Administrative Actions - 2006

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Order #

Date Issued Respondents Action Contact Case Number
CD-2006-0001/a>
 
01/04/2006
 
Key Real Estate Services LLC.
Jeffrey Wayne Brown
Cease & Desist
 
Rossi Peters
 
S05-0338
 
CD-2006-0002



 



 

OV-2006-0002
 

01/18/2006



 

07/09/2007

 

01/22/2009

New World Ventures Investment Inc
Blue Dog/Blue Dog Casino
Caribbean Internet Investment LTD
Lennox Paton
Morton Piasetski

All Respondents

 

New World Ventures Investment Inc
Blue Dog/Blue Dog Casino
Caribbean Internet Investment LTD
Lennox Paton
Morton Piasetski

Cease & Desist



 

Final Order due to no Response


Order to Vacate

David Williams



 



 

Randy McNeil

S05-0311
CD-2006-0003 01/18/2006
 

06/01/2006

Pro Systems Marketing Inc
Joel Duncan

All Respondents

Cease & Desist
 

Final Order due to no Response

David Williams S05-0309
CO-2006-0004 01/20/2006 Callins Asset Management, LLC.
Joel Aldrich Callins
Consent Order Spencer Lee I06-0024
CD-2006-0005

CO-2006-0005

03/06/2006

02/13/2009

Mowell Financial Group, Inc.

Mowell Financial Group, Inc.

Cease & Desist

Consent Order

Leslie Worrell

Lisa Tolar

S06-0130
CD-2006-0006 03/06/2006

 

07/27/2006

 

03/18/2009

Adaven, Inc.
Gulfport Oil & Gas, Inc.
Norris R. Harris

Adaven Inc.
Gulfport Oil & Gas Inc.
 

Norris R. Harris

Cease & Desist

 

Final Order due to No Response

Final Order due to No Response

Steve Brantley

 



 

Jerry Hankins

S05-0335
CD-2006-0007

 

CO-2006-0007

03/06/2006

 

02/02/2007

Gulftex Operating, Inc.
Tim Burroughs
Deke Welling

Gulftex Operating, Inc.
Tim Burroughs
Deke Welling

Cease & Desist

 

Consent Order

Steve Brantley

 

Steve Brantley

S06-0070

 

 

CD-2006-0008 03/06/2006
 

07/05/2006

P H Consulting, LLC.
Paul Hudson

All Respondents

Cease & Desist
 

Final Order due to no Response

Steve Brantley S06-0071
CD-2006-0009

 

CO-2006-0009

03/06/2006

 

05/26/2006

Triton EP, LLC.
Garry B. Smith
John M. Faeth

Triton EP, LLC.
Garry B. Smith
John M. Faeth

Cease & Desist

 

Consent Order

Steve Brantley

 

Steve Brantley

S06-0073

 

 

CD-2006-0010 03/08/2006 Shrimpboat USA Inc.
George Elias Naman
Phil Duke Rogers
Gary Louis Woodham
David Warren Strength
James Roy Higdon
James Brian Morris
Cease & Desist Rossie Peters S05-0283
SC-2006-0011

 

OV-2006-0011

03/08/2006

 

05/12/2006

Kenneth, Jerome & Co., Inc.
Mary Elizabeth O'Brien
Robert Lewis Kaplon

Kenneth, Jerome & Co., Inc.
Mary Elizabeth O'Brien
Robert Lewis Kaplon

Show Cause

 

Order to Vacate

Lisa Tolar

 

Mike Foley

S06-0132

 

 

CD-2006-0012







 

OV-2006-0012

03/09/2006







 

02/22/2007

Tom Mann Outdoors, Inc.
Tom & Tina Outdoors
Annie B. Mann
Suzanne Newsom
Carl V. Jones
Robert P. Resta
Herbert J. Loerch
Wayne H. Gillis
Tina Booker

Herbert J. Loerch
Wayne H. Gillis

Cease & Desist







 

Order to Vacate

Steve Brantley







 

Jane Brannan
Kim Lewis

S05-0027







 

 

SC-2006-0013

 

CO-2006-0013

03/10/2006

 

12/28/2006

Omni Brokerage, Inc.
Gary Beynon
John Joseph Temple

Omni Brokerage, Inc.
Gary Beynon
John Joseph Temple

Show Cause

 

