Administrative Actions - 2003

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Order #

Date Issued Respondents Action Contact Case Number
CD-2003-001

 

01/29/2003 Robert Hammond Wilkins
Michael Murphy Russo
Steve Sample
Wesley Earl Yarbrough
Grady Roland Christian
Donald E. Graham
Autoutlet, Inc.
Compu-Filter, Inc.
Wilkins Management Group, Inc.
Reclaim southern Resources, Inc.
Russo & Associates
Arizona Escrow & Financial Corporation
Cease & Desist Reuben Redd S99-0128
CD-2003-002



 

OV-2003-002

02/05/2003



 

04/18/2003

Cherokee Energy Co., LLC
Martin Ray Twist
Forrest Hammond
Charles White
Paul Mueller

Cherokee Energy Co., LLC
Martin Ray Twist
Forrest Hammond
Charles White
Paul Mueller

Cease & Desist



 

Order To Vacate

David Williams
S03-0001
CD-2003-003 02/06/2003 William Pierre Crotts
Thomas Date Grabinski
Lawrence Dwain Hoover
Harold Dewayne Friend
Richard Lee Rolfes
Donald Dale Deardoff
Edgar Alan Kuhn
Jalma W. Hunsinger
Baptist Foundation of Arizona
Arizona Southern Baptist New Church
Ventures Inc.
Christian Financial Partners In.
Cease & Desist Rossi Peters S02-0021
OB-2003-004 02/28/2003 James K. Matter Order of Bar Steve Brantley S01-0181
CD-2003-005 03/03/2003 Foster Gas Corporation
Toby D. Mason
Thomas A. Lewis
Cease & Desist Kim Lewis S02-0206
CD-2003-006 03/06/2003 Charles Wadkins Cease & Desist Steve Brantley S02-0151
OB-2003-007 03/18/2003 Weddington Bishop Kelly Jr Order of Bar Kim Lewis S00-0331
CD-2003-008 04/17/2003 The Albert Schweitzer Society USA, Inc.
Harold R. Fetter
Francis P. Havey
JMJ Corporation, N.V. et al
Cease & Desist Reuben E. Redd S99-0198
CD-2003-009 04/17/2003 Iron Horse Petroleum, Inc.
AKA Iron Horse Petroleum
Eric Collins
Paul Willis
Thomas Labry
Cease & Desist Reuben Redd S01-0169
CO-2003-0010 04/24/2003 Lehman Brothers Inc. Consent Order
Addendum A
Ricky Locklar S02-0095
CD-2003-0011 06/06/2003 Trade Partners Inc.
Sojkara LLC
Christine M. Zmudka
Robert Seitters
John A Murphy
Cease & Desist David Williams S02-0117
CD-2003-0012 06/10/2003
















01/11/2006
Terry Harris
Patricia Monroe Toney
Hulbert Van R Barringer
Susan Diane Barringer
Anthony Talley Jr.
Networker200.com Inc.
aka:
Networker200
Wealth Builders International Investment Club
aka:
Wealth Builders International Investment Club Inc.
aka:
Infinity 200 Investment Group and Investment Club
N2K Investment Club

All Respondents
Cease & Desist
















Final Order - Failure to Respond
Rueben Redd S02-0205
OB-2003-0013 07/07/2003 Christian Negohosian Order of Bar Ricky Locklar S02-0197
CD-2003-0014 07/15/2003 Jed Philip Kaplan
Kaplan & Co. Securities, Inc.
Cease & Desist Jim Pugh S03-0097
CD-2003-0015 07/28/2003 LSI Regional Development
Center Investment
Dave McDaniel
Cease & Desist David Williams S03-0086
SC-2003-0016 08/01/2003 Gold Coast Securities Inc.
Tae P Ho
Show Cause Chris Young S03-0101
CD-2003-0017 08/20/2003 Life Time Capital, INC
Robert Comstock
Lloyd Rodgers
Linda G. Rodgers
William Mattox, Jr.
Cease & Desist David Williams S03-0019
CO-2003-0018

