Administrative Actions -2010

Hit Counter

Order #	Date Issued	Respondents	Action	Contact	Case Number
CO-2010-0001	01/06/2010	Envizions Computer Entertainment Corporation Derrick Samuels	Consent Order	Chuck Jones	S08-0481
CO-2010-0002	01/07/2010	Credit Suisse Securities (USA) LLC.	Consent Order	Kim Lewis	S09-0325
CD-2010-0003	01/08/2010 03/19/2010	First Capital Trading G & G Financial Services Hallmark Management Inc. Gregory Earle Pomeroy Glenn Lavon Gillman John B. Gillman First Capital Trading Gregory Earle Pomeroy	Cease & Desist Final Order Due to No Response		S09-0008
CD-2009-0004 CD-2010-0004 OV-2009-0004	01/08/2010 03/30/2010	Carina Technology, Incorporated Magna Vista Group, Incorporated Jay W. Newkirk Peggy L. Sammon Ralph G. Petroff Carina Technology, Incorporated Magna Vista Group, Incorporated Jay W. Newkirk Peggy L. Sammon Ralph G. Petroff	Cease & Desist Order to Vacate	Jerry Hankins	S09-0320
CD-2010-0005	01/29/2010 11/01/2010	Nobletrading.Com, Inc. Nobletrading.Com, Inc.	Cease & Desist Final Order of the Commission	Lisa Tolar	S09-0416
CD-2010-0006	02/01/2010 03/19/2010 05/18/2010	MJG Enterprises, Incorporated Mike's Lock Club Anthony Mark Boscarino AKA Mike Brown AKA Anthony Kokas Marguerite Jeane Gerhert AKA Marguerite Boscarino Ronald N. Davenport Ronald N. Davenport MJG Enterprises, Incorporated Mike's Lock Club Anthony Mark Boscarino Marguerite Jeane Gerhert	Cease & Desist Final Order Due to No Response Final Order Due to No Response	Jerry Hankins	S09-0138
CO-2010-0007	02/10/2010	Morgan Stanley & Co. Incorporated (CD #8209)	Consent Order	Kim Lewis	S10-0051
CD-2010-0008	02/18/2010 11/01/2010 03/07/2011	Tix Ranch Well #1 Joint Venture North American Drilling Corp Larry M. Koonce Michael Suarez Derek Castleberry Harley Garvin Jerry Zepeda Matthew Nerbonne Harley Garvin Michael Suarez Matthew Nerbonne	Cease & Desist Final Order Failure to Schedule Informal Hearing Final Order Due to No Response.	Mike Wilkerson	S09-0466
OB-2010-0009	02/23/2010	Steven A. Cantor	Order to Bar	Kim Lewis	S07-0482
CD-2010-0010	03/01/2010 03/30/2010	Joseph Neville Wier All Respondents	Cease & Desist Final Order Due to no Response	Chip Harrison	S09-0492
CD-2010-0011	03/01/2010	Tri-Crescent Energy Corp William Joseph Hill Bradley Burns	Cease & Desist	Mike Gantt	S10-0010
CD-2010-0012 CO-2010-0012	03/02/2010 08/02/2010	Capital Management Advisors Inc. Consolidated Capital Mgmt Teddy Joe Propes Tommie Jacob Goggans Capital Management Advisors Inc. Consolidated Capital Mgmt Teddy Joe Propes Tommie Jacob Goggans	Cease & Desist Consent Order	Mike Gantt	S08-0380
CD-2010-0013 OV-2010-0013	03/03/2010 11/14/2011	Gulf Coast Western LLC. Charles Reed Cagle Matthew Harris Fleeger Daniel Lamontagne Gulf Coast Western LLC. Charles Reed Cagle Matthew Harris Fleeger Daniel Lamontagne	Cease & Desist Order to Vacate	Mike Gantt	S09-0263
OR-2010-0014	03/05/2010 10/21/2010	Timothy M. Gautney Timothy M. Gautney	Order to Revoke Final Order By Commission Decision	Mike Wilkerson	S03-0008
CO-2010-0015	03/08/2010	American General Securities Incorporated	Consent Order	Chip Harrison	S05-0282
SC-2010-0016 CO-2010-0016 OV-2010-0016	04/07/2010 06/22/2011 10/07/2011	Morgan Asset Management, Inc. MK Holding, Inc. Morgan Keegan & Company, Inc. Regions Financial Corporation James C. Kelsoe, Jr. Brian B. Sullivan Gary S. Stringer Michele F. Wood Morgan Asset Management, Inc. Morgan Keegan & Company, Inc. James C. Kelsoe, Jr. Brian B. Sullivan Gary S. Stringer Michele F. Wood	Show Cause Order Consent Order Order to Vacate	Mike Gantt	S08-0056