Consent Order

Lisa Tolar S06-0143
CD-2006-0014
 

CO-2006-0014

03/16/2006
 

08/02/2007

09/26/2008

Legacy Capital Corporation
David W. Partrick

Legacy Capital Corporation

David W. Partrick

Cease & Desist
 

Consent Order

Final Order by request of Respondent

Rossie Peters
 

Rossie Peters

S05-0439
CD-2006-0015

CD-2006-0015A
Amended
03/22/2006

04/27/2006
 

11/06/2008

Heartland Resourses
Andrew A Flowers
David Stewart
Mark Haynes

All Respondents

Cease & Desist


 

Final Order due to no response

David Williams
 
S06-0065
 
SC-2006-0017

OB-2006-0017

03/23/2006

05/11/2006

07/28/2006

Larry Snow

Larry Snow

Larry Snow

Show Cause

Order to Bar

Final Order d ue to no response

David Williams

David Williams

S06-0167

S05-0233

CD-2006-0018


 


CD-2006-0018A
Amended



 

OV-2006-0018A

03/29/2006



 

04/26/2006



 

06/03/2010

North American Resource Group Corp.
Jackie Fish
Tom Emberton, Jr
Alan Murrell
Douglas Smith

North American Resource Group Corp.
Jackie Fish
Tom Emberton, Jr
Alan Murrell
Douglas Smith

North American Resource Group Corp.
Jackie Fish
Tom Emberton, Jr
Alan Murrell
Douglas Smith

Cease & Desist



 

Cease & Desist Amended


 

Order to Vacate

David Williams



 

David Williams



 

Rossie Peters

S05-0039




 

 

CD-2006-0019 03/29/2006 Sybil's New Life Christian Supply
    Inc.
Sybil F. Watkins
Christy Watkins Dawsey
Cease & Desist Rossie Peters S05-0039
CD-2006-0020 04/27/2006



 

06/20/2006

Samuel & Cohen Media, LLC
Unleashed Magazine
Daniel Cohen
Ron Samuel
Joseph Magmoon

All Respondents

Cease & Desist



 

Final Order due to no response

Chip Harrison S06-0067
CD-2006-0021 04/27/2006

 

06/21/2006

American Enterprises, Inc.
Robert Yeager
Donna Yeager

All Respondents

Cease & Desist

 

Final Order due to no response

Chip Harrison S05-0054
CD-2006-0022


 



 

CO-2006-0022

05/15/2006


 

04/22/2008

 

10/01/2008

Audio_EX Inc.
Moreson Conferencing Inc.
Dana Bruttig Simons
Mark Byron Jackson

Audio-Ex Inc.
Dana Simons
 

Audio_EX Inc.
Moreson Conferencing Inc.
Dana Bruttig Simons
Mark Byron Jackson

Cease & Desist


 

Final Order Due To No Response


Consent Order

Mike Wilkerson S06-0110
CD-2006-0024 05/26/2006

12/19/2008

David Bennett

All Respondents

Cease & Desist

Final Order due to no Response

C. Harrison S05-0216
CD-2006-0025 06/12/2006 Yucatan Investment Corp
Yucatan Resort SA
Cease & Desist Mike Foley S06-0100
CD-2006-0026

CO-2006-0026

06/13/2006

05/29/2007

David A. Costello, Jr.

David A. Costello, Jr.

Cease & Desist

Consent Order

Sandra Smith

Jane Brannan

S06-0272
CD-2006-0027


 

CO-2006-0027

06/14/2006


 

02/22/2007

Garden State Securities, Inc.
Scott Henry Sari
Kevin John Derosa
Michael David Shenloogian

Garden State Securities, Inc.
Scott Henry Sari
Kevin John Derosa
Michael David Shenloogian

Cease & Desist


 

Consent Order

Spencer Lee


 

Spencer Lee

S06-0277


 

 

CD-2006-0029
 

CO-2006-0029

06/21/2006
 

09/05/2006

Divine Capital Markets, LLC.
Steven W. Charest

Divine Capital Markets LLC.
Steven William Charest

Cease & Desist
 

Consent Order

Spencer Lee
 

Steve Brantley

S06-0291
 

 

CD-2006-0030 07/11/2006

02/05/2009

AB Watley Direct

All Respondents

Cease & Desist

Final Order due to no Response

David Williams S05-0396
CD-2006-0031 07/21/2006 Consulting Dynamics, Inc.
Advance Body Imaging, L.P.
Stanley Johnson
Easter Johnson
John Leal
June Ventzos
Alexander Wilson
Natalie Romo
Cease & Desist Chip Harrison S06-0173
CD-2006-0032