Addendum

08/21/2003 UBS Warburg LLC
UBS Paine Webber INC
Consent Order Ricky Locklar S03-0068
CD-2003-0019 08/29/2003 Gadsden LP
Road Runner Asset Management
Cease & Desist Kim Lewis S02-0091
SC-2003-0020





OV-2003-0020



CO-2003-0020

CO-2003-0020
08/29/2003





10/19/2003



01/24/2004

08/02/2004
Rodney Howard Lankford
Harry Jelks Vance, JR.
Raymond James Investments, Inc.
Birchtree Financial Services, Inc.
Gunnallen Financial, Inc.

Raymond James Investments, Inc.
Birchtree Financial Services, Inc.
Gunnallen Financial Services, Inc.

Rodney Howard Lankford

Harry Jelks Vance, Jr.
Show Cause





Order to Vacate



Consent Order

Consent Order
Kim Lewis
S02-0091
OB-2003-0021 08/28/2003 David Leo Dennis Order of Bar Kim Lewis S02-0091
CD-2003-0022


Amended
08/29/2003


08/29/2003



 

11/09/2006

Positive News Increase, INC.
Anthony Darrell Harris

Positive News Increase, INC.
Anthony Darrell Harris
William Brown
Judith Brown
Will Thomas Brown

All Respondents

Cease & Desist


Cease & Desist



 

Final Order Due to no Response

Rossie Peters


Ricky Locklar
S02-0227


S03-0073
CO-2003-0023

Addendum

09/10/2003 Bear Stearns & Co., INC. Consent Order Ricky Locklar S03-0073
CO-2003-0024

Addendum

09/10/2003 Morgan Stanley & Co., INC. Consent Order Ricky Locklar S03-0074
OB-2003-0025 09/18/2003 Robert Martire Order of Bar Steve Brantley S95-0082
OB-2003-0026 09/18/2003 Morton Glickman Order of Bar Steve Brantley S95-0082
CD-2003-0027 09/18/2003 Yellow Pages Nationwide, Inc.
Bryan Gottman
Cease & Desist Charles Harrison S03-0043
CO-2003-0028

Addendum

09/23/2003 J P Morgan Securities, INC. Consent Order Ricky Locklar S03-0069
CO-2003-0029

Addendum

09/23/2003 U S Bancorp Piper Jaffray INC. Consent Order Ricky Locklar S03-0071
SC-2003-0030

CO-2003-0030

09/30/2003

08/26/2004

T Phillip Webb

T. Phillip Webb

Show Cause

Consent Order

Ricky Locklar S03-0026
CO-2003-0031

Addendum

10/06/2003 Goldman Sachs & Co. Consent Order Ricky Locklar S03-0072
CO-2003-0032

Addendum

10/21/2003 Citigroup Global Markets INC.
(Formerly known as Salomon Smith Barney INC.)
Consent Order Ricky Locklar S03-0070
CO-2003-0033

Addendum

10/27/2003 Credit Suisse First Boston LLC.
(Formerly known as Credit Suisse First Boston Corporation
Consent Order Ricky Locklar S03-0212
CD-2003-0034 11/24/2003 John J. Francisco
Frank Lawing
Boldhorizon Aerospace Inc.
Cease & Desist Ricky Locklar S03-0105
CD-2003-0035 12/22/2003 Cheaha Management, LLC
Palisades Partners, LLC
Wayne Harris Smith
Vernon W. Banks
Cease & Desist Rossie Peters S03-0167
CD-2003-0036 12-29-2003





10/18/2007
Worldwide Wall Street INC
SMD Automotive Group INC
Michael Allen Von Kanel
Douglas D Handley
Scott A Frye

All Respondents
Cease & Desist





Final Order - Failure to Respond
David Williams S03-0137