CD-2010-0017	04/06/2010	Heritage Diamond Joint Venture Heritage Capital Partners Funds LLC Brent J Anderson James P McKeon	Cease & Desist	Rossie Peters	S09-0437
SC-2010-0018	04/06/2010	Jefferson Capital Partners, LLC Kevin Lee Jefferson	Show Cause Order	Charles Traywick	S08-0337
OD-2010-0019	04/16/2010	Justice Management Team John Charles Justice	Order of Denial	Tina Tell	S10-0100
CD-2010-0020	04/19/2010 06/18/2010	Sure Line Acceptance Corporation Faithful Stewards, Incorporated James W. Kirk Glen E. Smith, Jr. Thom Kimmel Faithful Stewards, Incorporated Thom Kimmel	Cease & Desist Final Order Due to No Response	Jerry Hankins	S09-0222
CD-2010-0021	04/28/2010 04/12/2011	Berkshire Resource LLC Berkshire (40L) LLP Berkshire 2006-05 LLP Jason T Rose Michael Wood Byron Hogan Bruce Fox All Respondents	Cease & Desist Final Order	Rossi Peters	S08-0422
CO-2010-0022	05/14/2010	Corporate Property Associates 15 Inc.	Consent Order	Mike Wilkerson	S08-0421
CO-2010-0024	05/13/2010	Stifel, Nicolaus & Company, Incorporated	Consent Order	Kim Lewis	S10-0111
CD-2010-0025	06/03/2010 09/01/2010	Oklahoma Force Pool Joint Venture #3 BluePac Management LLC Stanley Rose Jeff Quiane Jeff Quiane	Cease & Desist Final Order Due to No Response	M Wilkerson	S10-0012
OB-2010-0026	06/14/2010 07/26/2010	Chang Liu Levy Chang Liu Levy	Order to Bar Final Order Due to No Response	Randy Jones	S10-0072
CD-2010-0027	06/14/2010	HP Technology, Inc Kevin David Palm	Cease & Desist	Charles Traywick	S08-0417
CD-2010-0030	06/15/2010	USA Marketing Group Elite Marketing Edward Lincoln Forehand Ashley Murcko	Cease & Desist	Chuck James	S09-0469
CD-2010-0031 OV-2010-2031	06/28/2010 07/07/2010	BCL, LLC Frank B Poticny CPMG, Inc Sanctus Partners Limited Partnership CPMG, Inc	Cease & Desist Order to Vacate	Randy Jones	S09-0189
CO-2010-0033	06/21/2010	UBS Securities, LLC UBS Financial Services Inc.	Consent Order	Kim Lewis	S08-0179
CO-2010-0034	06/21/2010	Goldman, Sachs & Co	Consent Order	Kim Lewis	S10-0208
CD-2010-0035	06/22/2010	Infraegis, Inc Gregory E Webb C Robert Abbott James R Zilka	Cease & Desist	Rossie Peters	S09-0360
CD-2010-0036 CO-2010-0036	07/01/2010 10/04/2010	GIGAPIX Studios, Inc Christopher J. Blauvelt GIGAPIX Studios, Inc Christopher J. Blauvelt	Cease & Desist Consent Order	Randy Jones Randy Jones	S10-0045
SC-2010-0037 OS-2010-0037	07/09/2010 10/12/2010 11/02/2010	Jesup & Lamont Securities Corp. Jesup & Lamont Securities Corp. Jesup & Lamont Securities Corp.	Show Cause Order Suspension Order Final Order of Revocation	Lisa Tolar	S10-0274
CO-2010-0038	07/12/2010	TD Ameritrade, Inc.	Consent Order	Kim Lewis	S09-0093
CD-2010-0042	08/16/2010 12/21/2010	Thomas Washington Campbell, III TCA Investment Group, LTD All Respondents	Cease & Desist Final Order Due to No Response	Chip Harrison	S09-0448
CD-2010-0043 CO-2010-0043	08/17/2010 12-30-2010	Xcelplus Global Holdings Inc John Michael Parsons Henry Harrison Parrish Clean Energy Pathways, Inc. (formerly named) Xcelplus Global Holdings Inc John Michael Parsons Henry Harrison Parrish	Cease & Desist Consent Order	Chuck James	S10-0081
CD-2010-0044	08/18/2010 11/02/2010	Maxiflex, Limited Liability Corporation Maxiflex Distribution Company, Limited Liability Corporation Maxifles Southeastern Distribution Company Limited Liability Corporation Gary Ventrella All Respondents	Cease & Desist Final Order Due to No Response	Jerry Hankins	S10-0200
SC-2010-0045 CO-2010-0045	08/19/2010 02/08/2011	Mona Kilgore Wooten Mona Kilgore Wooten	Show Cause Consent Order	Jerry Hankins	S08-0024
