Consent Order: ICON Investment Group, LLC, Leftfield Development, LLC, National Sports Opportunity Partners LLC, and Michael R. Kuntz
Tuesday, December 5, 2023
Categories: Enforcement ActionsRaymond James & Associates Inc., and Raymond James Financial Services Inc. - Consent Order
Friday, October 20, 2023
Categories: Enforcement ActionsOrder: Ireland & Sando LLC, and Michael J. Rydell
Thursday, July 27, 2023
Categories: Enforcement ActionsCease and Desist Order, Notice of and Order for Civil Penalties, Order for Rescission, and Notice of Right to Request a Hearing
Securities Commissioner orders Ireland & Sando and Michael J. Rydell to cease and desist from the sale of unregistered securities and acting as an unregistered securities agent and investment adviser representative
Thursday, July 27, 2023
Categories: Enforcement ActionsAMS Holdings LLC, and Bradley J. Stroup
Wednesday, July 19, 2023
Categories: Enforcement ActionsCease and Desist Order, Notice of Civil Penalties, Order for Rescission, and Notice of Right to Request a Hearing
Securities Commissioner orders Bradley J. Stroup and AMS Holdings to cease and desist from the sale of unregistered securities
Wednesday, July 19, 2023
Categories: Enforcement ActionsNorth Dakota Securities Department Joins Multiple States in $10 Million Settlement with Robinhood for Failing Investors
Wednesday, July 12, 2023
Categories: Enforcement ActionsRobinhood Financial LLC
Wednesday, July 12, 2023
Categories: Enforcement ActionsAdministrative Consent Order
Cattle Company Ordered to Stop Selling Unregistered Securities
Thursday, May 25, 2023
Categories: Enforcement ActionsAgridime LLC, a Texas limited liability company, and Joshua Link
Thursday, May 25, 2023
Categories: Enforcement ActionsCease and Desist Order, Notice of Civil Penalty, and Notice of Right to Request a Hearing
Securities Commissioner orders Michael Kuntz, National Sports Opportunity Partners, Jeremy L. Carlson, and Jamieson Capital Financial to cease and desist from sale of over $25 million in unregistered securities and misappropriation of investor funds
Monday, April 24, 2023
Categories: Enforcement Actions
National Sports Opportunity Partners LLC, a/k/a the trade name, National Sports Opportunity, LLC, Michael R. Kuntz, Jamieson Capital Financial LLC, and Jeremy L. Carlson
Monday, April 24, 2023
Categories: Enforcement ActionsFindings of Fact, Conclusions of Law, Cease and Desist Order, Notice of and Order for Rescission, Notice of and Order for Civil Penalties, Notice of Reservation of Commissioner's Authority to Amend Order, and Notice of Right to Request a Hearing
Final Order: Bio-Sunn Technologies, Inc., Lewis Bauer, Equity Fund International (EFI), Inc., and Christopher Williams
Thursday, February 9, 2023
Categories: Enforcement ActionsFindings of Fact, Conclusions of Law, and Final Order
Enforcement Order: Jamieson Capital Financial LLC, a North Dakota Limited Liability Company, and Jeremy L. Carlson
Thursday, December 22, 2022
Categories: Enforcement ActionsFindings of Fact, Conclusions of Law, Cease and Desist Order, Notice of and Order for Rescission, Notice of and Order for Civil Penalties, Notice of Reservation of Commissioner's Authority to Amend Order, and Notice of Right to Request a Hearing
National Sports Opportunity Partners LLC, a/k/a the trade name, National Sports Opportunity LLC, ICON Investment Group, LLC, Leftfield Development, LLC, and Michael Kuntz
Friday, July 29, 2022
Categories: Enforcement ActionsCease and Desist Order, Notice of Civil Penalties, Order for Rescission, and Notice of Right to Request a Hearing
Jamieson Capital Financial, LLC, a North Dakota limited liability company, and Jeremy L. Carlson
Monday, July 18, 2022
Categories: Enforcement ActionsFindings of Fact, Conclusions of Law, Order to Summarily Suspend Investment Adviser Registration, Notice of Proposed Order to Revoke Investment Adviser Registration, Cease and Desist Order, Notice of Civil Penalties, Order for Rescission, Notice of Reservation of Commissioner's Authority to Amend Order, and Notice of Right to Request a Hearing
Jamieson CAPEX Fund, LLC, Jamieson Medical, LLC, Jamieson Natural Resources Fund, LLC, Nova DC, LLC, Secure Income Fund, LLC, Jamieson Legacy Fund, LLC, Mainstreet Investment Partners, LLC, National Sports Capital, LLC, and Jeremy L. Carlson
Monday, July 18, 2022
Categories: Enforcement ActionsStop Order Summarily Suspending the Offer and Sale of Federal Covered Securities, Cease and Desist Order, Notice of Civil Penalties, and Notice of Right to Request a Hearing
Bankers Life and Casualty Company and BLC Financial Services, Inc. - Amendment to Consent Order
Thursday, July 14, 2022
Categories: Enforcement ActionsBlockFi Lending LLC - Consent Order
Friday, April 22, 2022 at 12:01 pm
Categories: Enforcement ActionsBio-Sunn Technologies, Inc., a North Dakota Corporation, Lewis Bauer, Equity Fund International (EFI), Inc., a Georgia Corporation, and Christopher Williams - Cease and Desist, Civil Penalty, Rescission Order
Wednesday, December 1, 2021
Categories: Enforcement ActionsFiduciary Investment Funds, Fiduciary Investment Services, LLC & Mark G. Wagner - Consent Order
Thursday, February 18, 2021
Categories: Enforcement ActionsFundrise Entities - Consent Order & Consent to Entry of Order
Friday, July 24, 2020
Categories: Enforcement ActionsLendingClub Corporation - Consent Order & Consent to Entry of Order
Tuesday, July 14, 2020
Categories: Enforcement ActionsDHA Financial, LLC - Consent Order & Consent to Entry of Order
Monday, March 2, 2020
Categories: Enforcement ActionsUnion Bank Payment Coin, a/k/a UBPC, and its Officers, Directors, Agents, and Employees - Cease and Desist Order
Monday, November 19, 2018
Categories: Enforcement ActionsCacheCoine Corp., and Harlen Lee Ellis - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing
Thursday, October 11, 2018
Categories: Enforcement ActionsLife Cross Coin, a/k/a Lifecrosscoin GmbH, and its Officers, Directors, Agents, and Employees - Cease and Desist Order
Wednesday, October 10, 2018
Categories: Enforcement ActionsAdvertiza Holdings (Pty) Ltd, a South African registered company, and its Officers, Directors, Agents, and Employees - Cease and Desist Order
Wednesday, October 10, 2018
Categories: Enforcement ActionsCrystal Token and its Officers, Directors, Agents, and Employees - Cease and Desist Order
Wednesday, October 10, 2018
Categories: Enforcement ActionsPension Rewards Platform, a/k/a Pension Rewards, and their Officers, Directors, Agents, and Employees - Cease and Desist Order
Thursday, September 20, 2018
Categories: Enforcement ActionsBitConnect LTD and BitConnect International PLC, United Kingdom limited companies, and their Officers, Directors, Agents, and Employees - Cease and Desist Order
Thursday, September 20, 2018
Categories: Enforcement ActionsMagma Foundation, a/k/a Magma Coin, a/k/a Magma, and their Officers, Directors, Agents, and Employees - Cease and Desist Order
Thursday, September 20, 2018
Categories: Enforcement ActionsFBD Ventures II, LLC, and Craig F. Wollenburg - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty
Friday, June 22, 2018
Categories: Enforcement ActionsMain Street Hospitality, LLC, and Robert Pagan - Consent to Entry of Order, Consent Order
Monday, May 14, 2018
Categories: Enforcement ActionsMain Street Hospitality, LLC, and Robert Pagan - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty
Thursday, March 8, 2018
Categories: Enforcement ActionsH. Michael Hardy, RSE, Inc., and Hardy Management Group, LLC - Consent Order
Monday, February 26, 2018
Categories: Enforcement ActionsElements Franchising, LLC and Christopher J. Palumbo - Desist and Refrain Order, Notice of Right to Request Hearing, Order for Civil Penalty
Friday, December 15, 2017
Categories: Enforcement ActionsRash Enterprises, LLC, Taylor Rash, and Tom Doll - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty
Friday, December 15, 2017
Categories: Enforcement ActionsQuestar Capital Corporation - Settlement Agreement
Monday, July 31, 2017
Categories: Enforcement ActionsSusan L. Welo, Welo Wealth Management - Cease and Desist Order, Notice of Right to Request Hearing
Friday, July 21, 2017
Categories: Enforcement ActionsDouglas E. Arends - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing
Tuesday, July 12, 2016
Categories: Enforcement ActionsFirst Financial Equity Corporation - Agreement
Monday, June 13, 2016
Categories: Enforcement ActionsKevin D. Wanner, Precision Financial Services, Questar Capital Corporation - Order to Revoke the Agent Registration
Thursday, December 31, 2015
Categories: Enforcement ActionsKevin 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
Friday, December 4, 2015
Categories: Enforcement ActionsHalcyon Cabot Partners, Ltd. - Order to Revoke the Dealer Registration
Tuesday, November 24, 2015
Categories: Enforcement ActionsHalcyon Cabot Partners - Order to Revoke the Dealer Registration, Order for Summary Suspension of the Dealer Registration, Notice of Right to Request Hearing
Monday, October 12, 2015
Categories: Enforcement ActionsPaul De Bastos, North Dakota Bakken Connection, LLC - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing
Tuesday, June 16, 2015
Categories: Enforcement ActionsPanda Trucking, LLC, Daniel E. Jenkins - Consent to Entry of Order, Consent Order
Friday, June 12, 2015
Categories: Enforcement ActionsNorth Dakota Developments, LLC, Robert Lee Gavin, Daniel John Hogan - Cease and Desist Order, Notice of Right to Request Hearing
Tuesday, May 5, 2015
Categories: Enforcement ActionsPanda Trucking, LLC, Daniel E. Jenkins - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty
Monday, January 26, 2015
Categories: Enforcement ActionsDempsey Lord Smith, LLC - Consent to Entry of Order, Consent Order
Tuesday, January 20, 2015
Categories: Enforcement ActionsJ. P. Morgan Securities, LLC - Administrative Consent Order
Sunday, August 24, 2014
Categories: Enforcement ActionsLandolt Securities, Inc. - Consent to Entry of Order, Consent Order
Monday, July 28, 2014
