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National Sports Opportunity Partners LLC, a/k/a the trade name, National Sports Opportunity LLC, ICON Investment Group, LLC, Leftfield Development, LLC, and Michael Kuntz
Categories: Enforcement Actions
Cease and Desist Order, Notice of Civil Penalties, Order for Rescission, and Notice of Right to Request a Hearing
Jamieson Capital Financial, LLC, a North Dakota limited liability company, and Jeremy L. Carlson
Categories: Enforcement Actions
Findings of Fact, Conclusions of Law, Order to Summarily Suspend Investment Adviser Registration, Notice of Proposed Order to Revoke Investment Adviser Registration, Cease and Desist Order, Notice of Civil Penalties, Order for Rescission, Notice of Reservation of Commissioner's Authority to Amend Order, and Notice of Right to Request a Hearing
Jamieson CAPEX Fund, LLC, Jamieson Medical, LLC, Jamieson Natural Resources Fund, LLC, Nova DC, LLC, Secure Income Fund, LLC, Jamieson Legacy Fund, LLC, Mainstreet Investment Partners, LLC, National Sports Capital, LLC, and Jeremy L. Carlson
Categories: Enforcement Actions
Stop Order Summarily Suspending the Offer and Sale of Federal Covered Securities, Cease and Desist Order, Notice of Civil Penalties, and Notice of Right to Request a Hearing
Bankers Life and Casualty Company and BLC Financial Services, Inc. - Amendment to Consent Order
Categories: Enforcement Actions
Bio-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
Categories: Enforcement Actions
Fiduciary Investment Funds, Fiduciary Investment Services, LLC & Mark G. Wagner - Consent Order
Categories: Enforcement Actions
Union Bank Payment Coin, a/k/a UBPC, and its Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
CacheCoine Corp., and Harlen Lee Ellis - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing
Categories: Enforcement Actions
Life Cross Coin, a/k/a Lifecrosscoin GmbH, and its Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
Advertiza Holdings (Pty) Ltd, a South African registered company, and its Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
Crystal Token and its Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
Magma Foundation, a/k/a Magma Coin, a/k/a Magma, and their Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
Pension Rewards Platform, a/k/a Pension Rewards, and their Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
BitConnect LTD and BitConnect International PLC, United Kingdom limited companies, and their Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
FBD Ventures II, LLC, and Craig F. Wollenburg - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty
Categories: Enforcement Actions
Main Street Hospitality, LLC, and Robert Pagan - Consent to Entry of Order, Consent Order
Categories: Enforcement Actions
Main Street Hospitality, LLC, and Robert Pagan - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty
Categories: Enforcement Actions
H. Michael Hardy, RSE, Inc., and Hardy Management Group, LLC - Consent Order
Categories: Enforcement Actions
Elements Franchising, LLC and Christopher J. Palumbo - Desist and Refrain Order, Notice of Right to Request Hearing, Order for Civil Penalty
Categories: Enforcement Actions
Rash Enterprises, LLC, Taylor Rash, and Tom Doll - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty
Categories: Enforcement Actions
Susan L. Welo, Welo Wealth Management - Cease and Desist Order, Notice of Right to Request Hearing
Categories: Enforcement Actions
Douglas E. Arends - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing
Categories: Enforcement Actions
Kevin D. Wanner, Precision Financial Services, Questar Capital Corporation - Order to Revoke the Agent Registration
Categories: Enforcement Actions
Kevin D. Wanner, Precision Financial Services, Questar Capital Corporation - Proposed Order to Revoke Agent Registration, Cease and Desist Order, Order for Summary Suspension of the Agent Registration, Notice of Right to Request Hearing
Categories: Enforcement Actions
Halcyon Cabot Partners, Ltd. - Order to Revoke the Dealer Registration
Categories: Enforcement Actions
Halcyon Cabot Partners - Order to Revoke the Dealer Registration, Order for Summary Suspension of the Dealer Registration, Notice of Right to Request Hearing
Categories: Enforcement Actions
Paul De Bastos, North Dakota Bakken Connection, LLC - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing
Categories: Enforcement Actions
Panda Trucking, LLC, Daniel E. Jenkins - Consent to Entry of Order, Consent Order
Categories: Enforcement Actions
North Dakota Developments, LLC, Robert Lee Gavin, Daniel John Hogan - Cease and Desist Order, Notice of Right to Request Hearing
Categories: Enforcement Actions
Panda Trucking, LLC, Daniel E. Jenkins - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty
Categories: Enforcement Actions
Social Voucher.com, Inc., Gerald C. Parker - Consent to Entry of Order, Consent Order
Categories: Enforcement Actions
ATEL Securities Corporation - Consent to Entry of Order, Consent Order
Categories: Enforcement Actions
Midwest Gold Company, LLC, Kirk Scott Grace - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing
Categories: Enforcement Actions
Morgan Asset Management, Inc., Morgan Keegan & Company, Inc. - Consent to Entry of Order, Administrative Consent Order
Categories: Enforcement Actions
UBS Financial Services, Inc. - Consent to Entry of Order, Consent Order