 


OV-2006-0032

CO-2006-0032

08/08/2006




 

10/03/2006

07/20/2007

Moors & Cabot Financial Advisors,
     LLC.
John Dean Stamas
Edward Stewart Byrne
Delia Torgerson Watson
Nicholas Rosario Lazio

Nicholas Rosario Lazio

Moors & Cabot Financial Advisors,
     LLC.
John Dean Stamas
Edward Stewart Byrne
Delia Torgerson Watson
Nicholas Rosario Lazio

Cease & Desist




 

Order to Vacate

Consent Order

Spencer Lee




 

Spencer Lee

Steve Brantley

S06-0353




 

 

CD-2006-0034 08/16/2006 Merchant's Commerce Solution, Inc.
Guerry Lamar Reese
Pheobe M. Reese
Cease & Desist Chip Harrison S05-0440
CD-2006-0035 08/18/2006
 

05/07/2008

OTR Media, Inc.
Richard Paul Underwood

All Respondents

Cease & Desist
 

Final Order Due To No Response

David Williams S06-0036
CD-2006-0036 09/21/2006 Consolidated Management Group, LLC
Consolidated Leasing Anadarko Joint
      Venture 2
Phil Shaheen
Cease & Desist Jerry Hankins S06-0023
CD-2006-0038 11/06/2006



 

05/07/2007

Charter One Capital Holdings Inc.
Steven Gray
Vladislav Kuchiroko
   aka   Vincent Kucher
Joseph Torre

All Respondents

Cease & Desist



 

Final Order due to no response

David Williams S04-0403
CD-2006-0039
 

CO-2006-0039

11/07/2006
 

04/16/2007

M. J. Wenning & Associates
Michael J. Wenning

M. J. Wenning & Associates
Michael J. Wenning

Cease & Desist
 

Consent Order

Steve Brantley
 

Steve Brantley

S06-0471
CD-2006-0040

 

CO-2006-0040

11/07/2006

 

05/15/2007

Tidwell Dewitt Investment Services,
      LLC
Raiford Goode Dyer

Tidwell Dewitt Investment Services,
      LLC
Raiford Goode Dyer

Cease & Desist

 

Consent Order

Steve Brantley

 

Steve Brantley

S06-0424
OB-2006-0042 12/12/2006 Earnest Paul Lamonica Order of Bar Jerry Hankins S01-0196
CD-2006-0043
 
12/19/2006


 

09/11/2008

Sacco & Vanzetti LLC
Strata Productions Inc
Terry Green
Dave Larsen

Sacco & Vanzetti LLC
Strata Productions Inc
Terry Green
Dave Larsen

Cease & Desist


 

Final Order due to no response

Mike Wilkerson S06-0422
CD-2006-0044 12/19/2006 Roberts Investment Group
Timothy R. Roberts
Cease & Desist Randy Jones S06-0525
CD-2006-0045
 

CO-2006-2045

12/21/2006
 

05/15/2007

Strand, Atkinson, Williams & York, Inc.

Strand, Atkinson, Williams & York, Inc.

Cease & Desist
 

Consent Order

Steve Brantley
 

Steve Brantley

S06-0515
CD-2006-0046
 

CO-2006-0046

12/21/2006
 

08/30/2007

Capital Guardian, LLC.
Michael McMahan

Capital Guardian, LLC.
Michael McMahan

Cease & Desist
 

Consent Order

Steve Brantley
 

Steve Brantley

S06-0524
CD-2006-0047

CO-2006-0047

12/21/2006

06/20/2007

Manarin Securities Corporation

Manarin Securities Corporation

Cease & Desist

Consent Order

Steve Brantley

Steve Brantley

S06-0591
CD-2006-0048 12/21/2006 Broad Street Securities, Inc.
Mary Philomena Mada
Cease & Desist Steve Brantley S06-0506
CD-2006-0049 12/08/2006 Mid-America Energy Inc.
Black Gold Oil #7 LLP
Eagle Oil #5 LLP
Eagle Oil #7 LLP
Fort Knox Oil #10 LLP
Gary Milby
Scotty Cooke
Eric Rogers
Cease & Desist Mike Wilkerson S06-0393