Categories: Enforcement ActionsSocial Voucher.com, Inc., Gerald C. Parker - Consent to Entry of Order, Consent Order
Friday, June 6, 2014
Categories: Enforcement ActionsATEL Securities Corporation - Consent to Entry of Order, Consent Order
Friday, May 9, 2014
Categories: Enforcement ActionsMidwest Gold Company, LLC, Kirk Scott Grace - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing
Friday, March 14, 2014
Categories: Enforcement ActionsMorgan Asset Management, Inc., Morgan Keegan & Company, Inc. - Consent to Entry of Order, Administrative Consent Order
Monday, February 24, 2014
Categories: Enforcement ActionsUBS Financial Services, Inc. - Consent to Entry of Order, Consent Order
Monday, October 14, 2013
Categories: Enforcement ActionsRBC Capital Markets, LLC - Consent to Entry of Order, Administrative Consent Order
Friday, September 27, 2013
Categories: Enforcement ActionsEdwin Brent Lundgren - Order Refusing Registration as an Agent
Friday, September 20, 2013
Categories: Enforcement ActionsEdwin 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
Tuesday, August 13, 2013
Categories: Enforcement ActionsPeachtree Partners, Ira J. Gaines - Stop Order Summarily Suspending the Offer and Sale, Notice of Right to Request Hearing
Tuesday, June 11, 2013
Categories: Enforcement ActionsPeachtree Partners, Ira J. Gaines - Order to Suspend Securities Registration, Notice of Right to Request Hearing
Tuesday, May 14, 2013
Categories: Enforcement ActionsInland National Securities, Inc., David Theusch - Consent Order
Tuesday, April 16, 2013
Categories: Enforcement ActionsRoman 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
Thursday, March 14, 2013
Categories: Enforcement ActionsImpact Energy, LLC, Eugene L. McArthur, Jr., Mike Ladue, Lynne Hanson - Consent Order
Tuesday, February 26, 2013
Categories: Enforcement ActionsUVEST Financial Services Group, Inc. - Consent Order
Monday, November 26, 2012
Categories: Enforcement ActionsBankers Life and Casualty Company and BLC Financial Services, Inc. - Consent Order
Wednesday, October 17, 2012
Categories: Enforcement ActionsFirst Call Ventures, LLC d/b/a First Call Movers, Thomas M. White - Order to Vacate, Cease and Desist Order
Tuesday, September 25, 2012
Categories: Enforcement ActionsCaldwell International Securities Corporation - Consent Order, Consent to Entry of Order
Monday, August 27, 2012
Categories: Enforcement ActionsNew Hi-Tech Oil & Gas Discoveries, LLC, Dennis W. Stutes - Stop Order Summarily Suspending the Offer and Sale
Monday, August 13, 2012
Categories: Enforcement ActionsFreedom USA Investing, LLC, James Young - Cease and Desist Order
Tuesday, July 31, 2012
Categories: Enforcement ActionsRobert H. Medhus, RTM, Ltd., Medhus Company, Associated Financial Services, Inc. - Cease and Desist Order
Thursday, June 21, 2012
Categories: Enforcement ActionsFirst Call Ventures, LLC d/b/a First Call Movers, Thomas M. White, Please see VACATED ORDER - Cease and Desist Order
Monday, April 30, 2012
Categories: Enforcement ActionsAlan Bernhagen - Consent Order, Consent to Entry of Order
Monday, March 5, 2012
Categories: Enforcement ActionsHartford Equity Sales Company Inc., Craig H. Miller - Consent Order, Consent to Entry of Order
Monday, March 5, 2012
Categories: Enforcement ActionsPiper Jaffray & Co., Brady Vollmers - Consent Order, Consent to Entry of Order
Thursday, February 16, 2012
Categories: Enforcement ActionsCore Funding Group, L.P., Thomas F. Emmick - Cease and Desist Order
Wednesday, February 8, 2012
Categories: Enforcement ActionsE*TRADE SECURITIES, LLC - Administrative Consent Order, Consent to Entry of Order
Wednesday, February 1, 2012
Categories: Enforcement ActionsPiper Jaffray & Co., Brady Vollmers - Order for and Notice of Civil Penalty
Friday, January 13, 2012
Categories: Enforcement ActionsAssociated Financial Services, Inc. - Order to Revoke the Dealer Registration
Thursday, January 12, 2012
Categories: Enforcement ActionsRonald Dean Bennett d/b/a Ron Bennett Commercial Real Estate - Cease and Desist Order
Wednesday, December 21, 2011
Categories: Enforcement ActionsBrent Kitzan d/b/a Kitzan & Associates - Cease and Desist Order
Wednesday, December 14, 2011
Categories: Enforcement ActionsAssociated Financial Services, Inc. - Order for Summary Suspension of the Dealer Registration
Tuesday, December 6, 2011
Categories: Enforcement ActionsRaymond James & Associates, Inc., Raymond James Financial Services, Inc. - Administrative Consent Order
Monday, September 26, 2011
Categories: Enforcement ActionsGlobal 1 Consulting, LLC, Joe Suarez - Cease and Desist Order
Friday, July 15, 2011
Categories: Enforcement ActionsA. J. Balfour & Group, Inc., Joseph L. Allen - Cease and Desist Order
Friday, July 15, 2011
Categories: Enforcement ActionsGibraltar Partners, Inc., Anthony John Johnson - Cease and Desist Order
Monday, May 23, 2011
Categories: Enforcement ActionsRAHFCO Management Group, LLC - Stop Order Summarily Suspending the Offer and Sale
Wednesday, May 4, 2011
Categories: Enforcement ActionsBio-Sunn, Inc., Lewis A. Bauer - Consent Order
Friday, April 22, 2011
Categories: Enforcement ActionsPop N Go, Inc., Melvin J. Wyman - Cease and Desist Order
Monday, October 18, 2010
Categories: Enforcement ActionsJason P. Fettig - Order Refusing Registration as an Agent
Monday, October 18, 2010
Categories: Enforcement ActionsBradley James Stroup - Cease and Desist Order
Friday, October 15, 2010
Categories: Enforcement ActionsDavid W. Torson - Cease and Desist Order
Tuesday, September 14, 2010
Categories: Enforcement ActionsRAHFCO Management Group, LLC - Consent Order
Thursday, July 15, 2010
Categories: Enforcement ActionsGoldman, Sachs & Co. - Administrative Consent Order
Tuesday, June 22, 2010
Categories: Enforcement ActionsBlue Investments, LLC, Travis Richey - Cease and Desist Order
Tuesday, June 8, 2010
Categories: Enforcement ActionsWells Fargo Investments, LLC - Administrative Consent Order
Friday, May 14, 2010
Categories: Enforcement ActionsUBS Securities, LLC, UBS Financial Services Inc. - Administrative Consent Order
Monday, April 26, 2010
Categories: Enforcement ActionsStifel, Nicolaus & Company, Incorporated , , - Administrative Consent Order
Monday, April 12, 2010
Categories: Enforcement ActionsJames R. Bullis, Montgomery, Goff & Bullis, P.C. - Consent to Entry of Order, Consent Order
Monday, November 23, 2009
Categories: Enforcement ActionsJP Morgan Chase & Co. - Administrative Consent Order
Monday, August 17, 2009
Categories: Enforcement ActionsRBC Capital Markets Corporation - Administrative Consent Order
Monday, June 22, 2009
Categories: Enforcement ActionsMerrill Lynch, Pierce, Fenner & Smith Incorporated - Administrative Consent Order
Monday, June 22, 2009
Categories: Enforcement ActionsBanc of America Securities LLC, Banc of America Investment Services, Inc. - Administrative Consent Order
Friday, June 12, 2009
Categories: Enforcement ActionsProsper Marketplace, Inc. - Administrative Consent Order
Tuesday, May 19, 2009
Categories: Enforcement ActionsCitigroup Global Markets Inc. - Administrative Consent Order
Wednesday, April 1, 2009
Categories: Enforcement ActionsWachovia Securities, LLC, Wachovia Capital Markets, LLC - Administrative Consent Order
Wednesday, April 1, 2009
Categories: Enforcement ActionsNicholas Alexander Smirnow aka Nick Smirnow, doing business under the Ontario registered Business Name P-2-P NETWORK - Cease and Desist Order
Thursday, October 16, 2008
Categories: Enforcement ActionsJonathan Brewer, Cyprus Builders, Inc. - Cease and Desist Order
Friday, August 15, 2008
Categories: Enforcement ActionsInland National Securities, Inc., David Theusch, Keith Theusch - Consent Order
Thursday, July 31, 2008
Categories: Enforcement ActionsMorgan Stanley & Co. Incorporated - Findings of Fact
Monday, July 21, 2008
Categories: Enforcement ActionsLarry M. Atkins, Atkins Brokerage Services, Inc., Retirement Planning Concepts, Inc., Retirement Income Planning, Inc., Retirement Navigation, Inc. - Order for Permanent Injunction
Thursday, July 17, 2008
Categories: Enforcement ActionsRothschild Investment Corporation, Paul E. Geringer, Christian P. Geringer - Consent Order
Monday, June 16, 2008
Categories: Enforcement ActionsTrue Investments Inc., Ty Olstad - Notice of Right to Request Hearing, Order for Civil Penalty
Monday, June 9, 2008
Categories: Enforcement ActionsLarry M. Atkins, Atkins Brokerage Services, Inc., Retirement Planning Concepts, Inc., Retirement Income Planning, Inc., Retirement Navigation, Inc. - Ex Parte Order for Preliminary Injunction
Tuesday, April 22, 2008
Categories: Enforcement ActionsAshmore Family Foundation, a Minnesota Charitable Trust, Flint Ashmore, Monte R. Ashmore - Consent Order
Thursday, January 24, 2008
Categories: Enforcement ActionsLAS International, Ltd., Neil Whittey, Syver Vinje - Stipulation for Amendment of Consent Order
Friday, January 11, 2008
Categories: Enforcement ActionsLAS International, Ltd., Neil Whittey, Syver Vinje (also see order on 6/19/07) - Stipulation for Amendment
Friday, January 11, 2008
Categories: Enforcement ActionsAshmore Family Foundation, Flint Ashmore, Monte R. Ashmore - Cease and Desist Order
Thursday, October 4, 2007
Categories: Enforcement ActionsTrue Investments Inc., Ty Olstad, J & C Entertainment, James Carson - Cease and Desist Order
Friday, July 6, 2007
Categories: Enforcement ActionsVivian V. Gwin - Order to Summarily Postpone the Approval of Respon
Tuesday, June 26, 2007
Categories: Enforcement ActionsLAS International, Ltd., Neil Whittey, Syver Vinje - Consent Order
Tuesday, June 19, 2007
Categories: Enforcement ActionsFirst Union Securities, Inc., later known as Wachovia Securities, Inc., now known as Wachovia Securities, LLC - Consent Order
Tuesday, June 19, 2007
Categories: Enforcement ActionsLAS International, Ltd., Neil Whittey, Syver Vinje, (SEE JUNE 19TH CONSENT ORDER) -
Friday, May 25, 2007
Categories: Enforcement ActionsAmericans for Lawful Financial Independence & Information, MY ICIS, Inc., Wayne Hicks, Lori Hicks - Cease and Desist Order
Thursday, May 17, 2007