Categories: Enforcement Actions
RBC Capital Markets, LLC - Consent to Entry of Order, Administrative Consent Order
Categories: Enforcement Actions
Edwin Brent Lundgren - Order to Summarily Postpone the Approval of Respon, Notice of Civil Penalty, Order Refusing Registration as an Agent, Order for Rescission, Notice of Right to Request Hearing
Categories: Enforcement Actions
Peachtree Partners, Ira J. Gaines - Stop Order Summarily Suspending the Offer and Sale, Notice of Right to Request Hearing
Categories: Enforcement Actions
Peachtree Partners, Ira J. Gaines - Order to Suspend Securities Registration, Notice of Right to Request Hearing
Categories: Enforcement Actions
Roman Novak, Radoslav Novak, Inter Reef Ltd., Profitable Sunrise - Cease and Desist Order, Notice of Civil Penalty, Order for Rescission, Notice of Right to Request Hearing
Categories: Enforcement Actions
Impact Energy, LLC, Eugene L. McArthur, Jr., Mike Ladue, Lynne Hanson - Consent Order
Categories: Enforcement Actions
Bankers Life and Casualty Company and BLC Financial Services, Inc. - Consent Order
Categories: Enforcement Actions
First Call Ventures, LLC d/b/a First Call Movers, Thomas M. White - Order to Vacate, Cease and Desist Order
Categories: Enforcement Actions
Caldwell International Securities Corporation - Consent Order, Consent to Entry of Order
Categories: Enforcement Actions
New Hi-Tech Oil & Gas Discoveries, LLC, Dennis W. Stutes - Stop Order Summarily Suspending the Offer and Sale
Categories: Enforcement Actions
Robert H. Medhus, RTM, Ltd., Medhus Company, Associated Financial Services, Inc. - Cease and Desist Order
Categories: Enforcement Actions
First Call Ventures, LLC d/b/a First Call Movers, Thomas M. White, Please see VACATED ORDER - Cease and Desist Order
Categories: Enforcement Actions
Hartford Equity Sales Company Inc., Craig H. Miller - Consent Order, Consent to Entry of Order
Categories: Enforcement Actions
Piper Jaffray & Co., Brady Vollmers - Consent Order, Consent to Entry of Order
Categories: Enforcement Actions
E*TRADE SECURITIES, LLC - Administrative Consent Order, Consent to Entry of Order
Categories: Enforcement Actions
Piper Jaffray & Co., Brady Vollmers - Order for and Notice of Civil Penalty
Categories: Enforcement Actions
Associated Financial Services, Inc. - Order to Revoke the Dealer Registration
Categories: Enforcement Actions
Ronald Dean Bennett d/b/a Ron Bennett Commercial Real Estate - Cease and Desist Order
Categories: Enforcement Actions
Associated Financial Services, Inc. - Order for Summary Suspension of the Dealer Registration
Categories: Enforcement Actions
Raymond James & Associates, Inc., Raymond James Financial Services, Inc. - Administrative Consent Order
Categories: Enforcement Actions
A. J. Balfour & Group, Inc., Joseph L. Allen - Cease and Desist Order
Categories: Enforcement Actions
Gibraltar Partners, Inc., Anthony John Johnson - Cease and Desist Order
Categories: Enforcement Actions
RAHFCO Management Group, LLC - Stop Order Summarily Suspending the Offer and Sale
Categories: Enforcement Actions
UBS Securities, LLC, UBS Financial Services Inc. - Administrative Consent Order
Categories: Enforcement Actions
Stifel, Nicolaus & Company, Incorporated , , - Administrative Consent Order
Categories: Enforcement Actions
James R. Bullis, Montgomery, Goff & Bullis, P.C. - Consent to Entry of Order, Consent Order
Categories: Enforcement Actions
Merrill Lynch, Pierce, Fenner & Smith Incorporated - Administrative Consent Order
Categories: Enforcement Actions
Banc of America Securities LLC, Banc of America Investment Services, Inc. - Administrative Consent Order
Categories: Enforcement Actions
Wachovia Securities, LLC, Wachovia Capital Markets, LLC - Administrative Consent Order
Categories: Enforcement Actions
Nicholas Alexander Smirnow aka Nick Smirnow, doing business under the Ontario registered Business Name P-2-P NETWORK - Cease and Desist Order
Categories: Enforcement Actions
Inland National Securities, Inc., David Theusch, Keith Theusch - Consent Order
Categories: Enforcement Actions
Larry M. Atkins, Atkins Brokerage Services, Inc., Retirement Planning Concepts, Inc., Retirement Income Planning, Inc., Retirement Navigation, Inc. - Order for Permanent Injunction
Categories: Enforcement Actions
Rothschild Investment Corporation, Paul E. Geringer, Christian P. Geringer - Consent Order
Categories: Enforcement Actions
True Investments Inc., Ty Olstad - Notice of Right to Request Hearing, Order for Civil Penalty
Categories: Enforcement Actions
Larry M. Atkins, Atkins Brokerage Services, Inc., Retirement Planning Concepts, Inc., Retirement Income Planning, Inc., Retirement Navigation, Inc. - Ex Parte Order for Preliminary Injunction
Categories: Enforcement Actions
Ashmore Family Foundation, a Minnesota Charitable Trust, Flint Ashmore, Monte R. Ashmore - Consent Order
Categories: Enforcement Actions
LAS International, Ltd., Neil Whittey, Syver Vinje (also see order on 6/19/07) - Stipulation for Amendment
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
First Union Securities, Inc., later known as Wachovia Securities, Inc., now known as Wachovia Securities, LLC - Consent Order
Categories: Enforcement Actions
LAS International, Ltd., Neil Whittey, Syver Vinje, (SEE JUNE 19TH CONSENT ORDER) -
Categories: Enforcement Actions
