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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

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

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

Categories: Enforcement Actions

Jason P. Fettig - Order Refusing Registration as an Agent

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

Wachovia Capital Markets, LLC - Consent Order

Categories: Enforcement Actions

Piper Jaffray & Co. - 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

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

Categories: Enforcement Actions

Piper Jaffray & Co., Brady Vollmers - Consent 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, 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

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

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

Categories: Enforcement Actions

T.L. Secrest - 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, Brian Henry - Consent Order

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Gerald 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

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

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Troy Borud - Consent 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., Michael Hupka -

Categories: Enforcement Actions

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

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

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

Categories: Enforcement Actions

Robert Woodward - 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

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

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

Jasmer Shokar a/k/a Jimmy Shokar -

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

GunnAllen Financial, Inc. - Consent 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., David Martin, Kay Martin -

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

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

Riverside RV Rentals, Inc. - Consent Order

Categories: Enforcement Actions

Viper Acquisition, LLC - 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., David Martin, Kay Martin - Civil Penalty

Categories: Enforcement Actions

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

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

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

Categories: Enforcement Actions

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

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

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

Categories: Enforcement Actions

Todd Rooker - Civil Penalty

Categories: Enforcement Actions

Mike Bierman - 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

Craig Brown - Consent Order

Categories: Enforcement Actions

Joe Aguda, Aguda Financial Services, Inc. - 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

Craig Brown - Civil Penalty

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Linsco Private Ledger Corp. - Consent Agreement

Categories: Enforcement Actions

Wayne Jorve - Cease and Desist Order

Categories: Enforcement Actions

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

Categories: Enforcement Actions

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

Kenneth Lynn Copen - Consent Order

Categories: Enforcement Actions

Sunpoint Securities, Inc. -

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

Steve Hiltbrand - Civil Penalty

Categories: Enforcement Actions

Alliance Trust, Clifton Wilkinson - Civil Penalty

Categories: Enforcement Actions

Bisys Brokerage Services, Inc. - Consent Order

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

Santoro's Gourmet Foods, Inc. - Civil Penalty

Categories: Enforcement Actions

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

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

Allen Halstead - Civil Penalty

Categories: Enforcement Actions

David M. Beneake - Civil Penalty

Categories: Enforcement Actions

Papa Holdings, Inc. - Civil Penalty

Categories: Enforcement Actions

The Ponzu Companies, Inc. - Civil Penalty

Categories: Enforcement Actions

Jonathan C. Papa - Civil Penalty

Categories: Enforcement Actions

Thomas L. Anderson - Civil Penalty

Categories: Enforcement Actions

Kourosh Saroole - 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

Low Priced Stock Wealth - Civil Penalty

Categories: Enforcement Actions

David Johnson - Notice of Civil Penalty

Categories: Enforcement Actions

David Johnson - Civil Penalty

Categories: Enforcement Actions

Kaizen International Consulting Corporation - Civil Penalty

Categories: Enforcement Actions

Mike T. McEnroe - 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

Sharon Malkin - Notice of Civil Penalty

Categories: Enforcement Actions

Jerry Nichter - Civil Penalty

Categories: Enforcement Actions

Lon Finkelstein - Civil Penalty

Categories: Enforcement Actions

Public Communication Services, Inc. - 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

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

Categories: Enforcement Actions

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

Categories: Enforcement Actions

Joseph K. Hilyard - Notice of Civil Penalty

Categories: Enforcement Actions

Michael Lee Mathis - Notice of Civil Penalty

Categories: Enforcement Actions

Buckhorn Financial Services, Inc - 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

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

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

Norfolk Securities Corp. - Proposed Order to Refuse Agent Registration

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

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

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

Categories: Enforcement Actions

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

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 - Cease and Desist Order

Categories: Enforcement Actions

Leo Elroy Sjolseth -

Categories: Enforcement Actions

Charles Edward Marean, Junior - Cease and Desist Order

Categories: Enforcement Actions

Worldwide Treasure Bureau, Samuel E. Cox - 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

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