Administrative Actions -2003

Order #	Date Issued	Respondents	Action	Contact	Case Number
CD-2003-0001	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	S99-00128
CD-2003-0002 OV-2003-0002	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 David Williams	S03-00001
CD-2003-0003	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	S02-00021
OB-2003-0004	02/28/2003	James K. Matter	Order of Bar	Steve Brantley	S01-00181
CD-2003-0005	03/03/2003	Foster Gas Corporation Toby D. Mason Thomas A. Lewis	Cease & Desist	Lim Lewis	S02-00206
CD-2003-0006	03/06/2003	Charles Wadkins	Cease & Desist	Steve Brantley	S02-00151
OB-2003-0007	03/18/2003	Weddington Bishop Kelly Jr	Order of Bar	Kim Lewis	S00-00331
CD-2003-0008	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	S99-00198
CD-2003-0009	04/17/2003	Iron Horse Petroleum, Inc. AKA Iron Horse Petroleum Eric Collins Paul Willis Thomas Labry	Cease & Desist	Reuben Redd	S01-00169
CO-2003-0010	04/24/2003	Lehman Brothers Inc.	Consent Order Addendum A	Ricky Locklar	S02-00095
CD-2003-0011	06/06/2003	Trade Partners Inc. Sojkara LLC Christine M. Zmudka Robert Seitters John A Murphy	Cease & Desist	David Williams	S02-00117
CD-2003-0012	06/10/2003	Terry Harris Patricia Monroe Toney Hulbert Van R Barringer Susan Diane Barringer Anthony Talley Jr. Networker2000.com Inc. aka: Networker2000 Wealth Builders International Investment Club aka: Wealth Builders International Investment Club Inc. aka: Infinity 2000 Investment Group and Investment Club N2K Investment Club	Cease & Desist	Rueben Redd	S02-00205
OB-2003-0013	07/07/2003	Christian Negohosian	Order of Bar	Ricky Locklar	S02-00197
CD-2003-0014	07/15/2003	Jed Philip Kaplan Kaplan & Co. Securities, Inc.	Cease & Desist	Jim Pugh	S03-00097
CD-2003-0015	07/28/2003	LSI Regional Development Center Investment Dave McDaniel	Cease & Desist	David Williams	S03-00086
SC-2003-0016	08/01/2003	Gold Coast Securities Inc. Tae P Ho	Show Cause	Chris Young	S03-00101
CD-2003-0017	08/20/2003	Life Time Capital, INC Robert Comstock Lloyd Rodgers Linda G. Rodgers William Mattox, Jr.	Cease & Desist	David Williams	S03-00019
CO-2003-0018 Addendum	08/21/2003	UBS Warburg LLC UBS Paine Webber INC	Consent Order	Ricky Locklar	S03-00068
CD-2003-0019	08/29/2003	Gadsden LP Road Runner Asset Management	Cease & Desist	Kim Lewis	S02-00091
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 Kim Lewis Kim Lewis Kim Lewis	S02-00091 S02-00091 S02-00091 S02-00091
OB-2003-0021	08/28/2003	David Leo Dennis	Order of Bar	Kim Lewis	S02-00091
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	S02-00227 S03-00073
CO-2003-0023 Addendum	09/10/2003	Bear Stearns & Co., INC.	Consent Order	Ricky Locklar	S03-00073
CO-2003-0024 Addendum	09/10/2003	Morgan Stanley & Co., INC.	Consent Order	Ricky Locklar	S03-00074
OB-2003-0025	09/18/2003	Robert Martire	Order of Bar	Steve Brantley	S95-00082
OB-2003-0026	09/18/2003	Morton Glickman	Order of Bar	Steve Brantley	S95-00082
CD-2003-0027	09/18/2003	Yellow Pages Nationwide, Inc. Bryan Gottman	Cease & Desist	Charles Harrison	S03-00043
CO-2003-0028 Addendum	09/23/2003	J P Morgan Securities, INC.	Consent Order	Ricky Locklar	S03-00069
CO-2003-0029 Addendum	09/23/2003	U S Bancorp Piper Jaffray INC.	Consent Order	Ricky Locklar	S03-00071
SC-2003-0030 CO-2003-0030	09/30/2003 08/26/2004	T Phillip Webb T. Phillip Webb	Show Cause Consent Order	Ricky Locklar Ricky Locklar	S03-00026 S03-00026
CO-2003-0031 Addendum	10/06/2003	Goldman Sachs & Co.	Consent Order	Ricky Locklar	S03-00072
CO-2003-0032 Addendum	10/21/2003	Citigroup Global Markets INC. (Formerly known as Salomon Smith Barney INC.)	Consent Order	Ricky Locklar	S03-00070
CO-2003-0033 Addendum	10/27/2003	Credit Suisse First Boston LLC. (Formerly known as Credit Suisse First Boston Corporation	Consent Order	Ricky Locklar	S03-00212
CD-2003-0034	11/24/2003	John J. Francisco Frank Lawing Boldhorizon Aerospace Inc.	Cease & Desist	Ricky Locklar	S03-00105
CD-2003-0035	12/22/2003	Cheaha Management, LLC Palisades Partners, LLC Wayne Harris Smith Vernon W. Banks	Cease & Desist	Rossie Peters	S03-00167
CD-2003-0036	12-29-2003	Worldwide Wall Street INC SMD Automotive Group INC Michael Allen Von Kanel Douglas D Handley Scott A Frye	Cease & Desist	David Williams	S03-00137
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