Americans for Lawful Financial Independence & Information, MY ICIS, Inc., Wayne Hicks, Lori Hicks - Cease and Desist Order
Categories: Enforcement Actions
IRAX International, LLC, Impact Industries International, LLC, Financial Planning Services, Inc., Bruce Anderson - Consent Order
Categories: Enforcement Actions
Berthel Fisher and Company Financial Services, Inc., Timothy Hayden - Consent Order
Categories: Enforcement Actions
Investment Centers of America, Inc., Larry A. Fust - Consent Agreement
Categories: Enforcement Actions
David A. Skjerven, Skjerven Financial Services - Cease and Desist Order
Categories: Enforcement Actions
ProTrust Financial Group, Inc., ProTrust Management Group, Inc., Gordon B. Grigg - Cease and Desist Order
Categories: Enforcement Actions
Viper Acquisition, LLC, Mees Masonry Corp., Riverside RV Rentals, Inc., Dig-it Underground, Inc., R. Lang Construction, Inc., Calvin K. Mees, Wade J. Vogel - Cease and Desist Order
Categories: Enforcement Actions
James R. Bullis, Montgomery, Goff & Bullis, P.C. - Cease and Desist Order
Categories: Enforcement Actions
Harmony Consultants, Inc., Conejo Valley Consultants, Inc., Mel Rosoff a/k/a Mel Fields - Cease and Desist Order
Categories: Enforcement Actions
Kea-Watt and Associates, Ltd., Joseph Henry Kalina, Larry Gene Kalina, Terry Wanless - Cease and Desist Order
Categories: Enforcement Actions
A. G. Edwards & Sons, Inc., Daniel M. Schmidt - Notice of Civil Penalty
Categories: Enforcement Actions
Government Benefit Services, Glen W. Finley, Jr. - Cease and Desist Order
Categories: Enforcement Actions
Schwartz Investment Management Company, James Schwartz - Consent Order
Categories: Enforcement Actions
Integrity Mutual Funds, Inc. f/k/a ND Holdings, Inc., ND Capital Inc., Robert E. Walstad - Order to Vacate Notice of Civil Penalty
Categories: Enforcement Actions
Integrity Mutual Funds, Inc. f/k/a ND Holdings, Inc., ND Capital, Inc., Robert E. Walstad - Undertaking
Categories: Enforcement Actions
Third Ridge Capital, LP, Third Ridge Capital Partners, LLC, Edward Neugeboren, Keith Barksdale - Agreement
Categories: Enforcement Actions
Bison Capital Management, LLC - Proposed Order to Refuse Investment Advisor Registration
Categories: Enforcement Actions
L. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
IRAX International, LLC, Financial Planning Services, Inc., Bruce Anderson, Rodney Kirschmann - Cease and Desist Order
Categories: Enforcement Actions
Impact Industries International, LLC, Financial Planning Services, Inc., Bruce Anderson, Rodney Kirschmann - Cease and Desist Order
Categories: Enforcement Actions
Investment Advisory Services, Thomas H. Marsden - Notice of Civil Penalty
Categories: Enforcement Actions
L. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker - Consent Order
Categories: Enforcement Actions
Ross Owen Haugen - Order for Summary Suspension of the Investment Advisor Registration
Categories: Enforcement Actions
Berthel, Fisher & Company Financial Services, Inc., Lawrence W. Warren - Consent Order
Categories: Enforcement Actions
Preferred Trust and Management, LTD, Thomas Deschamp - Consent Order
Categories: Enforcement Actions
The (Wilson) Williams Financial Group, Inc., Sidney Mondschein - Undertaking and Agreement
Categories: Enforcement Actions
Integrity Mutual Funds, Inc., ND Capital, Inc., Robert E. Walstad - Notice of Civil Penalty
Categories: Enforcement Actions
L. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker -
Categories: Enforcement Actions
Preferred Trust and Management, LTD, Larry Borud - Findings of Fact, Conclusions of Law
Categories: Enforcement Actions
Preferred Trust and Management, LTD, Mark Dostert - Findings of Fact, Conclusions of Law
Categories: Enforcement Actions
Preferred Trust and Management, LTD, Ron Stafford - 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, Tony Kautt - Findings of Fact, Conclusions of Law
Categories: Enforcement Actions
Preferred Trust and Management, LTD, Todd Haskins - Findings of Fact, Conclusions of Law
Categories: Enforcement Actions
West East Developments, Inc., Webster Crown - Cease and Desist Order, Notice of Civil Penalty
Categories: Enforcement Actions
EuroBond Fidelity, Ltd. - Cease and Desist Order, Notice of Civil Penalty
Categories: Enforcement Actions
D & M Capital, LLC, Associated Financial Services, Inc. - Consent Agreement
Categories: Enforcement Actions
American Dream Systems, Inc., Coupon Connection of America, Inc. - Consent Order
Categories: Enforcement Actions
Preferred Trust and Management, Ltd., Dennis Skarphol - Consent Order
Categories: Enforcement Actions
Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. - Consent Order
Categories: Enforcement Actions
Preferred Trust and Management, LTD, Mitchell Keiser - Consent Order
Categories: Enforcement Actions
Microvision Systems Corporation, Interactive Acquisition Master, Inc., Camry Consulting Services, Inc., Steve Lehner, Michael Hammerschmidt -
Categories: Enforcement Actions
Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation - Administrative Consent Order
Categories: Enforcement Actions
Preferred Trust and Management, LTD, Kris & Tana Thorfinnson - Consent Order
Categories: Enforcement Actions
UBS Warburg LLC, UBS PaineWebber Inc. - Administrative Consent Order
Categories: Enforcement Actions
Possible Technologies, Inc. , A/k/A The Right Reason, Treacy Duerfeld -
Categories: Enforcement Actions
L. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker - Cease and Desist Order
Categories: Enforcement Actions
Grainline.com, Inc., Scott D. Olson, Kent Sortland - Cease and Desist Order
Categories: Enforcement Actions
CGF Securities, LLC - Order for Summary Suspension of the Dealer Registration
Categories: Enforcement Actions
Alliance Care, Inc., CGF Securities, LLC, Ross Owen Huagen - Consent Order
Categories: Enforcement Actions
Preferred Trust and Management, LTD., Richard L. Solberg - Consent Agreement
Categories: Enforcement Actions
Select Electronic Devices, Inc., VOIP Communications, Inc., Kent Johanneson a/k/a W. K. Johanneson, David Ludwick - Cease and Desist Order
Categories: Enforcement Actions
Leafhead Consultants, Inc., Media Info Fund, LTD, Arthur Martiney - Cease and Desist Order
Categories: Enforcement Actions
Camry Investment Services, Inc., Nathanson Investment Trust Account, Colin Nathanson, James Armstrong, Sheila R. Green - Cease and Desist Order
Categories: Enforcement Actions
American Dream Systems, Inc., Coupon Connection of America, Inc. - Desist and Refrain Order
Categories: Enforcement Actions
Preferred Trust and Management, Ltd., Steve Tengesdal - Consent Order
Categories: Enforcement Actions
Alliance Care, Inc., CGF Securities, LLC, Ross Owen Haugen - Cease and Desist Order
Categories: Enforcement Actions
Seed International Limited, Ocean International Marketing, Sam Howard, Hakki Kupper - Cease and Desist Order
Categories: Enforcement Actions
Capital Growth Real Estate Partners of Miami, LLC, CGF Securities, LLC, Ross Owen Haugen - Consent Order
Categories: Enforcement Actions
Craig F. Wollenburg, SPF Energy, Inc. - Order to Suspend Agent Registration
Categories: Enforcement Actions
Fegen & Associates, Legend Mobile f/k/a PTN Media, Inc., Nicholas A. Fegen, Peter C. Klamka - Cease and Desist Order
Categories: Enforcement Actions
Capital Growth Real Estate Partners of Miami, LLC, Ross O. Haugen, CGF Securities, LLC - Cease and Desist Order
Categories: Enforcement Actions
MDVIP, Inc., Ross O. Haugen, CGF Securities, LLC - Cease and Desist Order
Categories: Enforcement Actions
American Capital Corporation, Ross O. Haugen - Cease and Desist Order
Categories: Enforcement Actions
Buck TV.Com, Inc., BuckBuilders.com, Inc., BK.com, Inc., MyFreeBingo.com, Inc., Schematic Cash Transactions Network.com, Inc., American Venture Trust, Larry E. Hunter, Bry Behrmann - Cease and Desist Order
Categories: Enforcement Actions
Forex Capital Group, LLC, Alaron FX, John Normanton - Cease and Desist Order
Categories: Enforcement Actions
St. Clare Film Fund Capital Corporation, St. Paul Film Fund, Guadalupe Film Committee, Onesimus Production, Inc., Stephen A. Jones, Debbie Cartier - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust and Management, LTD, Eugene Zaderaka - Consent Order
Categories: Enforcement Actions
American Investment Services, Inc. - Proposed Order to Revoke Agent Registration
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Janene Haugen - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
American Investment Services, Inc. - Order to Amend Order for Rescission
Categories: Enforcement Actions
Telecom Action Entertainment, William Marlin & Co., Marlin, William B., Davis, William, Anthony, Dave - Cease and Desist Order
Categories: Enforcement Actions
Highbury Capital, Inc., Inner Technologies Corp, Howard, Scott N., Hoyt, Jeffrey C., Stogner, Ron - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Raymond Van Bockel - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Brian Snowden - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Eric Maaske - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Ken Howe - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Mark Couper - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Kenneth Ryer - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Kyle Wurgler - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Soren Sorenson - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Gene Armstrong, Pat Armstrong - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Marion Bass Securities Corporation - Order to Revoke the Dealer Registration
Categories: Enforcement Actions
L. H. Ross & Co., Inc. - Proposed Order to Refuse Dealer Registration
Categories: Enforcement Actions
Marion Bass Securities Corporation - Order for Summary Suspension of the Dealer Registration
Categories: Enforcement Actions
Advanced Technology Feasibility Group, LLC, Bruce W. Anderson , Rodney Anderson - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Infinity Mining Venture, Inc., Maxum Investors Group, Gerald Coffman, Jasmer Shokar (Jimmy), Surjit S. Shokar (Steve), Andrew W. Lawrence - Cease and Desist Order
Categories: Enforcement Actions
Valley Honey Company, LLC, Kirschman, Rodney, Anderson, Rodney - Consent Order
Categories: Enforcement Actions
Alberta Diamondfields, Inc., Gerpal S. Shokar , Angel Hung, Once Again Resale for Men & Women, David K. Gramlich, Maxum Investors Group - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Velazques, Tracy - Civil Penalty
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., David Martin, Kay Martin - Civil Penalty
Categories: Enforcement Actions
Marion Bass Securities Corporation - Suspension--Proposed Order to Revoke
Categories: Enforcement Actions
