Administrative Actions - 2015

2016 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001

Order #

Date Issued Respondents Action Contact Case Number
CD-2015-0001 01/20/2015


10/21/2015
Sidewinders Corporation
Richard Preston Duffield, Jr.

All Respondents
Cease & Desist


Final Order
Mike Wilkerson S14-0163
OB-2015-0002
02/02/2015

03/11/2015
Alan Scott Daniels

Alan Scott Daniels
Order to Bar

Final Order due to No Response
Chuck James S12-0237
CD-2015-0003 02/13/2015



03/21/2017
Omega Pharmacueticals
Herman Lance
Robert C. Rudder

All Respondents
Cease & Desist



Final Order - Commission Decision
Mike Wilkerson S13-0065
CO-2015-0004 04/22/2015 Sovereign Funding, LLC
Calvin Leo Spurlin
Teresa Haley Harriman
Consent Order Bobby Sharp S13-0310
CD-2015-0005 03/16/2015

Bama Jam Farms, LLC
Ronald E. Gilley
Ryan B. Howell
Cease and Desist Randy Jones S12-0156
CD-2015-0007 04/02/2015


06/12/2015
Kimberly J. Dixson Scott
Modern Modern Day Multimedia

All Respondents
Cease and Desist


Final - Due to No Response
Chuck James S15-0026
OB-2015-0008 04/28/2015




06/12/2015
Ronald Warren Powell
   aka: Ronny W. Powell
Tom Jones Insurance & Financial Services
  Group, Inc. (T.J.I.F.S.G.)

All Respondents
Order to Bar




Final - Due to No Response
Chuck James S14-0133
SC-2015-0009 05/06/2015 GLS & Associates, Inc.
Gregory Lee Smith
Show Cause Mike Gantt S14-0127
CD-2015-0010 06/10/2015






03/21/2017
Premiere Asset Management, Inc.
Dominion Enterprise LLC
Gerald Lawler
Nicola Lawler
Claude Lee Collins, Sr.
Mariam A. Williams

All Respondents
Cease & Desist






Final Order - Commission Decision
Mike Wilkerson S14-0012
CD-2015-0012 07/14/2015


09/15/2015
Petron Energy II, Inc.
Floyd L. Smith

All Respondents
Cease & Desist


Final Order - No Response
Rossi Peters S14-0094
CD-2015-0013


CO-2015-0013

CO-2015-0013A
07/17/2015


12/09/2015

12/09/2015
Barry Hubert Bynum
Estate Security Trust, Inc.


Barry Hubert Bynum

Estate Security Trust
Cease & Desist


Consent Order - Barred
Consent Order - Barred
Chuck James S15-0128
CO-2015-0015 07/28/2015

Citigroup Global Markets, Inc.

Consent Order

Kim Lewis S14-0080
CD-2015-0016 08/13/2015
FHL, Inc.
Global First, Inc.
Autauga Water Bottling, Inc.
Atagi, Inc.
Harry James Walker
Christopher Lee Yannon
Cease & Desist
Bobby Sharp S13-0197
CD-2015-0017 08/18/2015



06/27/2016
Resource Liability Cee Gems Limited
Michael Kennedy
Wendee Kunzler

Wendee Kunzler
Cease & Desist



Final Order - No Response
Rossi Peters S14-0082
CD-2015-0018 10/19/2015

01/11/2016
Smith, Campbell & Associates LLC
Demetrius C. Campbell

All Respondents
Cease and Desist

Final Order - No Response
Mike Wilkerson S15-0006
CD-2015-0021


CO-2015-0021
10/30/2015


08/29/2016
Clarence "Cal" Elcan
aka: Clarence Andrew Elcan


Clarence "Cal" Elcan
aka: Clarence Andrew Elcan
Cease & Desist


Consent Order
Mark Mitchell S15-0164
SC-2015-0022




CO-2015-0021
11/02/2015




08/29/2016
Daniel G. Elcan
Richard Mark Foster
Paul D. Elcan
Pamela L. Elcan
Clearpoint Capital Management LLC
Elcan Wealth Consulting

Daniel G. Elcan
Richard Mark Foster
Paul D. Elcan
Pamela L. Elcan
Clearpoint Capital Management LLC
Elcan Wealth Consulting
Show Cause




Consent Order
Mark Mitchell S15-0164
SC-2015-0023 11/05/2015 Terry Joe Bagwell
Metlife Securities Inc
Pruco Securities LLC
Show Cause Randy Jones S14-0010
CD-2015-0024 12/14/2015

Bryan Kevin Robinson
Robinson Capital Investments, LLC
Cease & Desist

Charles Traywick S15-0105
CD-2015-0025 12/18/2015



02/25/2016
Steven Clyde Reed Brown
Edward Malcolm Portman
Pharma-Derm Solutions, Inc


Steven Clyde Reed Brown
Cease & Desist



Final Order - Failure to Respond
Chip Harrison S14-0206