Administrative Actions -2009

Order #	Date Issued	Respondents	Action	Contact	Case Number
CD-2009-0001	01/06/2009 02/27/2009	Cinema Partners LLC Films Unlimited LLC Scott Einbinder All Respondents	Cease & Desist Final Order Due to no Response	Rossi Peters	S08-0376
CD-2009-0002	01/26/2009	Grissom Research Inc Mark E. Doering	Cease & Desist	Mike Wilkerson	S08-0236
CD-2009-0003	02/13/2009 07/21/2009 08/07/2009	Barren Resources Group LLC Gary Bryant Hogan William L Moore Barren Resources Group LLC Gary Bryant Hogan William L Moore	Cease & Desist Final Order Due to no Response Final Order, Agreed to by Respondent	Chuck James	S08-0536
CD-2009-0004	02/17/2009 10/20/2009	Unity Invest & Trust LLC Ramon Antonio Richardson Michael Daniel Banks All Respondents	Cease & Desist Final Order Due to no Response	Mike Gantt	S09-0020
CD-2009-0005	02/18/2009 05/11/2009	Lyons Ward & Associates LLC Gene Collins John Stable All Respondents	Cease & Desist Due to failure of Respondents to take possession of the Order	Mike Gantt	S09-0055
CD-2009-0007	03/13/2009 06/10/2009	Credit Restoration and Mortgage Consulting, LLC. 20/20 Credit Repair and Mortgage Consulting Credit Restoration Mortgage Corporation John Craig Dickson All Respondents	Cease & Desist Final Order Per Legal Division Following an Administrative Hearing.	Jerry Hankins	S08-0518
CD-2009-0008	04/14/2009 10/21/2009	Sam Jones Carroll III All Respondents	Cease & Desist Final Order Due to no Response	Rossie Peters	S08-0328
CO-2009-0009	04/23/2009	Ameriprise Financial services, Inc.	Consent Order	Ricky Locklar	S07-0293
CD-2009-0010	04/23/2009 08/12/2009	Starboard Capital, Inc Starboard Alabama Investments, LLC Matthew A. Gibson Patrick M. Daleiden Starboard Capital inc Patrick Daleiden Matthew A. Gibson	Cease & Desist Final Order Due to no Response.	Randy Jones	S09-0081
CO-2009-0011	06/10/2009	WACHOVIA Securities , LLC WACHOVIA Capital markets, LLC	Consent Order	Kim Lewis	S09-0121
CO-2009-0012	06/04/2009	CITIGROUP Global Markets Inc.	Consent Order	Kim Lewis	S09-0120
CD-2009-0013	06/02/2009 07/09/2009	Little River investments Thomas Vernon Warren All Respondents	Cease & Desist Final Order Due to not Exercising His Right for a Hearing	Chuck James	S09-0120
SC-2009-0014	06/10/2009	Park Avenue Securities, LLC	Show Cause	Jerry Hankins	S08-0431
CD-2009-0015	06/10/2009	Castle Consultants, LLC Christopher Scott Miller	Cease & Desist	Jerry Hankins	S08-0431
CO-2009-0016	06/16/2009	Prosper Marketplace, Inc.	Consent Order	Randy Jones	S08-0122
CO-2009-0017	06/29/2009	Bank of America Securities LLC Bank of America Investment Services, Inc.	Consent Order	Kim Lewis	S08-0229
CD-2009-0018	07/13/2009 08/25/2009	Hawkins international Inc. Reginald Leonard Hawkins All Respondents	Cease & Desist Final Order Due to no Response	Chuck James	S09-0212
SC-2009-0019 CO-2009-0019	07/17/2009 02/18/2010	Morgan Keegan & Company James T. Ritt Morgan Keegan & Company James T. Ritt	Show Cause Consent Order	Ricky Locklar Ricky Locklar	S00-0093
SC-2009-0020	07/21/2009	Morgan Keegan and Company, Inc.	Show Cause	Kim Lewis	S08-0367
CD-2009-0021	07/30/2009 04/12/2009	Lonnie Howard Correll All Respondents	Cease & Desist Final Order Failure to Schedule Hearing	Mike Wilkerson	S07-0384
CD-2009-0022	08/07/2009	Polymer Global Holdings Inc. Imperial Rubber holdings Inc. Infinity Cross Ties Inc. Frederick Tayton Dencer Louis John Mensonides Peter George SZondy Jo Ann Burkhart	Cease & Desist	Chuck James	S08-0282