Advanced Technology Feasibility Group, LLC, Bruce W. Anderson, Rodney Anderson - Cease and Desist Order
Categories: Enforcement Actions
Valley Honey Company, LLC, Rodney Kirschman, Rodney Anderson - Cease and Desist Order
Categories: Enforcement Actions
Provision, Inc., Provision, LLC, Randy Templeton, David Betting, Darla Betting - Cease and Desist Order
Categories: Enforcement Actions
Accord Insurance Co, Ltd., Carr, Graham, Wingham, Leslie, Wharram, Dominic - Consent Order
Categories: Enforcement Actions
Bison Capital, Inc., Medhus, Robert, Gugisberg, Peter, Fay, Brad, Larson, Christopher, Klubec, Christine - Agreement
Categories: Enforcement Actions
Tri-West Investment Club, Wesley Leroy Hiller - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Tri-West Investment Club, Larry Eugene Slaubaugh - Cease and Desist Order
Categories: Enforcement Actions
US Bancorp Piper Jaffray, Inc., Birmingham, Christopher - Consent Order
Categories: Enforcement Actions
Accord Insurance Co, Ltd., Graham Carr, Leslie Wingham, Dominic Wharram - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., 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
Preferred Trust & Management, Ltd., Jess Welstad - 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., 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., Janene Haugen - 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., James I. Miller Jr. - Cease and Desist Order
Categories: Enforcement Actions
Chase Investments, Ltd., Chase Investments of North America, Al Wilson - Cease and Desist Order
Categories: Enforcement Actions
Schulz, Arnold James a/k/a Jim Schulz - Agent Suspension - Proposed Revocation
Categories: Enforcement Actions
Star Search 2000, Inc. a/k/a Talent Search 2000, $1,000000 Talent Search, Inc., Shari Nelson - Cease and Desist Order
Categories: Enforcement Actions
Global Prosperity Group, The Global Leadership Council, The Institute of Global Prosperity, Dan Andersen, David Struckman, Zo LaMantia - Cease and Desist Order
Categories: Enforcement Actions
Frederick Wayne Keiser, Jr., Etoile Keiser, Preferred Trust & Management, Ltd., Tactical Investments, Ltd., Nassau Investors Group, Ltd., Concord Investments, Ltd., Ideal Group a/k/a 1M Group, F & E Consulting, LLC - Cease and Desist Order
Categories: Enforcement Actions
Schulz, Arnold James (Jim), Schulz, Todd James - Cease and Desist Order
Categories: Enforcement Actions
US Bancorp Piper Jaffray, Inc., Christopher Birmingham - Civil Penalty
Categories: Enforcement Actions
Grupo Inverso Rio Del Sol, Paul Enright, Kevin Mark Skow a/ka K. Mark Skow, Ronald Sparkman - Cease and Desist Order
Categories: Enforcement Actions
Advantage International Marketing a/k/a The Tax People a/k/a Renaissance Designer Gallery Products, Inc., Lee Christianson, Phyllis Christianson, Michael C. Cooper, Kori Koepke, Larry R. Martin, John MacNaught, Roger E. Smith - Cease and Desist Order
Categories: Enforcement Actions
Albemarle Investments, Limited, New Life Technologies, Inc., UPA, Inc., Mike Bierman, Todd Rooker, Patrick Alan Sanders, Stanley Schulman - Cease and Desist Order
Categories: Enforcement Actions
Ragen MacKenzie Investment Services, Inc., Richard Lawrence, Philip Wimer - Consent Order
Categories: Enforcement Actions
Private Gifting, Sharing Equally, For Kids, Inc., Randy Bertsch, Betty Holzer, Daniel Reimche, Betty Wahl, Carl Lamm, Raymond Kotchian, Robin Stene, Kristy Keller, Gered Keller - Cease and Desist Order
Categories: Enforcement Actions
Torrey Pines Securities, Inc., Harvey G. Leason A/K/A Glen Leason - Consent Order
Categories: Enforcement Actions
Elmer Reiner, Swift Advisory & Consulting, Inc., The Institute of Learning a/k/a The Institute of Learning and Biblical Studies - Cease and Desist Order
Categories: Enforcement Actions
Phoenix Telecom, LLC, Trinity Financial Group - Cease and Desist Order
Categories: Enforcement Actions
Peregrine Financials & Securities, Inc., Patrick Steven Jage - Consent Order
Categories: Enforcement Actions
Educate America Resource Network, Financial Planning Consultants, Gary E. Luckow, Scott W. Grant - Cease and Desist Order
Categories: Enforcement Actions
Craig Brown, New England International Surety, Inc., Joe Aguda, Aguda Financial Services, Inc., - Cease and Desist Order
Categories: Enforcement Actions
Baxter, Banks & Smith, Mikhail S. Shklovsky, Oleg A. Feldman, Francis McDermott, Maurizio V. Grammatica, Kevin J. Ruggiero, John Does 1-3 - Civil Penalty
Categories: Enforcement Actions
Friends N Freedom, Hansen, Vernon, Hansen, Darlene - Cease and Desist Order
Categories: Enforcement Actions
Friends N Freedom, Hansen, Scott, Hansen, Becky - Cease and Desist Order
Categories: Enforcement Actions
Friends N Freedom, Kirschman, Rodney, Kirschman, Judy - Cease and Desist Order
Categories: Enforcement Actions
Baxter, Banks & Smith, Mikhail S. Shklovsky, Oleg A. Feldman, Francis A. McDermott, Maurizio V. Grammatica, Kevin J. Ruggiero, John Does 1-3 - Administrative Complaint
Categories: Enforcement Actions
Attain Direct, Inc. f/k/a All-Tech Investment Group, Inc. - Proposed Order to Refuse Dealer Registration
Categories: Enforcement Actions
Friends N Freedom, Zenker, LaVerne, Zenker, Kay - Cease and Desist Order
Categories: Enforcement Actions
Friends N Freedom, LaVerne Zenker, Kay Zenker - Subpoena Duces Tecum
Categories: Enforcement Actions
Baxter, Banks & Smith, Shklovsky, Michael, Feldman, Alec - Cease and Desist Order