Categories: Enforcement ActionsSamuel G. Loumer, Michael Kramer - Consent Agreement
Tuesday, May 1, 2007
Categories: Enforcement ActionsIRAX International, LLC, Impact Industries International, LLC, Financial Planning Services, Inc., Bruce Anderson - Consent Order
Monday, March 12, 2007
Categories: Enforcement ActionsCD Acquisition Group, LLC, David Mees - Consent Order
Saturday, March 3, 2007
Categories: Enforcement ActionsA. G. Edwards & Sons, Inc. - Consent Order
Tuesday, January 23, 2007
Categories: Enforcement ActionsWachovia Capital Markets, LLC - Consent Order
Monday, December 4, 2006
Categories: Enforcement ActionsBanker's Life and Casualty Company - Consent Order
Friday, November 17, 2006
Categories: Enforcement ActionsBerthel Fisher and Company Financial Services, Inc., Timothy Hayden - Consent Order
Tuesday, October 31, 2006
Categories: Enforcement ActionsReady Cash, Inc., Donald Gehrig - Consent Agreement
Monday, October 30, 2006
Categories: Enforcement ActionsACAP Financial, Inc., Donald Fisher - Consent Agreement
Tuesday, October 10, 2006
Categories: Enforcement ActionsLincoln Financial Advisors Corp. - Consent Agreement
Monday, October 9, 2006
Categories: Enforcement ActionsInvestment Centers of America, Inc., Larry A. Fust - Consent Agreement
Thursday, September 14, 2006
Categories: Enforcement ActionsCapital Growth Financial, LLC, Ross O. Haugen -
Wednesday, September 6, 2006
Categories: Enforcement ActionsDavid A. Skjerven, Skjerven Financial Services - Cease and Desist Order
Thursday, August 31, 2006
Categories: Enforcement ActionsPiper Jaffray & Co., Brady Vollmers - Consent Order
Wednesday, June 28, 2006
Categories: Enforcement ActionsProTrust Financial Group, Inc., ProTrust Management Group, Inc., Gordon B. Grigg - Cease and Desist Order
Wednesday, June 28, 2006
Categories: Enforcement ActionsAnton Kunz, The ABC System - Cease and Desist Order
Wednesday, May 24, 2006
Categories: Enforcement ActionsNational Forex Corp., Dennis Drake - Cease and Desist Order
Monday, May 1, 2006
Categories: Enforcement ActionsViper 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
Monday, April 17, 2006
Categories: Enforcement ActionsI2U, Inc., Harold Richard Mladek - Default Order
Thursday, April 13, 2006
Categories: Enforcement ActionsJames R. Bullis, Montgomery, Goff & Bullis, P.C. - Cease and Desist Order
Tuesday, March 21, 2006
Categories: Enforcement ActionsHarmony Consultants, Inc., Conejo Valley Consultants, Inc., Mel Rosoff a/k/a Mel Fields - Cease and Desist Order
Wednesday, March 8, 2006
Categories: Enforcement ActionsKea-Watt and Associates, Ltd., Joseph Henry Kalina, Larry Gene Kalina, Terry Wanless - Cease and Desist Order
Monday, February 6, 2006
Categories: Enforcement ActionsDakota Payphone, LLC - Order to Revoke the Securities Registrations
Thursday, February 2, 2006
Categories: Enforcement ActionsThomas Weisel Partners, LLC - Administrative Consent Order
Friday, January 13, 2006
Categories: Enforcement ActionsKevin David Wells - Order to Revoke the Agent Registration
Friday, December 9, 2005
Categories: Enforcement ActionsDominion Investments, Inc., Tony Adams - Cease and Desist Order
Thursday, December 8, 2005
Categories: Enforcement ActionsI2U, Inc., Harold Richard Mladek - Cease and Desist Order
Tuesday, November 22, 2005
Categories: Enforcement ActionsCD Acquisition Corp., David Mees - Order for Civil Penalty
Wednesday, September 7, 2005
Categories: Enforcement ActionsPiper Jaffray & Co., Brady Vollmers - Notice of Civil Penalty
Monday, August 29, 2005
Categories: Enforcement ActionsDeutsche Bank Securities, Inc. - Administrative Consent Order
Friday, August 26, 2005
Categories: Enforcement ActionsA. G. Edwards & Sons, Inc., Daniel M. Schmidt - Notice of Civil Penalty
Thursday, August 11, 2005
Categories: Enforcement ActionsGovernment Benefit Services, Glen W. Finley, Jr. - Cease and Desist Order
Tuesday, July 5, 2005
Categories: Enforcement ActionsSchwartz Investment Management Company, James Schwartz - Consent Order
Friday, June 3, 2005
Categories: Enforcement ActionsAssemblies of God Loan Fund - Consent Agreement
Friday, May 20, 2005
Categories: Enforcement ActionsIntegrity Mutual Funds, Inc. f/k/a ND Holdings, Inc., ND Capital Inc., Robert E. Walstad - Order to Vacate Notice of Civil Penalty
Thursday, May 5, 2005
Categories: Enforcement ActionsPiper Jaffray & Co., Terry Millner - Consent Order
Thursday, May 5, 2005
Categories: Enforcement ActionsIntegrity Mutual Funds, Inc. f/k/a ND Holdings, Inc., ND Capital, Inc., Robert E. Walstad - Undertaking
Wednesday, March 16, 2005
Categories: Enforcement ActionsThird Ridge Capital, LP, Third Ridge Capital Partners, LLC, Edward Neugeboren, Keith Barksdale - Agreement
Wednesday, February 23, 2005
Categories: Enforcement ActionsCapital Growth Financial, LLC - Notice of Civil Penalty
Thursday, February 10, 2005
Categories: Enforcement ActionsBison Capital Management, LLC - Proposed Order to Refuse Investment Advisor Registration
Wednesday, January 26, 2005
Categories: Enforcement ActionsInvestment Advisory Services, Thomas H. Marsden - Consent Order
Thursday, January 20, 2005
Categories: Enforcement ActionsImpact Industries International, LLC, Financial Planning Services, Inc., Bruce Anderson, Rodney Kirschmann - Cease and Desist Order
Tuesday, December 21, 2004
Categories: Enforcement ActionsL. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker - Order to Vacate Cease and Desist Order
Tuesday, December 21, 2004
Categories: Enforcement ActionsIRAX International, LLC, Financial Planning Services, Inc., Bruce Anderson, Rodney Kirschmann - Cease and Desist Order
Tuesday, December 21, 2004
Categories: Enforcement ActionsR. T. Jones Capital Equities, Inc., Frank S. Ladner - Agreement
Thursday, December 16, 2004
Categories: Enforcement ActionsHuntleigh Securities Corporation - Consent Agreement
Wednesday, December 15, 2004
Categories: Enforcement ActionsInvestment Advisory Services, Thomas H. Marsden - Notice of Civil Penalty
Monday, November 22, 2004
Categories: Enforcement ActionsPiper Jaffray & Co., Jason Millner - Consent Order
Monday, October 25, 2004
Categories: Enforcement ActionsDelta Trust Investments, Inc., Chad H. Carlson - Consent Order
Friday, September 24, 2004
Categories: Enforcement ActionsL. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker - Consent Order
Monday, September 20, 2004
Categories: Enforcement ActionsGlobal eScience Corp., Virgil Hentz - Cease and Desist Order
Monday, August 30, 2004
Categories: Enforcement ActionsRoss Owen Haugen - Order for Summary Suspension of the Investment Advisor Registration
Friday, August 13, 2004
Categories: Enforcement ActionsInterSecurities, Inc., Richard Colling - Consent Order
Thursday, August 12, 2004
Categories: Enforcement ActionsBerthel, Fisher & Company Financial Services, Inc., Lawrence W. Warren - Consent Order
Wednesday, July 28, 2004
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Larry Borud - Consent Order
Wednesday, July 28, 2004
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Ron Stafford - Consent Order
Wednesday, June 30, 2004
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Thomas Deschamp - Consent Order
Tuesday, June 29, 2004
Categories: Enforcement ActionsGrainline.com, Scott D. Olson, Kent Sortland - Consent Order
Tuesday, May 25, 2004
Categories: Enforcement ActionsThe (Wilson) Williams Financial Group, Inc., Sidney Mondschein - Undertaking and Agreement
Thursday, May 13, 2004
Categories: Enforcement ActionsPrincipal Life Insurance Company - Consent Agreement
Thursday, April 22, 2004
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Dick Schultz - Consent Order
Thursday, March 18, 2004
Categories: Enforcement ActionsL. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker -
Monday, March 15, 2004
Categories: Enforcement ActionsTri-West Investment Club, Wesley Leroy Hiller - Consent Order
Monday, March 15, 2004
Categories: Enforcement ActionsIntegrity Mutual Funds, Inc., ND Capital, Inc., Robert E. Walstad - Notice of Civil Penalty
Monday, March 15, 2004
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Mark Dostert - Findings of Fact, Conclusions of Law
Tuesday, March 9, 2004
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Larry Borud - Findings of Fact, Conclusions of Law
Tuesday, March 9, 2004
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Todd Haskins - Findings of Fact, Conclusions of Law
Friday, March 5, 2004
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Leon Borud - Findings of Fact, Conclusions of Law
Friday, March 5, 2004
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Ron Stafford - Findings of Fact, Conclusions of Law
Friday, March 5, 2004
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Tony Kautt - Findings of Fact, Conclusions of Law
Friday, March 5, 2004
Categories: Enforcement ActionsEuroBond Fidelity, Ltd. - Cease and Desist Order, Notice of Civil Penalty
Thursday, March 4, 2004
Categories: Enforcement ActionsWest East Developments, Inc., Webster Crown - Cease and Desist Order, Notice of Civil Penalty
Thursday, March 4, 2004
Categories: Enforcement ActionsPreferred Trust and Management, LTD., Randy Bryans - Consent Order
Wednesday, March 3, 2004
Categories: Enforcement ActionsD & M Capital, LLC, Associated Financial Services, Inc. - Consent Agreement
Wednesday, March 3, 2004
Categories: Enforcement ActionsAmerican Dream Systems, Inc., Coupon Connection of America, Inc. - Consent Order
Tuesday, February 24, 2004
Categories: Enforcement ActionsPreferred Trust and Management, Ltd., Dennis Skarphol - Consent Order
Tuesday, January 27, 2004
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Galen Marsh - Consent Order
Wednesday, December 17, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Donald Marsch - Consent Order
Wednesday, December 17, 2003
Categories: Enforcement ActionsCGF Securities, LLC, Ross Owen Haugen - Consent Order
Tuesday, December 16, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Brian Henry - Consent Order