CO-2009-0023	08/18/2009	JPMorgan Chase & Co.	Consent Order	Kim Lewis	S09-0281
CD-2009-0024	10/07/2009 10/07/2009	Helping Hands Development Inc. Deborah F Escott Lumpkin All Respondents	Cease & Desist Final Order:	Mike Gantt	S09-0089
CO-2009-0025	09/11/2009	Merrill Lynch, Pierce, Fenner & Smith Incorporated	Consent Order	Kim Lewis	S09-0230
CD-2009-0026	09/21/2009 10/28/2009 01/05/2010	Wintex, Inc. Wintex Direct Winford Lee Tomerlin Vincent Dunne John Kampmeyer Wintex, Inc. Wintex Direct Winford Lee Tomerlin John Kampmeyer Vincent Dunne	Cease & Desist Final Order Due to No Response Final Order Due to No Response	Charles Traywick	S08-0460
CD-2009-0027	09/25/2009 11/08/2010 12/13/2010 02/02/2011 02/10/2011 08/03/2011	Westrock Advisors, Inc. Kenneth A. Chapman Donald H. Hunter, Jr. Edna Choi Law Rees R. Wagner Andrew Shapiro Westrock Advisors, Inc. Edna Choi Law Kenneth A. Chapman Donald H. Hunter, Jr. Rees R. Wagner Andrew Shapiro	Cease & Desist Final Order Due to Inadequate Response Final Order Due to No Response Final Order Due to No Response Final Order Final Order	Tina Tell, LaShonda Moultrie Lisa Tolar	S08-0252
OD-2009-0028	09/28/2009	Ascension Financial Solutions, Inc.	Order of Denial	Lisa Tolar	S09-0387
SC-2009-0029 OB-2009-0029 CO-2009-0029	10/16/2009 04/20/2010 06/16/2011	Prestige Financial Center Inc. Marlon O. Cole Marlon O. Cole Marlon O. Cole	Show Cause Order of Bar Consent Order	Mike Gantt	S09-0227
CO-2009-0030	10/19/2009	Trubee, Collins & Company, Inc Anthony Frandina	Consent Order	Lashonda Moultrie	S09-0389
CO-2009-0031	10/20/2009	RBC Capital Markets Corporation	Consent Order	Kim Lewis	S09-0232
CD-2009-0032 CO-2009-0032	10/23/2009 06/09/2011	Intraop Medical Corporation Ronald W. Minor Intraop Medical Corporation	Cease & Desist Consent Order	Randy Jones	S09-0098
CD-2009-0033 OB-2009-0033	11/09/2009 03/31/2010 04/20/2010 03/21/2012	Intellimesh Systems Inc Smart Safe Cities Inc Darren Maull Inc Darren Oneal Maull Ted Geiger Ted Geiger Intellimesh Systems Inc Smart Safe Cities Inc Darren Maull Inc Darren Oneal Maull Darren Oneal Maull	Cease & Desist Final Order Due to No Response Final Order Due Provided Information was Incomplete and Inadequate. Order to Bar	Chuck James	S09-0317
CD-2009-0034	10/26/2009 12/11/2009	Dorothy of OZ, LLC Box Office Productions III, LLC Walter F. Price All Respondents	Cease & Desist Final Order Due to No Response	Charles Traywick	S09-0214
CD-2009-0035	10/29/20009 12/21/2009 01/22/2010	Eagle Eye Enterprises Jack D. Weight III Jack D. Weight III Eagle Eye Enterprises	Cease & Desist Final Order Due to No Response Final Order Due to No Response	Charles Traywick	S09-0184
CO-2009-0037	11/05/2009	Deutsche Bank securities Inc.	Consent Order	Kim Lewis	S09-0280
CD-2009-0038	11/13/2009 01/06/2010	CBS Homes of Alabama, LLC James Antonic All Respondents	Cease & Desist Final Order Due to No Response	Randy Jones	S09-0337
CO-2009-0039	12/01/2009	Merrill Lynch,Pierce, Fenner & Smith Incorporated	Consent Order	Joseph Borg	S09-0050
CD-2009-0040 OB-2009-0040	12/14/2009 02/09/2011 07/11/2011	Winsome Investment Trust Covenant Family Trust Robert Joseph Andres Lewis Stanley Scogin All Respondents Lewis Stanley Scogin	Cease & Desist Final Order Due to No Response Order of Bar	Rossie Peters	S09-0137

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