Categories: Enforcement Actions
Alliance Trust, Integrowth Financial Group, Clifton Wilkinson, Steve Hiltbrand - Cease and Desist Order
Categories: Enforcement Actions
Fordham Financial Management, Inc., Frank Patrick Marchione - Proposed Order to Refuse Dealer Registration
Categories: Enforcement Actions
Burt Bjur, New World International, a citizens group, Charles E. Thompson - Default Order
Categories: Enforcement Actions
Debt Management Club, Fair Tax, Renesa Leeds - Cease and Desist Order
Categories: Enforcement Actions
Agkota Holdings, Inc., International Joint Ventures Association, Preferred Home Loans, Founders Club, Inc., Verlin Swartzendruber, Terry Nitschke, Duane Moos, Norman Nitschke, William Ebele - Consent Order
Categories: Enforcement Actions
Agkota Holdings, Inc., International Joint Ventures Association, Preferred Home Loans, Founder's Club, Inc., Verlin Swartzendruber, Terry Nitschke, Duane Moos, Norman Nitschke, William Ebele - Consent Order
Categories: Enforcement Actions
The Station Corporation, Wayne Southam, Tonya Southam - Cease and Desist Order
Categories: Enforcement Actions
Santoro's Gourmet Foods, Inc., William G. Santoro - Cease and Desist Order
Categories: Enforcement Actions
First Fidelity Financial Corporation, Newport Financial Corporation, Exchange.Online, Inc., Bruce M. Follick - Cease and Desist Order
Categories: Enforcement Actions
Microvision Systems Corporation, Interactive Acquisition Master, Inc., Camry Consulting Services, Inc., Millennium Networks, Inc., Steve Lehner, Michael Hammerschmidt - Cease and Desist Order
Categories: Enforcement Actions
New World International, a citizens group, Charles E. Thompson - Cease and Desist Order
Categories: Enforcement Actions
Papa Holdings, Inc., The Ponzu Companies, Inc., Jonathan C. Papa, Ramon C. Papa III, Thomas L. Anderson, David M. Beneake, Kourosh Saroole, David J. Naughton - Consent Order
Categories: Enforcement Actions
McDowell International, Incorporated of Washington, McDowell Industries, Northern Plains Agriculture, Incorporated, Agsources, Incorporated, Matthew McDowell - Cease and Desist Order
Categories: Enforcement Actions
Commonwealth Capital Group, Inc., Octet Communications Corp., Albert Faivush - Consent Order
Categories: Enforcement Actions
Argent Securities, Inc. - Proposed Order to Refuse Dealer Registration
Categories: Enforcement Actions
Public Communications Services, Inc., Lon Finkelstein, Sharon Malkin - Cease and Desist Order
Categories: Enforcement Actions
Wash n Shine Inc., Venture Funding Group Inc., Thomas R. Meinders - Cease and Desist Order
Categories: Enforcement Actions
Meternet Corporation, Venture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order
Categories: Enforcement Actions
Future Tech Developments, Inc., Venture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order
Categories: Enforcement Actions
Upward Industries, Inc., Venture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order
Categories: Enforcement Actions
Venture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order
Categories: Enforcement Actions
Tri State Innkeepers, Inc., Venture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order
Categories: Enforcement Actions
Capital Management International, Ltd., Ronald Ratoff - Cease and Desist Order
Categories: Enforcement Actions
American Investment Services, Inc., David R. Bjork - Notice of Civil Penalty
Categories: Enforcement Actions
Papa Holdings, Inc., The Ponzu Companies, Inc., Jonathan C. Papa, Ramon C. Papa III, Thomas L. Anderson, David M. Beneakem, Kourosh Saroole, David J. Naughton - Cease and Desist Order
Categories: Enforcement Actions
Buckhorn Financial Services, Inc., SafeKeeping, Inc. - Cease and Desist Order
Categories: Enforcement Actions
The Piddler International Downline Building Co-op, The Sharing Funds Foundation, Eugene Henley - Cease and Desist Order
Categories: Enforcement Actions
Internet Casino Sports Gaming, LLC, Denis M. Benson - Cease and Desist Order
Categories: Enforcement Actions
HJB, Inc., Dakota Utilities, Inc., Gerold Busche, Craig Dallman, Ron Thompson, Lee Schobinger, Shirley Prigge, Loraine Zuber - Cease and Desist Order
Categories: Enforcement Actions
AgKota Holdings, Inc., International Joint Ventures Association, Preferred Home Loans, Founder's Club, Inc., Verlin Swartzendruber, Terry Nitschke, Duane Moos, Norm Nitschke, William Ebele - Cease and Desist Order
Categories: Enforcement Actions
Global Prosperity Group, The Global Leadership Council, Larry Gabel, John Hoffman, B. J. Bishop - Cease and Desist Order
Categories: Enforcement Actions
Global Prosperity Group, Global Leadership Council, Paul Whealy - Cease and Desist Order
Categories: Enforcement Actions
The Gold Lead Pool , A-Z Systems, Alexei Zoubov, Julie Frahm, Richard Frahm - Cease and Desist Order
Categories: Enforcement Actions
Global Prosperity Group, Global Leadership Council, Dave Lozier, Cindy Lozier, Elizabeth Riley, Dael A. Chapman, Shoshanna Szuch, Jeff Eichinger, Ione Weatherby - Cease and Desist Order
Categories: Enforcement Actions
For Champions Only, The Winner's Circle, Tom Kincaid - Cease and Desist Order
Categories: Enforcement Actions
The Piddler International Downline Building Co-Op, The Sharing Funds Foundation, Eugene Henley, Frank Molonar, Ronald Readling - Cease and Desist Order