Wednesday, December 3, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Gerald Henry - Consent Order
Wednesday, December 3, 2003
Categories: Enforcement ActionsCitigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. - Consent Order
Friday, November 21, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Mitchell Keiser - Consent Order
Thursday, November 20, 2003
Categories: Enforcement ActionsCraig F. Wollenburg, SPF Energy, Inc. - Consent Order
Thursday, November 20, 2003
Categories: Enforcement ActionsMicrovision Systems Corporation, Interactive Acquisition Master, Inc., Camry Consulting Services, Inc., Steve Lehner, Michael Hammerschmidt -
Wednesday, November 12, 2003
Categories: Enforcement ActionsBerthel, Fisher & Company Financial Services, Inc. - Consent Order
Wednesday, November 12, 2003
Categories: Enforcement ActionsCredit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation - Administrative Consent Order
Thursday, October 30, 2003
Categories: Enforcement ActionsJ. P. Morgan Securities, Inc. - Administrative Consent Order
Tuesday, October 21, 2003
Categories: Enforcement ActionsMorgan Stanley & Co. Incorporated - Administrative Consent Order
Tuesday, October 21, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Kris & Tana Thorfinnson - Consent Order
Monday, October 20, 2003
Categories: Enforcement ActionsU.S. Bancorp Piper Jaffray Inc. - Administrative Consent Order
Monday, October 20, 2003
Categories: Enforcement ActionsUBS Warburg LLC, UBS PaineWebber Inc. - Administrative Consent Order
Friday, October 10, 2003
Categories: Enforcement ActionsPossible Technologies, Inc. , A/k/A The Right Reason, Treacy Duerfeld -
Wednesday, October 1, 2003
Categories: Enforcement ActionsL. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker - Cease and Desist Order
Wednesday, October 1, 2003
Categories: Enforcement ActionsLehman Brothers Inc. - Administrative Order
Monday, September 22, 2003
Categories: Enforcement ActionsGrainline.com, Inc., Scott D. Olson, Kent Sortland - Cease and Desist Order
Thursday, September 11, 2003
Categories: Enforcement ActionsCGF Securities, LLC - Order for Summary Suspension of the Dealer Registration
Tuesday, September 2, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Gary L. Bryans - Consent Order
Wednesday, August 27, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Troy Borud - Consent Order
Monday, July 28, 2003
Categories: Enforcement ActionsEdward D. Jones & Co., L.P., DeAnne Gierke - Consent Order
Friday, July 18, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Jess Welstad -
Tuesday, July 1, 2003
Categories: Enforcement ActionsAlliance Care, Inc., CGF Securities, LLC, Ross Owen Huagen - Consent Order
Tuesday, July 1, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Gerald Haskins - Consent Order
Thursday, June 19, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD., Michael Hupka -
Wednesday, June 4, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD., Rodney J. Duncklee -
Wednesday, June 4, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD., Marlene Hupka - Consent Order
Tuesday, June 3, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD., Richard L. Solberg - Consent Agreement
Sunday, June 1, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD., James I Miller, Jr. -
Wednesday, May 28, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD., Keith Pierson -
Wednesday, May 28, 2003
Categories: Enforcement ActionsSelect Electronic Devices, Inc., VOIP Communications, Inc., Kent Johanneson a/k/a W. K. Johanneson, David Ludwick - Cease and Desist Order
Wednesday, May 21, 2003
Categories: Enforcement ActionsCamry Investment Services, Inc., Nathanson Investment Trust Account, Colin Nathanson, James Armstrong, Sheila R. Green - Cease and Desist Order
Monday, May 19, 2003
Categories: Enforcement ActionsLeafhead Consultants, Inc., Media Info Fund, LTD, Arthur Martiney - Cease and Desist Order
Monday, May 19, 2003
Categories: Enforcement ActionsPreferred Trust and Management, Ltd., Steve Tengesdal - Consent Order
Monday, May 12, 2003
Categories: Enforcement ActionsAmerican Dream Systems, Inc., Coupon Connection of America, Inc. - Desist and Refrain Order
Monday, May 12, 2003
Categories: Enforcement ActionsAlliance Care, Inc., CGF Securities, LLC, Ross Owen Haugen - Cease and Desist Order
Tuesday, April 15, 2003
Categories: Enforcement ActionsSeed International Limited, Ocean International Marketing, Sam Howard, Hakki Kupper - Cease and Desist Order
Wednesday, March 19, 2003
Categories: Enforcement ActionsGolden Eagle Oil, James McDaniel - Cease and Desist Order
Wednesday, March 19, 2003
Categories: Enforcement ActionsCapital Growth Real Estate Partners of Miami, LLC, CGF Securities, LLC, Ross Owen Haugen - Consent Order
Wednesday, January 22, 2003
Categories: Enforcement ActionsEPCOM, Ltd., Eldon P. Anderson - Cease and Desist Order
Monday, January 20, 2003
Categories: Enforcement ActionsAmerican Capital Corporation - Consent Order
Friday, December 6, 2002
Categories: Enforcement ActionsCraig F. Wollenburg, SPF Energy, Inc. - Order to Suspend Agent Registration
Wednesday, November 20, 2002
Categories: Enforcement ActionsU. S. Petroleum, LLC, MEA Services - Cease and Desist Order
Tuesday, November 19, 2002
Categories: Enforcement ActionsFegen & Associates, Legend Mobile f/k/a PTN Media, Inc., Nicholas A. Fegen, Peter C. Klamka - Cease and Desist Order
Friday, November 1, 2002
Categories: Enforcement ActionsHenry Foods, Inc. d/b/a Delimax - Consent Order
Wednesday, October 30, 2002
Categories: Enforcement ActionsAmerican Capital Corporation, Ross O. Haugen - Cease and Desist Order
Thursday, October 3, 2002
Categories: Enforcement ActionsCapital Growth Real Estate Partners of Miami, LLC, Ross O. Haugen, CGF Securities, LLC - Cease and Desist Order
Thursday, October 3, 2002
Categories: Enforcement ActionsMDVIP, Inc., Ross O. Haugen, CGF Securities, LLC - Cease and Desist Order
Thursday, October 3, 2002
Categories: Enforcement ActionsForex Capital Group, LLC, Alaron FX, John Normanton - Cease and Desist Order
Tuesday, September 10, 2002
Categories: Enforcement ActionsBuck 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
Tuesday, September 10, 2002
Categories: Enforcement ActionsSt. Clare Film Fund Capital Corporation, St. Paul Film Fund, Guadalupe Film Committee, Onesimus Production, Inc., Stephen A. Jones, Debbie Cartier - Cease and Desist Order
Monday, August 26, 2002
Categories: Enforcement ActionsHenry Foods, Inc. d/b/a DeliMax - Desist and Refrain Order
Wednesday, August 21, 2002
Categories: Enforcement ActionsRoss Owen Haugen - Registration Agreement
Wednesday, August 21, 2002
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Eugene Zaderaka - Consent Order
Monday, August 19, 2002
Categories: Enforcement ActionsAmerican Investment Services, Inc. - Proposed Order to Revoke Agent Registration
Friday, June 14, 2002
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Janene Haugen - Order to Vacate Cease and Desist Order
Tuesday, June 11, 2002
Categories: Enforcement ActionsAmerican Investment Services, Inc. - Order to Amend Order for Rescission
Friday, June 7, 2002
Categories: Enforcement ActionsAmerican Investment Services, Inc. - Order for Rescission
Thursday, May 30, 2002
Categories: Enforcement ActionsTelecom Action Entertainment, William Marlin & Co., Marlin, William B., Davis, William, Anthony, Dave - Cease and Desist Order
Thursday, May 23, 2002
Categories: Enforcement ActionsFirst Montauk Securities Corp. - Consent Order
Thursday, March 21, 2002
Categories: Enforcement ActionsUnited Methodist Development Fund - Consent Order
Tuesday, February 26, 2002
Categories: Enforcement ActionsAngel Hung, Once Again Resale for Men & Women, -
Tuesday, February 5, 2002
Categories: Enforcement ActionsHighbury Capital, Inc., Inner Technologies Corp, Howard, Scott N., Hoyt, Jeffrey C., Stogner, Ron - Cease and Desist Order
Wednesday, January 2, 2002
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Soren Sorenson - Order to Vacate Cease and Desist Order
Tuesday, November 27, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., David Martin, Kay Martin -
Tuesday, November 27, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Gene Armstrong, Pat Armstrong - Order to Vacate Cease and Desist Order
Tuesday, November 27, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Kenneth Ryer - Order to Vacate Cease and Desist Order
Tuesday, November 27, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Kyle Wurgler - Order to Vacate Cease and Desist Order
Tuesday, November 27, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Brian Snowden - Order to Vacate Cease and Desist Order
Tuesday, November 27, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Eric Maaske - Order to Vacate Cease and Desist Order
Tuesday, November 27, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Raymond Van Bockel - Order to Vacate Cease and Desist Order
Tuesday, November 27, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Ken Howe - Order to Vacate Cease and Desist Order
Tuesday, November 27, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Mark Couper - Order to Vacate Cease and Desist Order
Tuesday, November 27, 2001
Categories: Enforcement ActionsLearn2Distribution.com, Inc., Sean Correia - Cease and Desist Order
Monday, November 19, 2001
Categories: Enforcement ActionsMarion Bass Securities Corporation - Order to Revoke the Dealer Registration
Wednesday, November 14, 2001
Categories: Enforcement ActionsL. H. Ross & Co., Inc. - Proposed Order to Refuse Dealer Registration
Monday, November 12, 2001
Categories: Enforcement ActionsMarion Bass Securities Corporation - Order for Summary Suspension of the Dealer Registration
Friday, October 5, 2001
Categories: Enforcement ActionsDig-It Underground, Inc. - Consent Order
Wednesday, September 26, 2001
Categories: Enforcement ActionsEffective Sport Nutrition Corporation - Consent Order
Wednesday, September 26, 2001
Categories: Enforcement ActionsRiverside RV Rentals, Inc. - Consent Order
Wednesday, September 26, 2001
