin Swartzendruber, Terry Nitschke, Duane Moos, Norm Nitschke, William Ebele - Cease and Desist Order
Categories: Enforcement Actions
Global Prosperity Group, The Global Leadership Council, Larry Gabel, John Hoffman, B. J. Bishop - Cease and Desist 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
Global Prosperity Group, Global Leadership Council, Dave Lozier, Cindy Lozier, Elizabeth Riley, Dael A. Chapman, Shoshanna Szuch, Jeff Eichinger, Ione Weatherby - Cease and Desist Order
Categories: Enforcement Actions
For Champions Only, The Winner's Circle, Tom Kincaid - Cease and Desist Order
Categories: Enforcement Actions
The Piddler International Downline Building Co-Op, The Sharing Funds Foundation, Eugene Henley, Frank Molonar, Ronald Readling - Cease and Desist Order
Categories: Enforcement Actions
Prosper International League, Ltd., Prosper International, Ltd., Universal Marketing, Charles Miller - Cease and Desist Order
Categories: Enforcement Actions
International Benevolence Fund Trust, Frank R. Johnson - Cease and Desist Order
Categories: Enforcement Actions
ECAP Financial Investment Banking, Inner Systems Industries, Inc., Marie Fortune, William Mueger - 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
Michael C. Parke, Michael C. Parke Management Services, Inc. - Findings of Fact, Conclusions of Law
Categories: Enforcement Actions
Eleventh Hour, Inc., American Consolidated Growth Corporation, Norman L. Fisher, Gary Flater - 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
Financial Advantage Brokerage Services, Inc., Bradley Wells, Bruce Hager - Consent Order
Categories: Enforcement Actions
Financial Advantage Brokerage Services, Inc., AISCO Holdings, Ltd. - Revocation of Exemption
Categories: Enforcement Actions
Eleventh Hour, Inc., American Consolidated Growth Corporation, Norman L. Fisher, Valerie Fisher, Gary Flater, Cory Copage -
Categories: Enforcement Actions
Fact Gold Technologies Canada, Ltd., Gig International Resources, Inc., Richard Furrer, Ward Hughes, Phil Wilford, Steve Chan - Cease and Desist Order
Categories: Enforcement Actions
Kidztime TV, Dennis Johnson, Capital Funding and Financial Group, Inc. - Cease and Desist Order
Categories: Enforcement Actions
Celebrity Foods, Inc., Tri-Bradley Investments - Cease and Desist Order
Categories: Enforcement Actions
Raoul Brandt, Royal Crown Corporation, American Investment Services, Inc., Brandt Brokerage House - Cease and Desist Order
Categories: Enforcement Actions
Donald O. Atuegbu, Nigerian National Petroleum Corporation - 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
FACT Companies, Richard Furrer, Janelle Furrer, Ward Hughes, Joseph M. Malloy, James Herbst, Darreld Kartes - Cease and Desist Order
Categories: Enforcement Actions
Murchison Investment Bankers, Inc., Burll Dean Murchison, Richard Alan Murchison, James Roland Arnold, Lee Edward Burton -
Categories: Enforcement Actions
A.G. Edwards & Sons, Inc., Cameron Erickson, Unitech Industries, Inc. - Order for Hearing
Categories: Enforcement Actions
Gary Swernik, Dana Bersch a/k/a Frank Bersch, Boulder, Inc. d/b/a Yu-Chu's, Ed Foo Yung's Inc. a/k/a Ed Foo Yung's Ltd. - Notice of Right to Request Hearing
Categories: Enforcement Actions
Gary Swernik, Dana Bersch a/k/a Frank Bersch, Boulder, Inc. d/b/a Yu-Chu's, Ed Foo Yung's Inc. a/k/a Ed Foo Yung's Ltd. - Order for Hearing
Categories: Enforcement Actions
Premier Capital Investment, J.R. Munoz, Information Network Technology Partners III, Strategic Investor, Steven Harrell - 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 - Notice of Right to Request Hearing
Categories: Enforcement Actions
Z3 Capital Holding Corporation, Stella Bella Corporation USA, Jack Broberg, Mark Scialdone, Becky Pepper, Steven Zubkis, Marcus O'Neal - Cease and Desist Order
Categories: Enforcement Actions
Norfolk Securities Corp. - Proposed Order to Refuse Agent Registration
Categories: Enforcement Actions
Recomm International Display, Atel Business Credit, Finova Capital Corporation - Cease and Desist Order
Categories: Enforcement Actions
Eleventh Hour, Inc., American Consolidated Growth Corporation - Cease and Desist Order
Categories: Enforcement Actions
Eleventh Hour, Inc., American Consolidated Growth Corporation - Order for Hearing
Categories: Enforcement Actions
Murchison Investment Bankers, Inc., Burll Dean Murchison, Richard Alan Murchison, James Roland Arnold, Lee Edward Burton - Cease and Desist Order
Categories: Enforcement Actions
Charleston Interactive Television Partners, Digital Interactive Associates, Inc., Carlo Anneke, an individual, Vikki Lucas, an individual - 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
Nation Wide Wireless Corporation a/k/a NationWide Wireless Corporation, Philip Caratozzolo, Greater Columbia Basin Wireless Cable, LLC - Cease and Desist Order
Categories: Enforcement Actions
Quarter Call, Inc., Glenn Kendall, Tom C. Yost, Robert J. DiToro, Robert P. Carrigan, Dan S. Webb, J.R. Munoz, Premier Capital Investments - Cease and Desist Order
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
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
Marathon Financial Program a/k/a Marathon Marketing, Jim Phipps, Randy Fraley, Gerald G. McCarthy - 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
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
Theodore N. Youngquist d/b/a Youngquist Mine Development & Consultation, Inc., Wind River Mining Project II - 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
Banner Fund International, Swiss Trade & Commerce Trust - Cease and Desist Order
Categories: Enforcement Actions
Express Communications, Inc., Reliable Cellular Consultants - 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
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
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
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
Scorac, Incorporated DBA Verifiable Resources, Claud Lavender, J. Wayne Greer, James Fulkerson, Sam Furo - Cease and Desist Order
Categories: Enforcement Actions
J. T. Moran & Co., Inc., Nicholas Mariniello, Peter Edward Bulger - Cease and Desist Order
Categories: Enforcement Actions
Villa Petroleum Inc., Mack W. Knight III, Don Tatum, James L. Watts, C. W. Weaver - 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
American Gold Eagle, Inc., James H. Ridinger, - Cease and Desist Order
Categories: Enforcement Actions
American Gold Eagle, Inc., James H. Ridinger - 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
Constitutional Communications, Inc., Stanley Weiner - Cease and Desist Order
Categories: Enforcement Actions
News Limit
7
Medium
Medium
For Assistance Contact:
Michael F. Daley, Deputy Commissioner / Attorney , Email Mike
Phone: (701) 328-4701, ND Toll Free (800) 297-5124