Categories: Enforcement Actions
Prosper International League, Ltd., Prosper International, Ltd., Universal Marketing, Charles Miller - Cease and Desist Order
Categories: Enforcement Actions
International Benevolence Fund Trust, Frank R. Johnson - Cease and Desist Order
Categories: Enforcement Actions
ECAP Financial Investment Banking, Inner Systems Industries, Inc., Marie Fortune, William Mueger - Cease and Desist Order
Categories: Enforcement Actions
Centex Securities, Inc. f/k/a La Jolla Securities Corporation, Bruce A. Biddick - Consent Order
Categories: Enforcement Actions
Arrow Environmental Remediation Operations, Hank M. Kendrick - Cease and Desist Order
Categories: Enforcement Actions
Michael C. Parke, Michael C. Parke Management Services, Inc. - Findings of Fact, Conclusions of Law
Categories: Enforcement Actions
Eleventh Hour, Inc., American Consolidated Growth Corporation, Norman L. Fisher, Gary Flater - Consent Order
Categories: Enforcement Actions
Investment Management and Research, Inc., David Rothchild - Consent Order
Categories: Enforcement Actions
Centex Securities, Inc. f/k/a La Jolla Securities Corporation, Bruce A. Biddick - Order
Categories: Enforcement Actions
Financial Advantage Brokerage Services, Inc., Bradley Wells, Bruce Hager - Consent Order
Categories: Enforcement Actions
Financial Advantage Brokerage Services, Inc., AISCO Holdings, Ltd. - Revocation of Exemption
Categories: Enforcement Actions
Eleventh Hour, Inc., American Consolidated Growth Corporation, Norman L. Fisher, Valerie Fisher, Gary Flater, Cory Copage -
Categories: Enforcement Actions
Fact Gold Technologies Canada, Ltd., Gig International Resources, Inc., Richard Furrer, Ward Hughes, Phil Wilford, Steve Chan - Cease and Desist Order
Categories: Enforcement Actions
Kidztime TV, Dennis Johnson, Capital Funding and Financial Group, Inc. - Cease and Desist Order
Categories: Enforcement Actions
Celebrity Foods, Inc., Tri-Bradley Investments - Cease and Desist Order
Categories: Enforcement Actions
Raoul Brandt, Royal Crown Corporation, American Investment Services, Inc., Brandt Brokerage House - Cease and Desist Order
Categories: Enforcement Actions
Donald O. Atuegbu, Nigerian National Petroleum Corporation - Cease and Desist Order
Categories: Enforcement Actions
Nigerian National Petroleum Corporation, Central Bank of Nigeria, Alhaji D. Bayero - Cease and Desist Order
Categories: Enforcement Actions
FACT Companies, Richard Furrer, Janelle Furrer, Ward Hughes, Joseph M. Malloy, James Herbst, Darreld Kartes - Cease and Desist Order
Categories: Enforcement Actions
Murchison Investment Bankers, Inc., Burll Dean Murchison, Richard Alan Murchison, James Roland Arnold, Lee Edward Burton -
Categories: Enforcement Actions
A.G. Edwards & Sons, Inc., Cameron Erickson, Unitech Industries, Inc. - Order for Hearing
Categories: Enforcement Actions
Gary Swernik, Dana Bersch a/k/a Frank Bersch, Boulder, Inc. d/b/a Yu-Chu's, Ed Foo Yung's Inc. a/k/a Ed Foo Yung's Ltd. - Notice of Right to Request Hearing
Categories: Enforcement Actions
Gary Swernik, Dana Bersch a/k/a Frank Bersch, Boulder, Inc. d/b/a Yu-Chu's, Ed Foo Yung's Inc. a/k/a Ed Foo Yung's Ltd. - Order for Hearing
Categories: Enforcement Actions
Premier Capital Investment, J.R. Munoz, Information Network Technology Partners III, Strategic Investor, Steven Harrell - Cease and Desist Order
Categories: Enforcement Actions
U. S. Wireless, Mark Silberman, Harry Kaiser, Sheldon Ziskind - Order to Cancel Hearing
Categories: Enforcement Actions
U. S. Wireless, Mark Silberman, Harry Kaiser, Sheldon Ziskind - Consent Order
Categories: Enforcement Actions
Merrill Lynch, John D. McCroskey - Notice of Right to Request Hearing
Categories: Enforcement Actions
Z3 Capital Holding Corporation, Stella Bella Corporation USA, Jack Broberg, Mark Scialdone, Becky Pepper, Steven Zubkis, Marcus O'Neal - Cease and Desist Order
Categories: Enforcement Actions
Eleventh Hour, Inc., American Consolidated Growth Corporation - Cease and Desist Order
Categories: Enforcement Actions
Recomm International Display, Atel Business Credit, Finova Capital Corporation - Cease and Desist Order
Categories: Enforcement Actions
Norfolk Securities Corp. - Proposed Order to Refuse Agent Registration
Categories: Enforcement Actions
Eleventh Hour, Inc., American Consolidated Growth Corporation - Order for Hearing
Categories: Enforcement Actions
Murchison Investment Bankers, Inc., Burll Dean Murchison, Richard Alan Murchison, James Roland Arnold, Lee Edward Burton - Cease and Desist Order
Categories: Enforcement Actions
Charleston Interactive Television Partners, Digital Interactive Associates, Inc., Carlo Anneke, an individual, Vikki Lucas, an individual - Cease and Desist Order
Categories: Enforcement Actions
Gold Unlimited, Inc., David Crowe, an individual, Martha Crowe, an individual - Cease and Desist Order
Categories: Enforcement Actions
Nation Wide Wireless Corporation a/k/a NationWide Wireless Corporation, Philip Caratozzolo, Greater Columbia Basin Wireless Cable, LLC - Cease and Desist Order
Categories: Enforcement Actions
Quarter Call, Inc., Glenn Kendall, Tom C. Yost, Robert J. DiToro, Robert P. Carrigan, Dan S. Webb, J.R. Munoz, Premier Capital Investments - Cease and Desist Order
Categories: Enforcement Actions
Mid Valley Broadcasting, Inc., Charles Skip Rutledge, Jack Brush - Pre-Hearing Order