Categories: Enforcement ActionsViper Acquisition, LLC - Consent Order
Wednesday, September 26, 2001
Categories: Enforcement ActionsAdvanced Technology Feasibility Group, LLC, Bruce W. Anderson , Rodney Anderson - Order to Vacate Cease and Desist Order
Tuesday, August 28, 2001
Categories: Enforcement ActionsValley Honey Company, LLC, Kirschman, Rodney, Anderson, Rodney - Consent Order
Tuesday, August 28, 2001
Categories: Enforcement ActionsInfinity Mining Venture, Inc., Maxum Investors Group, Gerald Coffman, Jasmer Shokar (Jimmy), Surjit S. Shokar (Steve), Andrew W. Lawrence - Cease and Desist Order
Tuesday, August 28, 2001
Categories: Enforcement ActionsAlberta Diamondfields, Inc., Gerpal S. Shokar , Angel Hung, Once Again Resale for Men & Women, David K. Gramlich, Maxum Investors Group - Cease and Desist Order
Tuesday, August 28, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Ryer, Kenneth - Civil Penalty
Monday, August 6, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Velazques, Tracy - Civil Penalty
Monday, August 6, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., David Martin, Kay Martin - Civil Penalty
Monday, August 6, 2001
Categories: Enforcement ActionsMarion Bass Securities Corporation - Suspension--Proposed Order to Revoke
Sunday, August 5, 2001
Categories: Enforcement ActionsValley Honey Company, LLC, Rodney Kirschman, Rodney Anderson - Cease and Desist Order
Tuesday, July 31, 2001
Categories: Enforcement ActionsAdvanced Technology Feasibility Group, LLC, Bruce W. Anderson, Rodney Anderson - Cease and Desist Order
Tuesday, July 31, 2001
Categories: Enforcement ActionsBrokerageAmerica, Inc. - Cease and Desist Order
Monday, July 23, 2001
Categories: Enforcement ActionsProvision, Inc., Provision, LLC, Randy Templeton, David Betting, Darla Betting - Cease and Desist Order
Thursday, July 12, 2001
Categories: Enforcement ActionsAccord Insurance Co, Ltd., Carr, Graham, Wingham, Leslie, Wharram, Dominic - Consent Order
Friday, June 22, 2001
Categories: Enforcement ActionsK-Ram Industries, Robert Pagan - Desist and Refrain Order
Monday, June 4, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Morey, Michael - Consent Order
Thursday, May 17, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Renfandt, Scott -
Tuesday, May 15, 2001
Categories: Enforcement ActionsBison Capital, Inc., Medhus, Robert, Gugisberg, Peter, Fay, Brad, Larson, Christopher, Klubec, Christine - Agreement
Tuesday, May 15, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Tri-West Investment Club, Larry Eugene Slaubaugh - Cease and Desist Order
Monday, May 14, 2001
Categories: Enforcement ActionsTri-West Investment Club, Wesley Leroy Hiller - Cease and Desist Order
Monday, May 14, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Schatz, Jackie - Consent Order
Tuesday, May 8, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Elberg, Bev - Consent Order
Tuesday, May 8, 2001
Categories: Enforcement ActionsTrinity Financial Group, LLC - Cease and Desist Order
Tuesday, May 8, 2001
Categories: Enforcement ActionsUS Bancorp Piper Jaffray, Inc., Birmingham, Christopher - Consent Order
Tuesday, May 8, 2001
Categories: Enforcement ActionsAccord Insurance Co, Ltd., Graham Carr, Leslie Wingham, Dominic Wharram - Cease and Desist Order
Tuesday, April 24, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Richard L. Solberg - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Brian Henry - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Steve Tengesdal - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., David Martin, Kay Martin - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Galen Marsh - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Gerald Haskins - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Janene Haugen - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Ken Howe - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Kevin Martin - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Larry Borud - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Mark Couper - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Michael Hupka, Marlene Hupka - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Randy Bryans - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Bev Elberg - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Tracy Velazques - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Donald Marsh - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Eugene Zaderaka - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., James I. Miller Jr. - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Keith Pierson - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Leon Borud - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Mark Peterson - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Ron Stafford - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Soren Sorensen - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Tony Kaut - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Dennis Skarphol - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Gene Armstrong, Pat Armstrong - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Jackie Schatz - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Jess Welstad - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Kenneth Ryer - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Kyle Wurgler - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Larry Skiftun - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Mark Dostert - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Mitchell Keiser - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Rodney J. Duncklee - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Scott Renfandt - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Brian Snowden - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Todd Haskins - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Troy Borud - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Eric Maaske - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Gary Bryans - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Gerald Henry - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Kris Thorfinnson, Tana Thorfinnson - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Mike Morey - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Raymond Van Bockel - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsChase Investments, Ltd., Chase Investments of North America, Al Wilson - Cease and Desist Order
Monday, March 5, 2001
Categories: Enforcement ActionsSchulz, Arnold James a/k/a Jim Schulz - Agent Suspension - Proposed Revocation
Tuesday, January 30, 2001
Categories: Enforcement ActionsSchulz, Todd James - Agent Suspension - Proposed Revocation
Tuesday, January 30, 2001
Categories: Enforcement ActionsStar Search 2000, Inc. a/k/a Talent Search 2000, $1,000000 Talent Search, Inc., Shari Nelson - Cease and Desist Order
Tuesday, January 30, 2001
Categories: Enforcement ActionsGlobal Prosperity Group, The Global Leadership Council, The Institute of Global Prosperity, Dan Andersen, David Struckman, Zo LaMantia - Cease and Desist Order
Thursday, January 25, 2001
Categories: Enforcement ActionsArizona Capital Group, Inc., Pittman, Samuel - Consent Agreement
Thursday, January 25, 2001
Categories: Enforcement ActionsFrederick 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
Tuesday, January 9, 2001
Categories: Enforcement ActionsFrederick W. Keiser, Jr. - Cease and Desist Order
Thursday, January 4, 2001
Categories: Enforcement ActionsSchulz, Arnold James (Jim), Schulz, Todd James - Cease and Desist Order
Wednesday, December 6, 2000
Categories: Enforcement ActionsNew Life Technologies, Inc. - Civil Penalty
Tuesday, November 21, 2000
Categories: Enforcement ActionsUS Bancorp Piper Jaffray, Inc., Christopher Birmingham - Civil Penalty
Thursday, November 9, 2000
Categories: Enforcement ActionsNew England International Surety - Civil Penalty
Monday, November 6, 2000
Categories: Enforcement ActionsGrupo Inverso Rio Del Sol, Paul Enright, Kevin Mark Skow a/ka K. Mark Skow, Ronald Sparkman - Cease and Desist Order
Friday, November 3, 2000
Categories: Enforcement ActionsAdvantage 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
Tuesday, October 24, 2000
Categories: Enforcement ActionsJosephthal & Co., Inc., James Gus Oliver -
Thursday, October 19, 2000
Categories: Enforcement ActionsAlbemarle Investments, Limited, New Life Technologies, Inc., UPA, Inc., Mike Bierman, Todd Rooker, Patrick Alan Sanders, Stanley Schulman - Cease and Desist Order
Friday, October 6, 2000
Categories: Enforcement ActionsJoe Aguda, Aguda Financial Services, Inc. - Consent Order
Monday, July 31, 2000
Categories: Enforcement ActionsRagen MacKenzie Investment Services, Inc., Richard Lawrence, Philip Wimer - Consent Order
Friday, July 21, 2000
Categories: Enforcement ActionsPhoenix Telecom, L.L.C., Trinity Financial Group -
Tuesday, July 11, 2000
Categories: Enforcement ActionsPrivate 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
Tuesday, July 11, 2000
Categories: Enforcement ActionsBaxter, Banks & Smith, Ltd., Francis M. McDermott - Consent Order
Friday, June 16, 2000
Categories: Enforcement ActionsThe Bobwhite Company, Bob White - Cease and Desist Order
Thursday, May 25, 2000
Categories: Enforcement ActionsTorrey Pines Securities, Inc., Harvey G. Leason A/K/A Glen Leason - Consent Order
Wednesday, May 24, 2000
Categories: Enforcement ActionsJoe Aguda, Aguda Financial Services, Inc. - Civil Penalty
Wednesday, April 26, 2000
Categories: Enforcement ActionsEmily Water & Beverage Co., Inc. - Civil Penalty
Wednesday, April 26, 2000
Categories: Enforcement ActionsElmer Reiner, Swift Advisory & Consulting, Inc., The Institute of Learning a/k/a The Institute of Learning and Biblical Studies - Cease and Desist Order
Wednesday, April 26, 2000
Categories: Enforcement ActionsRick Wallace, Private Assets.com - Cease and Desist Order
Tuesday, April 25, 2000
Categories: Enforcement ActionsPhoenix Telecom, LLC, Trinity Financial Group - Cease and Desist Order
Friday, March 31, 2000