CD-2010-0046	08/23/2010	Loma Novia Joint Venture Bayside Petroleum Company Inc Gordon H. Johnson George C. Burrell James T. Ling Janet Cunningham John L. Griffiths Jr. Sam E. Nicholson Mike Fisher	Cease & Desist	Chuck James	S10-0099
CD-2010-0047	08/24/2010 04/15/2011 06/01/2011	Gully/Riley Project Energy Exploration Inc. Scott Pike Peacock Jack Lee Markwell Gully/Riley Project Energy Exploration Inc. Jack Lee Markwell Scott Pike Peacock	Cease & Desist Final Order Final Order Due to No Response	Chuck James	S10-0011
CD-2010-0048	08/24/2010 10/04/2010	Fusion Energy, LLC Red Ruby #2 Joint Venture William Scott Court Pat Hughes All Respondents	Cease & Desist Final Order Due to No Response	Charles Traywick	S20-0289
SC-2010-0049 CO-2010-0049	08/26/2010 08/02/2011	Cheryl Phillips Brewer Cheryl Phillips Brewer	Show Cause Consent Order	Jerry Hankins	S09-0341
CD-2010-0051	10/18/2010 01/11/2011	Cort Petroleum RSLBEE, LLC NW Premont, L.P. Richard Waskom Todd Selke All Respondents	Cease & Desist Final Order Due to No Response	Randy Jones	S10-0164
CD-2010-0052 OV-2010-0052	10/25/2010 01/21/2011	Rodney Howard Lankford LA Cortez Energy, Inc. Lighthouse Capital Corp C & L Associates, LLC Lighthouse Capital Corp	Cease & Desist Order to Vacate	Kim Lewis	S10-0320
CD-2010-0053 CD-2010-0053A	10/25/2010 02/10/2011 12/13/2010	Universal Wood Products, LLC Century Lumber and Land, LLC Milton Timber, LLC James Leonard Craft Glenn Lavon Gillman Universal Wood Products, LLC Century Lumber and Land, LLC Milton Timber, LLC James Leonard Craft Glenn Lavon Gillman Douglas Michael Dnford Universal Wood Products, LLC Century Lumber and Land, LLC Milton Timber, LLC James Leonard Craft Glenn Lavon Gillman Douglas Michael Danford	Cease & Desist Cease & Desist Final Order No Response Hearing Hearing Hearing No Response No Response	Jerry Hankins	S10-0313
CO-2010-0055	11/09/2010	Wells Fargo Investments, LLC	Consent Order	Kim Lewis	S08-0538
CD-2010-0056	11/22/2010	U.S. Emerald GP, LLP U.S. Emerald Energy Company, L.P. Old Town Bay Joint Venture Michael L. F. Slavin	Cease & Desist	Chip Harrison	S10-0215
SC-2010-0059 CO-2010-0059 OV-2010-0059 CO-2010-0059 CO-2010-0059 CO-2010-0059 CO-2010-0059 CO-2010-0059 CO-2010-0059	12/14/2010 04/08/2011 04/27/2011 07/11/2011 07/11/2011 07/11/2011 08/02/2011 09/28/2011 10/31/2011	First Legacy Investors Inc Reliance Securities LLC First Legacy Securities LLC Henry E. Walker Ronald Wayne Lankford Charles Thomas Cammack Jr. Paul Clayton Conner Steve Jeffrey Cummings Rita Michelle Farmer Jeremy Shane Hay Jason Tilton Latham Melinda Cook McCullough William Slay Stevens Darryl Richard Wilson Paul Clayton Conner Rita Michelle Farmer Jeremy Shane Hay Melinda McCullough Darryl Wilson Ronald Wayne Lankford William Slay Stevens Steve Jeffrey Cummings	Show Cause Limited Consent Order Order to Vacate LimitedConsent Order Limited Consent Order Limited Consent Order Limited Consent Order Limited Consent Order Limited Consent Order	Mike Wilkerson	S10-0068
CD-2010-0060	12/14/2010	Jack Melvin Glover Jr.	Cease & Desist	Mike Wilkerson	S10-0290
CD-2010-0061	12/14/2010 11/07/2011	USA Meats, Inc. Carl Douglas Smedley All Respondents	Cease & Desist Final Order Due to No Response	Randy Jones	S10-0171
CD-2010-0062	12/25/2010	Medical Connections Holdings Inc. Anthony Nicolosi	Cease & Desist	Mike Gantt	S10-0093
CD-2010-0064	12/21/2010 03/28/2011	City Capital Corporation Ephren W. Taylor Jr. Kinetra Dixon City Petroleum, LLC City Laundry Services, LLC All Respondents	Cease & Desist Final Order Due to No Response	Mike Gantt	S10-0214

Privacy Statement | Contact Us