Categories: Enforcement Actions
Offerman & Company, Inc., The Offerman Group, Inc. - Notice of Right to Request Hearing
Categories: Enforcement Actions
Becki Anderson Warren, James W. Warren, Lawrence W. Warren - Notice of Right to Request Hearing
Categories: Enforcement Actions
Becki Anderson Warren, James W. Warren, Lawrence W. Warren - Order for Hearing
Categories: Enforcement Actions
Image Financial Network, Ltd., Joel Freezon - Cease and Desist Order
Categories: Enforcement Actions
Marathon Financial Program a/k/a Marathon Marketing, Jim Phipps, Randy Fraley, Gerald G. McCarthy - Cease and Desist Order
Categories: Enforcement Actions
TransAmerica Wireless Systems, Inc., TransAmerica Wireless Associates, Rod Weaver - Cease and Desist Order
Categories: Enforcement Actions
Northeast Telecom, Inc., 3rd Mobile of Central New York - Cease and Desist Order
Categories: Enforcement Actions
Kingswood Associates, Inc., Mortek Corporation, Robert Button, Berry Mitchell - Cease and Desist Order
Categories: Enforcement Actions
Richard F. Pinnow, Liberty International Networking Company - Cease and Desist Order
Categories: Enforcement Actions
Kenneth Finochiaro d/b/a Pre-cooked Pasta Company - Cease and Desist Order
Categories: Enforcement Actions
Theodore N. Youngquist d/b/a Youngquist Mine Development & Consultation, Inc., Wind River Mining Project II - Cease and Desist Order
Categories: Enforcement Actions
United Communications Ltd., a Texas Limited Liability Company, Al J. Gauert - Cease and Desist Order
Categories: Enforcement Actions
Betty Aleshire, Great Western Communications, Int'l - Cease and Desist Order
Categories: Enforcement Actions
Smart Industries, Inc., Life Crystals, Inc., Elliot Pierce - Cease and Desist Order
Categories: Enforcement Actions
Banner Fund International, Swiss Trade & Commerce Trust - Cease and Desist Order
Categories: Enforcement Actions
Express Communications, Inc., Reliable Cellular Consultants - Cease and Desist Order
Categories: Enforcement Actions
Trans-Global Trading Incorporated, Robert Bowin, Peter Greenwood - Cease and Desist Order
Categories: Enforcement Actions
Equity Estates Galleries, Inc., Alex Pierce - Cease and Desist Order
Categories: Enforcement Actions
Reach Exploration, Inc., Warren Wellborn, Paul Webb, David Dolph - Cease and Desist Order
Categories: Enforcement Actions
Montague-Weston Associates Limited, Wayne Ford, J. Petersen - Cease and Desist Order
Categories: Enforcement Actions
Productions Plus, Priscilla J. Deters, Charles Chuck Crosby - Cease and Desist Order
Categories: Enforcement Actions
Paragon International Communications, Inc., Buzz Gossage, C. B. Miller - Cease and Desist Order
Categories: Enforcement Actions
CanOdi International, Inc., Donald S. Dalman - Cease and Desist Order
Categories: Enforcement Actions
East-West Marketing, Inc., Vicki Capri, Arnold Winter, Thurston McKenzie - Cease and Desist Order
Categories: Enforcement Actions
Regency Collectibles, Inc., Bob Johnson, Jack Tischer - Cease and Desist Order
Categories: Enforcement Actions
International Exchange Board, Gene Young, Michael Simon - Cease and Desist Order
Categories: Enforcement Actions
Ratheal Companies, Rodney Ratheal, Stephen Mitchell - Cease and Desist Order
Categories: Enforcement Actions
MCM Marketing, Inc., McElton Skaggs, Connie Mac Skaggs, Wayne Stone - Cease and Desist Order
Categories: Enforcement Actions
Donex Resources, Inc., Jerry Woods, Ken Poindexter, Douglas Brown - Cease and Desist Order
Categories: Enforcement Actions
LABCO/ARBCO Electronics Inc., Robert Widner, Byrd Widner, Edward Widner, Gary Amos - Cease and Desist Order
Categories: Enforcement Actions
R. B. Marich & Co. Inc., Rudy Marich, Betty Jane Marich, Irving Hale, Robert L. Long -
Categories: Enforcement Actions
R. B. Marich & Co. Inc., Rudy Marich, Betty Jane Marich, Irving Hale, Robert L. Long - Cease and Desist Order
Categories: Enforcement Actions
Scorac, Incorporated DBA Verifiable Resources, Claud Lavender, J. Wayne Greer, James Fulkerson, Sam Furo - Cease and Desist Order
Categories: Enforcement Actions
J. T. Moran & Co., Inc., Nicholas Mariniello, Peter Edward Bulger - Cease and Desist Order
Categories: Enforcement Actions
Villa Petroleum Inc., Mack W. Knight III, Don Tatum, James L. Watts, C. W. Weaver - Cease and Desist Order
Categories: Enforcement Actions
Western Trading Group LTD, Sam Lessard, Richard Lindner, Mark Alexander - Cease and Desist Order
Categories: Enforcement Actions
Independent Financial, Eric Guichet, Gary Lowenthal - Cease and Desist Order
Categories: Enforcement Actions
American Gold Eagle, Inc., James H. Ridinger, - Cease and Desist Order
Categories: Enforcement Actions
American Gold Eagle, Inc., James H. Ridinger - Cease and Desist Order
Categories: Enforcement Actions
Natonal Communications Network, Pepper Isenhart - Cease and Desist Order
Categories: Enforcement Actions
Television Sales Corporation, Mark Glaser, Chris Abbott, Alan D. Mason - Cease and Desist Order
Categories: Enforcement Actions
National Communications Network, Pepper Isenhart - Cease and Desist Order
Categories: Enforcement Actions
Constitutional Communications, Inc., Stanley Weiner - Cease and Desist Order
Categories: Enforcement Actions
News Limit
7
Medium
Medium
For Assistance Contact:
Michael F. Daley, Deputy Commissioner / Attorney , Email Mike
Phone: (701) 328-4701, ND Toll Free (800) 297-5124