Categories: Enforcement ActionsLinsco Private Ledger Corp. - Consent Agreement
Friday, March 31, 2000
Categories: Enforcement ActionsJosephthal & Co., Inc., James Gus Oliver - Cease and Desist Order
Friday, March 3, 2000
Categories: Enforcement ActionsPeregrine Financials & Securities, Inc., Patrick Steven Jage - Consent Order
Friday, March 3, 2000
Categories: Enforcement ActionsEducate America Resource Network, Financial Planning Consultants, Gary E. Luckow, Scott W. Grant - Cease and Desist Order
Wednesday, March 1, 2000
Categories: Enforcement ActionsCharles Schwab & Co., Inc. - Consent Agreement
Monday, February 28, 2000
Categories: Enforcement ActionsEmily Water & Beverage Co., Inc. - Desist and Refrain Order
Monday, February 28, 2000
Categories: Enforcement ActionsCopeland Equities, Inc. - Consent Agreement
Monday, February 28, 2000
Categories: Enforcement ActionsCraig Brown, New England International Surety, Inc., Joe Aguda, Aguda Financial Services, Inc., - Cease and Desist Order
Wednesday, February 16, 2000
Categories: Enforcement ActionsBaxter, Banks & Smith, Mikhail S. Shklovsky, Oleg A. Feldman, Francis McDermott, Maurizio V. Grammatica, Kevin J. Ruggiero, John Does 1-3 - Civil Penalty
Tuesday, December 21, 1999
Categories: Enforcement ActionsESI, Rogers, Ralph W., III - Cease and Desist Order
Friday, December 10, 1999
Categories: Enforcement ActionsFriends N Freedom, Davis, Norma - Cease and Desist Order
Monday, November 29, 1999
Categories: Enforcement ActionsFriends N Freedom, Kirschman, Rodney, Kirschman, Judy - Cease and Desist Order
Monday, November 29, 1999
Categories: Enforcement ActionsFriends N Freedom, Hansen, Vernon, Hansen, Darlene - Cease and Desist Order
Monday, November 29, 1999
Categories: Enforcement ActionsFriends N Freedom, Hansen, Scott, Hansen, Becky - Cease and Desist Order
Monday, November 29, 1999
Categories: Enforcement ActionsFriends N Freedom, Davis, Ruth - Cease and Desist Order
Monday, November 29, 1999
Categories: Enforcement ActionsFriends N Freedom, LaVerne Zenker, Kay Zenker - Default Order
Monday, November 29, 1999
Categories: Enforcement ActionsBaxter, Banks & Smith, Mikhail S. Shklovsky, Oleg A. Feldman, Francis A. McDermott, Maurizio V. Grammatica, Kevin J. Ruggiero, John Does 1-3 - Administrative Complaint
Monday, November 1, 1999
Categories: Enforcement ActionsAttain Direct, Inc. f/k/a All-Tech Investment Group, Inc. - Proposed Order to Refuse Dealer Registration
Tuesday, October 19, 1999
Categories: Enforcement ActionsFordham Financial Management, Inc. - Denial of Application
Tuesday, October 19, 1999
Categories: Enforcement ActionsFriends N Freedom, Zenker, LaVerne, Zenker, Kay - Cease and Desist Order
Friday, September 3, 1999
Categories: Enforcement ActionsFriends N Freedom, LaVerne Zenker, Kay Zenker - Subpoena Duces Tecum
Friday, September 3, 1999
Categories: Enforcement ActionsAlliance Trust, Clifton Wilkinson - Civil Penalty
Tuesday, August 24, 1999
Categories: Enforcement ActionsBisys Brokerage Services, Inc. - Consent Order
Tuesday, August 24, 1999
Categories: Enforcement ActionsBaxter, Banks & Smith, Shklovsky, Michael, Feldman, Alec - Cease and Desist Order
Monday, August 16, 1999
Categories: Enforcement ActionsAlliance Trust, Integrowth Financial Group, Clifton Wilkinson, Steve Hiltbrand - Cease and Desist Order
Friday, July 23, 1999
Categories: Enforcement ActionsFordham Financial Management, Inc., Frank Patrick Marchione - Proposed Order to Refuse Dealer Registration
Thursday, July 22, 1999
Categories: Enforcement ActionsPopular Link, Jeff Cheng - Cease and Desist Order
Thursday, July 22, 1999
Categories: Enforcement ActionsBurt Bjur, New World International, a citizens group, Charles E. Thompson - Default Order
Wednesday, July 7, 1999
Categories: Enforcement ActionsDebt Management Club, Fair Tax, Renesa Leeds - Cease and Desist Order
Wednesday, July 7, 1999
Categories: Enforcement ActionsSantoro's Gourmet Foods, Inc. - Civil Penalty
Wednesday, July 7, 1999
Categories: Enforcement ActionsAlliance Trust, Clifton Wilkinson - Cease and Desist Order
Monday, June 28, 1999
Categories: Enforcement ActionsAgkota Holdings, Inc., International Joint Ventures Association, Preferred Home Loans, Founders Club, Inc., Verlin Swartzendruber, Terry Nitschke, Duane Moos, Norman Nitschke, William Ebele - Consent Order
Monday, June 28, 1999
Categories: Enforcement ActionsVerlin Swartzendurber - Notice of Default, Default Order
Monday, June 28, 1999
Categories: Enforcement ActionsNori, Hennion, Walsh, Inc., Jonathan N. Ponte - Consent Order
Friday, May 28, 1999
Categories: Enforcement ActionsAgkota 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
Friday, May 28, 1999
Categories: Enforcement ActionsAMS Financial Corporation, Allen Halstead - Cease and Desist Order
Monday, May 10, 1999
Categories: Enforcement ActionsAMS Financial Corp., Allen Halstead - Subpoena Duces Tecum
Monday, May 10, 1999
Categories: Enforcement ActionsEquity Securities Investments, Inc. - Consent Order
Thursday, April 29, 1999
Categories: Enforcement ActionsInternet Casino Sports Gaming - Civil Penalty
Monday, April 26, 1999
Categories: Enforcement ActionsThe Station Corporation, Wayne Southam, Tonya Southam - Cease and Desist Order
Monday, April 26, 1999
Categories: Enforcement ActionsFirst Fidelity Financial Corporation - Civil Penalty
Friday, April 16, 1999
Categories: Enforcement ActionsCalifornia Laser Company - Cease and Desist Order
Wednesday, March 31, 1999
Categories: Enforcement ActionsSantoro's Gourmet Foods, Inc., William G. Santoro - Cease and Desist Order
Monday, March 29, 1999
Categories: Enforcement ActionsFirst Fidelity Financial Corporation, Newport Financial Corporation, Exchange.Online, Inc., Bruce M. Follick - Cease and Desist Order
Monday, March 22, 1999
Categories: Enforcement ActionsFirst Financial Equity Corporation - Registration Agreement
Thursday, March 18, 1999
Categories: Enforcement ActionsMicrovision Systems Corporation, Interactive Acquisition Master, Inc., Camry Consulting Services, Inc., Millennium Networks, Inc., Steve Lehner, Michael Hammerschmidt - Cease and Desist Order
Wednesday, March 17, 1999
Categories: Enforcement ActionsLow Priced Stock Wealth - Notice of Civil Penalty
Monday, March 8, 1999
Categories: Enforcement ActionsKaizen International Consulting Corporation - Civil Penalty
Thursday, March 4, 1999
Categories: Enforcement ActionsRed River Dispatch, Inc., Billy Johnson - Cease and Desist Order
Monday, March 1, 1999
Categories: Enforcement ActionsAmerican Investment Services, Inc., David R. Bjork - Consent Order
Friday, February 26, 1999
Categories: Enforcement ActionsPublic Communication Services, Inc. - Civil Penalty
Wednesday, January 20, 1999
Categories: Enforcement ActionsNew World International, a citizens group, Charles E. Thompson - Cease and Desist Order
Wednesday, January 20, 1999
Categories: Enforcement ActionsLow Priced Stock Wealth, David Johnson - Cease and Desist Order
Wednesday, January 20, 1999
Categories: Enforcement ActionsMagnum Petroleum, Inc. - Notice of Civil Penalty
Wednesday, January 20, 1999
Categories: Enforcement ActionsPapa 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
Monday, January 18, 1999
Categories: Enforcement ActionsPentad Securities, Inc., Warren B. True - Consent Order
Monday, January 4, 1999
Categories: Enforcement ActionsBuckhorn Financial Services, Inc - Notice of Civil Penalty
Wednesday, December 30, 1998
Categories: Enforcement ActionsJoseph K. Hilyard - Notice of Civil Penalty
Wednesday, December 30, 1998
Categories: Enforcement ActionsSafe Keeping, Inc. - Notice of Civil Penalty
Wednesday, December 30, 1998
Categories: Enforcement ActionsMichael Lee Mathis - Notice of Civil Penalty
Wednesday, December 30, 1998
Categories: Enforcement ActionsCreative Capital Management Corporation - Consent Order
Monday, December 28, 1998
Categories: Enforcement ActionsMcDowell International, Incorporated of Washington, McDowell Industries, Northern Plains Agriculture, Incorporated, Agsources, Incorporated, Matthew McDowell - Cease and Desist Order
Tuesday, December 22, 1998
Categories: Enforcement ActionsState Farm VP Management Corp. - Consent Order
Tuesday, December 8, 1998
Categories: Enforcement ActionsCommonwealth Capital Group, Inc., Octet Communications Corp., Albert Faivush - Consent Order
Friday, December 4, 1998
Categories: Enforcement ActionsArgent Securities, Inc. - Proposed Order to Refuse Dealer Registration
Monday, November 2, 1998
Categories: Enforcement ActionsPublic Communications Services, Inc., Lon Finkelstein, Sharon Malkin - Cease and Desist Order
Wednesday, September 23, 1998
Categories: Enforcement ActionsTri State Innkeepers, Inc., Venture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order
Monday, August 24, 1998
Categories: Enforcement ActionsWash n Shine Inc., Venture Funding Group Inc., Thomas R. Meinders - Cease and Desist Order
Monday, August 24, 1998
Categories: Enforcement ActionsMeternet Corporation, Venture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order
Monday, August 24, 1998
Categories: Enforcement ActionsFuture Tech Developments, Inc., Venture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order
Monday, August 24, 1998
Categories: Enforcement ActionsUpward Industries, Inc., Venture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order
Monday, August 24, 1998
Categories: Enforcement ActionsVenture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order
Monday, August 24, 1998
Categories: Enforcement ActionsCapital Management International, Ltd., Ronald Ratoff - Cease and Desist Order
Friday, July 24, 1998
Categories: Enforcement ActionsPapa 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
Thursday, July 23, 1998
Categories: Enforcement ActionsAmerican Investment Services, Inc., David R. Bjork - Notice of Civil Penalty
Thursday, July 23, 1998
Categories: Enforcement ActionsBuckhorn Financial Services, Inc., SafeKeeping, Inc. - Cease and Desist Order
Wednesday, July 1, 1998
Categories: Enforcement ActionsForeign Currency International - Cease and Desist Order
