Administrative Actions - 2004

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Order #

Date Issued Respondents Action Contact Case Number
CD-2004-0001 01/07/2004 PDI Real Estate
William D. Paul
Cease & Desist Rossie Peters S0200224
SC-2004-0002


 



 

OV-2004-0002

 

OB-2004-0002

01/20/2004


 

01/10/2007

 

05/28/2008

 

04/01/2010

MAX International
Broker/Dealer Corp
Edwin Joseph Forte III
David S. Isolano

Edwin Joseph Forte III

 

MAX International Broker/Dealer
       Corp.
David S. Isolano

Edwin Joseph Forte III

Show Cause


 

Final Order due to no Response


Order to Vacate

 

Order to Bar

David Williams


 



 



 

Randy McNeill

S03-00016
CD-2004-0004









 

CO-2004-0004
 

CO-2004-0004


 

CO-2004-0004

01/26/2004









 

05/31/2005
 

10/04/2005


 

12/09/2011

Amerifirst Foundation INC.
National Community
       Foundation
Ralph S. Larsen
Lonnie Hawkins
Allen Goodmensen
Tom Mclaughlin
Barbara Mincey
Howard Smith
Mike Sheppard
Jim Wolter

S. Howard Smith
Barbara Mincey

Amerifirst Foundation, INC.
Lonnie Hawkins
Allen Goodmensen
Michael McLaughlin

Jim Wolter

Cease & Desist









 

Consent Order
 

Consent Order


 

Consent Order

Rossie Peters S02-00107
CO-2004-0005 03/26/2004 AMSouth Investment  Services, INC. Consent Order Joseph Borg S04-0064
CD-2004-0006 03/22/2004 Atkins & Associates
Dendrick Atkins
Cease & Desist Rossie Peters S03-0192
CD-2004-0007 04/06/2004 Heyman International, INC.
OMNI Fasteners  Components Corp
Timothy Heyman
Donald Earnest Watts
Betty Holmes Watts
Cease & Desist Steve Brantley S03-0004
CD-2004-0008 04/23/2004 G & G Partnership
Gary Lee Jones
Grover Phillips
Cease & Desist David Williams S04-0104
CD-2004-0009 04/30/2004 Sparkle Spring Water, Inc.
Edward M. Chapman
Cease & Desist Chip Harrison S03-0027
CD-2004-0010 05/13/2004 Diversified Consultants
Terrie Burton
Cease & Desist Chris Young S01-0194
CD-2004-0011 05/13/2004 American Option Service ("AOS")
Shane R Wachtel
Cease & Desist David Williams S04-0066
CD-2004-0012



OV-2004-0012

05/24/2004



12-09-2004

Presidential FX, Inc.
Summer Mote
Kera Freeman

Presidential FX, Inc.
Summer Mote
Kera Freeman

Cease & Desist



Order to Vacate

David Williams



David Williams

S04-0050



S04-0050

CD-2004-0013
 
06/09/2004 Platinum Investment Corp
Platinum Investment Holding Corp
Andrew Antonucci

All Respondents

Cease & Desist

 

Final Order due to no Response

David Williams S02-0149
CD-2004-0014 06/18/2004 Learn Waterhouse, Inc
Randall T. (Randy) Treadwell
Arnulfo M. Ascosta
Steve Hunter
Larry Landis
Keith Trawick
Cease & Desist Steve Brantley S04-0142
CD-2004-0016 07/24/2004 Tim Forehand & Associates LLC
Timothy Earl Forehand
Debra Holte Forehand
Cease & Desist Rossie Peters S04-0082
CD-2004-0017


 

CO-2004-0017

08/24/2004


 

03/24/2010

Resource Development International
David Edwards
James Edwards
Ronald W Smith

Resource Development International
David Edwards
James Edwards
Ronald W. Smith

Cease & Desist


 

Consent Order

David Williams


 

Mike Foley

S02-0029


 

 

CD-2004-0018 08/24/2004 Moola Zoola Inc
Robert Arbuckle
Cease & Desist Chip Harrison S04-0222
CD-2004-0019 08/24/2004 The Loan Shoppe, Inc
Charles E. Carver
Cease & Desist Rossie Peters S04-0208
CD-2004-0020 08/26/2004 C & C Vencap Corporation
Houston Wireless Partners, LLC
Robert Pozsony
William Cella
Cease & Desist Steve Brantley S03-0116
CD-2004-0021 09/15/2004 International Product Investment Corporation
IPIC Atlantic LLC
Gregory Setser
Cynthia Setser
Charnelle Setsen
Torsten Thomas Henschke
Cease & Desist David Williams  
SC-2004-0022 10-12-2004 Park Avenue Securities, LLC
Randall L. Wells
Jeffrey L. Chapman
Show Cause Steve Brantley S04-0142
CD-2004-0023 10-12-2004 Fay Chancey
Jeffery L. Chapman
Billy Hall, II
Brian Heath Hughes
Jody Hughes
Charles McVay
Laurie D. McVay
Patricia A. Trawick
Randall L. Wells
Cease & Desist Steve Brantley S04-0142
CD-2004-0024 10-25-2004 4J Financial Services, LLC
Winston Ross
Cease & Desist Steve Brantley S03-0117
CO-2004-0025 12-08-2004 Crescent Securities Group, Inc. Consent Order Mike Foley S04-0385