Friday, June 26, 1998
Categories: Enforcement ActionsThe Piddler International Downline Building Co-op, The Sharing Funds Foundation, Eugene Henley - Cease and Desist Order
Tuesday, June 23, 1998
Categories: Enforcement ActionsInternet Casino Sports Gaming, LLC, Denis M. Benson - Cease and Desist Order
Monday, June 8, 1998
Categories: Enforcement ActionsHJB, Inc., Dakota Utilities, Inc., Gerold Busche, Craig Dallman, Ron Thompson, Lee Schobinger, Shirley Prigge, Loraine Zuber - Cease and Desist Order
Thursday, May 7, 1998
Categories: Enforcement ActionsAgKota 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
Wednesday, April 22, 1998
Categories: Enforcement ActionsGlobal Prosperity Group, The Global Leadership Council, Larry Gabel, John Hoffman, B. J. Bishop - Cease and Desist Order
Monday, April 20, 1998
Categories: Enforcement ActionsGlobal Prosperity Group, Global Leadership Council, Paul Whealy - Cease and Desist Order
Friday, April 17, 1998
Categories: Enforcement ActionsThe Gold Lead Pool , A-Z Systems, Alexei Zoubov, Julie Frahm, Richard Frahm - Cease and Desist Order
Tuesday, April 7, 1998
Categories: Enforcement ActionsGlobal Prosperity Group, Global Leadership Council, Dave Lozier, Cindy Lozier, Elizabeth Riley, Dael A. Chapman, Shoshanna Szuch, Jeff Eichinger, Ione Weatherby - Cease and Desist Order
Friday, April 3, 1998
Categories: Enforcement ActionsFor Champions Only, The Winner's Circle, Tom Kincaid - Cease and Desist Order
Tuesday, March 24, 1998
Categories: Enforcement ActionsThe Piddler International Downline Building Co-Op, The Sharing Funds Foundation, Eugene Henley, Frank Molonar, Ronald Readling - Cease and Desist Order
Wednesday, March 11, 1998
Categories: Enforcement ActionsProsper International League, Ltd., Prosper International, Ltd., Universal Marketing, Charles Miller - Cease and Desist Order
Friday, February 13, 1998
Categories: Enforcement ActionsMagnum Petroleum, Jerry Nichter - Cease and Desist Order
Tuesday, February 3, 1998
Categories: Enforcement ActionsTradeway Securities Group, Inc. - Consent Order
Wednesday, January 28, 1998
Categories: Enforcement ActionsTemper of the Times Communications, Inc. - Consent Order
Tuesday, December 9, 1997
Categories: Enforcement ActionsHarvey Senn, Lutheran Brotherhood Securities Corporation -
Friday, November 7, 1997
Categories: Enforcement ActionsInternational Benevolence Fund Trust, Frank R. Johnson - Cease and Desist Order
Wednesday, October 15, 1997
Categories: Enforcement ActionsECAP Financial Investment Banking, Inner Systems Industries, Inc., Marie Fortune, William Mueger - Cease and Desist Order
Friday, October 10, 1997
Categories: Enforcement ActionsCentex Securities, Inc. f/k/a La Jolla Securities Corporation, Bruce A. Biddick - Consent Order
Monday, October 6, 1997
Categories: Enforcement ActionsArrow Environmental Remediation Operations, Hank M. Kendrick - Cease and Desist Order
Monday, September 22, 1997
Categories: Enforcement ActionsThe Infinity Group Company, Geoff Benson - Cease and Desist Order
Friday, August 15, 1997
Categories: Enforcement ActionsMichael C. Parke, Michael C. Parke Management Services, Inc. - Findings of Fact, Conclusions of Law
Friday, July 25, 1997
Categories: Enforcement ActionsInvestment Management and Research, Inc., David Rothchild - Consent Order
Monday, July 21, 1997
Categories: Enforcement ActionsEleventh Hour, Inc., American Consolidated Growth Corporation, Norman L. Fisher, Gary Flater - Consent Order
Monday, July 21, 1997
Categories: Enforcement ActionsCentex Securities, Inc. f/k/a La Jolla Securities Corporation, Bruce A. Biddick - Order
Friday, May 16, 1997
Categories: Enforcement ActionsFinancial Advantage Brokerage Services, Inc., Bradley Wells, Bruce Hager - Consent Order
Thursday, April 17, 1997
Categories: Enforcement ActionsProsperity Unlimited Trust, Annette Cain - Cease and Desist Order
Monday, March 31, 1997
Categories: Enforcement ActionsLa Jolla Securities Corporation, Daniel Wood - Consent Order
Tuesday, March 18, 1997
Categories: Enforcement ActionsFinancial Advantage Brokerage Services, Inc., AISCO Holdings, Ltd. - Revocation of Exemption
Friday, March 7, 1997
Categories: Enforcement ActionsUSA Financial News, James Bartel - Consent Order
Monday, February 24, 1997
Categories: Enforcement ActionsEleventh Hour, Inc., American Consolidated Growth Corporation, Norman L. Fisher, Valerie Fisher, Gary Flater, Cory Copage -
Friday, February 7, 1997
Categories: Enforcement ActionsFact Gold Technologies Canada, Ltd., Gig International Resources, Inc., Richard Furrer, Ward Hughes, Phil Wilford, Steve Chan - Cease and Desist Order
Tuesday, January 21, 1997
Categories: Enforcement ActionsFurniture Medic Limited Partnership, Kevin Schmitcke -
Tuesday, January 14, 1997
Categories: Enforcement ActionsPrince Dr. Augustine Ayuba - Cease and Desist Order
Thursday, January 9, 1997
Categories: Enforcement ActionsInformation Processing Office - Order to Amend Cease and Desist
Tuesday, December 31, 1996
Categories: Enforcement ActionsKidztime TV, Dennis Johnson, Capital Funding and Financial Group, Inc. - Cease and Desist Order
Wednesday, December 18, 1996
Categories: Enforcement ActionsBob Ivensen, Sunward Club - Cease and Desist Order
Monday, December 9, 1996
Categories: Enforcement ActionsCelebrity Foods, Inc., Tri-Bradley Investments - Cease and Desist Order
Friday, November 29, 1996
Categories: Enforcement ActionsRaoul Brandt, Royal Crown Corporation, American Investment Services, Inc., Brandt Brokerage House - Cease and Desist Order
Friday, November 15, 1996
Categories: Enforcement ActionsDonald O. Atuegbu, Nigerian National Petroleum Corporation - Cease and Desist Order
Monday, October 21, 1996
Categories: Enforcement ActionsNigerian National Petroleum Corporation, Central Bank of Nigeria, Alhaji D. Bayero - Cease and Desist Order
Monday, September 30, 1996
Categories: Enforcement ActionsFACT Companies, Richard Furrer, Janelle Furrer, Ward Hughes, Joseph M. Malloy, James Herbst, Darreld Kartes - Cease and Desist Order
Tuesday, September 24, 1996
Categories: Enforcement ActionsInformation Processing Office - Cease and Desist Order
Wednesday, September 4, 1996
Categories: Enforcement ActionsMurchison Investment Bankers, Inc., Burll Dean Murchison, Richard Alan Murchison, James Roland Arnold, Lee Edward Burton -
Friday, June 14, 1996
Categories: Enforcement ActionsJoseph F. Desanto, Joseph Roberts & Co., Inc. - Revocation Order
Sunday, June 9, 1996
Categories: Enforcement ActionsA.G. Edwards & Sons, Inc., Cameron Erickson, Unitech Industries, Inc. - Order for Hearing
Saturday, June 8, 1996
Categories: Enforcement ActionsGary 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
Friday, May 31, 1996
Categories: Enforcement ActionsGary 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
Friday, May 31, 1996
Categories: Enforcement ActionsPremier Capital Investment, J.R. Munoz, Information Network Technology Partners III, Strategic Investor, Steven Harrell - Cease and Desist Order
Wednesday, May 15, 1996
Categories: Enforcement ActionsDent Busters, Inc., Bill Tyson - Cease and Desist Order
Monday, May 13, 1996
Categories: Enforcement ActionsThe Ellis Group, Frank Ellis, CEO - Cease and Desist Order
Monday, May 13, 1996
Categories: Enforcement ActionsU. S. Wireless, Mark Silberman, Harry Kaiser, Sheldon Ziskind - Order to Cancel Hearing
Friday, May 10, 1996
Categories: Enforcement ActionsU. S. Wireless, Mark Silberman, Harry Kaiser, Sheldon Ziskind - Consent Order
Thursday, May 9, 1996
Categories: Enforcement ActionsMerrill Lynch, John D. McCroskey - Notice of Right to Request Hearing
Monday, May 6, 1996
Categories: Enforcement ActionsMerrill Lynch, John D. McCroskey - Order for Hearing
Monday, May 6, 1996
Categories: Enforcement ActionsCentral Bank of Nigeria, Dr. O. Chimezie - Cease and Desist Order
Tuesday, April 30, 1996
Categories: Enforcement ActionsZ3 Capital Holding Corporation, Stella Bella Corporation USA, Jack Broberg, Mark Scialdone, Becky Pepper, Steven Zubkis, Marcus O'Neal - Cease and Desist Order
Wednesday, April 24, 1996
Categories: Enforcement ActionsEngineer Sunday Bari Saro Wiwa - Cease and Desist Order
Thursday, April 18, 1996
Categories: Enforcement ActionsTrans-American Ostrich Traders, Inc. - Cease and Desist Order
Monday, April 15, 1996
Categories: Enforcement ActionsNorfolk Securities Corp. - Proposed Order to Refuse Agent Registration
Friday, April 12, 1996
Categories: Enforcement ActionsRecomm International Display, Atel Business Credit, Finova Capital Corporation - Cease and Desist Order
Friday, April 12, 1996
Categories: Enforcement ActionsEleventh Hour, Inc., American Consolidated Growth Corporation - Order for Hearing
Friday, April 12, 1996
Categories: Enforcement ActionsEleventh Hour, Inc., American Consolidated Growth Corporation - Cease and Desist Order
Friday, April 12, 1996
Categories: Enforcement ActionsMurchison Investment Bankers, Inc., Burll Dean Murchison, Richard Alan Murchison, James Roland Arnold, Lee Edward Burton - Cease and Desist Order
Thursday, March 28, 1996
Categories: Enforcement ActionsGruntal & Co., Inc., Robert Goldstein - Order for Hearing
Thursday, March 21, 1996
Categories: Enforcement ActionsThe Oxford Club, James Boxley Cooke - Cease and Desist Order
Monday, March 18, 1996
Categories: Enforcement ActionsMelvin C. Klindt, Berean Non-Profit Corporation - Consent Order
Tuesday, June 6, 1995
Categories: Enforcement ActionsThe Principality of Hutt River Province - Cease and Desist Order
Monday, May 8, 1995
Categories: Enforcement ActionsCharleston Interactive Television Partners, Digital Interactive Associates, Inc., Carlo Anneke, an individual, Vikki Lucas, an individual - Cease and Desist Order
Tuesday, April 4, 1995
Categories: Enforcement ActionsGroup Dynamics Downline - Cease and Desist Order
Wednesday, March 15, 1995
Categories: Enforcement ActionsGold Unlimited, Inc., David Crowe, an individual, Martha Crowe, an individual - Cease and Desist Order
Friday, February 3, 1995
Categories: Enforcement ActionsNation Wide Wireless Corporation a/k/a NationWide Wireless Corporation, Philip Caratozzolo, Greater Columbia Basin Wireless Cable, LLC - Cease and Desist Order
Thursday, January 26, 1995
Categories: Enforcement ActionsAlhaji Jubril Umar - Cease and Desist Order
Tuesday, January 3, 1995
Categories: Enforcement ActionsQuarter 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
Thursday, October 27, 1994
Categories: Enforcement ActionsMetropolitan Mortgage & Securities Co., Inc. - Suspension Order
Monday, March 28, 1994
Categories: Enforcement ActionsFirst National Services, Marc A. Rona - Order for Hearing
Tuesday, February 22, 1994
Categories: Enforcement ActionsToluca Pacific Securities Corp. - Order for Hearing
Wednesday, February 16, 1994
Categories: Enforcement ActionsMid Valley Broadcasting, Inc., Charles Skip Rutledge, Jack Brush - Pre-Hearing Order
Monday, February 14, 1994
Categories: Enforcement ActionsBecki Anderson Warren, James W. Warren, Lawrence W. Warren -
Monday, February 14, 1994
Categories: Enforcement ActionsOfferman & Company, Inc., The Offerman Group, Inc. - Notice of Right to Request Hearing
Thursday, February 10, 1994
Categories: Enforcement ActionsBecki Anderson Warren, James W. Warren, Lawrence W. Warren - Notice of Right to Request Hearing
Thursday, February 10, 1994
Categories: Enforcement ActionsFirst National Services - Cease and Desist Order
Wednesday, February 2, 1994
Categories: Enforcement ActionsBecki Anderson Warren, James W. Warren, Lawrence W. Warren - Order for Hearing
Tuesday, February 1, 1994
Categories: Enforcement ActionsImage Financial Network, Ltd., Joel Freezon - Cease and Desist Order
Tuesday, January 25, 1994
Categories: Enforcement ActionsMarathon Financial Program a/k/a Marathon Marketing, Jim Phipps, Randy Fraley, Gerald G. McCarthy - Cease and Desist Order
Wednesday, December 29, 1993
Categories: Enforcement ActionsTelecom/Mobile Wireless Cable - Cease and Desist Order
Monday, December 27, 1993
Categories: Enforcement ActionsReading Wireless Cable - Cease and Desist Order
Monday, December 27, 1993
Categories: Enforcement ActionsTransAmerica Wireless Systems, Inc., TransAmerica Wireless Associates, Rod Weaver - Cease and Desist Order
Friday, December 10, 1993
Categories: Enforcement ActionsNortheast Telecom, Inc., 3rd Mobile of Central New York - Cease and Desist Order
Friday, December 10, 1993
Categories: Enforcement ActionsKingswood Associates, Inc., Mortek Corporation, Robert Button, Berry Mitchell - Cease and Desist Order
Friday, October 29, 1993
Categories: Enforcement ActionsContinental Wireless Cable Television Inc. - Cease and Desist Order
Friday, October 22, 1993
Categories: Enforcement ActionsJohn Sebastian Ragazzo, Geneva Companies - Cease and Desist Order
Wednesday, October 20, 1993
Categories: Enforcement ActionsRichard F. Pinnow, Liberty International Networking Company - Cease and Desist Order
Monday, October 4, 1993
Categories: Enforcement ActionsKenneth Finochiaro d/b/a Pre-cooked Pasta Company - Cease and Desist Order
Thursday, September 23, 1993
Categories: Enforcement ActionsTheodore N. Youngquist d/b/a Youngquist Mine Development & Consultation, Inc., Wind River Mining Project II - Cease and Desist Order
Wednesday, September 22, 1993
Categories: Enforcement ActionsUnited Communications Ltd., a Texas Limited Liability Company, Al J. Gauert - Cease and Desist Order
Monday, September 13, 1993
Categories: Enforcement ActionsBetty Aleshire, Great Western Communications, Int'l - Cease and Desist Order
Thursday, September 9, 1993
Categories: Enforcement ActionsSmart Industries, Inc., Life Crystals, Inc., Elliot Pierce - Cease and Desist Order
Tuesday, July 6, 1993
Categories: Enforcement ActionsKiowa Resources Inc., Robert Charles - Cease and Desist Order
Wednesday, May 19, 1993
Categories: Enforcement ActionsHealth Excellence, T. C. Fry - Cease and Desist Order
Monday, March 15, 1993
Categories: Enforcement ActionsBanner Fund International, Swiss Trade & Commerce Trust - Cease and Desist Order
Thursday, March 4, 1993
Categories: Enforcement ActionsCharles Edward Marean, Junior - Cease and Desist Order
Tuesday, May 19, 1992
Categories: Enforcement ActionsExpress Communications, Inc., Reliable Cellular Consultants - Cease and Desist Order
Tuesday, April 14, 1992
Categories: Enforcement ActionsWorldwide Treasure Bureau, Samuel E. Cox - Cease and Desist Order
Tuesday, April 14, 1992
Categories: Enforcement Actions1st Equity International, Richard Gould - Cease and Desist Order
Tuesday, April 14, 1992
Categories: Enforcement ActionsTrans-Global Trading Incorporated, Robert Bowin, Peter Greenwood - Cease and Desist Order
Wednesday, December 4, 1991
Categories: Enforcement ActionsEquity Estates Galleries, Inc., Alex Pierce - Cease and Desist Order
Wednesday, November 20, 1991
Categories: Enforcement ActionsReach Exploration, Inc., Warren Wellborn, Paul Webb, David Dolph - Cease and Desist Order
Wednesday, November 20, 1991
Categories: Enforcement ActionsMontague-Weston Associates Limited, Wayne Ford, J. Petersen - Cease and Desist Order
Friday, November 15, 1991
Categories: Enforcement ActionsProductions Plus, Priscilla J. Deters, Charles Chuck Crosby - Cease and Desist Order
Friday, November 1, 1991
Categories: Enforcement ActionsParagon International Communications, Inc., Buzz Gossage, C. B. Miller - Cease and Desist Order
Thursday, October 10, 1991
Categories: Enforcement ActionsCanOdi International, Inc., Donald S. Dalman - Cease and Desist Order
Monday, September 23, 1991
Categories: Enforcement ActionsFinancial Services Network, Paul Navestad - Cease and Desist Order
Friday, September 13, 1991
Categories: Enforcement ActionsRegency Collectibles, Inc., Bob Johnson, Jack Tischer - Cease and Desist Order
Friday, August 30, 1991
Categories: Enforcement ActionsEast-West Marketing, Inc., Vicki Capri, Arnold Winter, Thurston McKenzie - Cease and Desist Order
Friday, August 30, 1991
Categories: Enforcement ActionsImperial World Trade Exchange, Ryan Blake - Cease and Desist Order
Friday, August 30, 1991
Categories: Enforcement ActionsInternational Exchange Board, Gene Young, Michael Simon - Cease and Desist Order
Friday, August 30, 1991
Categories: Enforcement ActionsRatheal Companies, Rodney Ratheal, Stephen Mitchell - Cease and Desist Order
Wednesday, June 19, 1991
Categories: Enforcement ActionsRatheal Companies, Rodney Ratheal, Stephen Mitchell -
Friday, June 14, 1991
Categories: Enforcement ActionsMortgage Service Associates - Cease and Desist Order
Thursday, June 6, 1991
Categories: Enforcement ActionsRMC Enterprises, Ralph G. McCoy - Cease and Desist Order
Thursday, May 16, 1991
Categories: Enforcement ActionsThe Connoisseur of California - Cease and Desist Order
Thursday, January 10, 1991
Categories: Enforcement ActionsOPC and Associates - Cease and Desist Order
Wednesday, January 9, 1991
Categories: Enforcement ActionsFAX-9, Rene Boutin - Cease and Desist Order
Monday, November 26, 1990
Categories: Enforcement ActionsMCM Marketing, Inc., McElton Skaggs, Connie Mac Skaggs, Wayne Stone - Cease and Desist Order
Friday, November 9, 1990
Categories: Enforcement ActionsDonex Resources, Inc., Jerry Woods, Ken Poindexter, Douglas Brown - Cease and Desist Order
Thursday, October 18, 1990
Categories: Enforcement ActionsLABCO/ARBCO Electronics Inc., Robert Widner, Byrd Widner, Edward Widner, Gary Amos - Cease and Desist Order
Friday, September 21, 1990
Categories: Enforcement ActionsR. B. Marich & Co. Inc., Rudy Marich, Betty Jane Marich, Irving Hale, Robert L. Long -
Thursday, September 20, 1990
Categories: Enforcement ActionsR. B. Marich & Co. Inc., Rudy Marich, Betty Jane Marich, Irving Hale, Robert L. Long - Cease and Desist Order
Wednesday, September 12, 1990
Categories: Enforcement ActionsScorac, Incorporated DBA Verifiable Resources, Claud Lavender, J. Wayne Greer, James Fulkerson, Sam Furo - Cease and Desist Order
Tuesday, June 12, 1990
Categories: Enforcement ActionsJ. T. Moran & Co., Inc., Nicholas Mariniello, Peter Edward Bulger - Cease and Desist Order
Monday, April 30, 1990
Categories: Enforcement ActionsEFJ Funds, Emanuel Fettig - Cease and Desist Order
Friday, April 20, 1990
Categories: Enforcement ActionsVilla Petroleum Inc., Mack W. Knight III, Don Tatum, James L. Watts, C. W. Weaver - Cease and Desist Order
Sunday, April 1, 1990
Categories: Enforcement ActionsWestern Trading Group LTD, Sam Lessard, Richard Lindner, Mark Alexander - Cease and Desist Order
Wednesday, March 28, 1990
Categories: Enforcement ActionsIndependent Financial, Eric Guichet, Gary Lowenthal - Cease and Desist Order
Wednesday, March 28, 1990
Categories: Enforcement ActionsCarl's Furniture Barn, Carl H. Weisser - Cease and Desist Order
Friday, March 23, 1990
Categories: Enforcement ActionsThe Right Combination, Inc., Jim Silkwood, - Cease and Desist Order
Monday, March 19, 1990
Categories: Enforcement ActionsAmerican Gold Eagle, Inc., James H. Ridinger, - Cease and Desist Order
Monday, March 19, 1990
Categories: Enforcement ActionsAmerican Gold Eagle, Inc., James H. Ridinger - Cease and Desist Order
Monday, March 19, 1990
Categories: Enforcement ActionsThe Right Combination, Inc., Jim Silkwood - Cease and Desist Order
Thursday, March 1, 1990
Categories: Enforcement ActionsNatonal Communications Network, Pepper Isenhart - Cease and Desist Order
Friday, February 16, 1990
Categories: Enforcement ActionsTelevision Sales Corporation, Mark Glaser, Chris Abbott, Alan D. Mason - Cease and Desist Order
Monday, February 12, 1990
Categories: Enforcement ActionsNational Communications Network, Pepper Isenhart - Cease and Desist Order
Wednesday, February 7, 1990
Categories: Enforcement ActionsJunction Financial Corp., Stanley Black - Cease and Desist Order
Thursday, February 1, 1990
Categories: Enforcement ActionsConstitutional Communications, Inc., Stanley Weiner - Cease and Desist Order
Tuesday, January 16, 1990
Categories: Enforcement ActionsFor Assistance Contact:
Michael F. Daley, Deputy Commissioner / Attorney , Email Mike
Phone: (701) 328-4701, ND Toll Free (800) 297-5124