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Securities enforcement orders

In the matter of Order number Order title
Accelerated Benefits Corporation, C. Keith Lamonda and Jess Lamonda S-03-0040 Order to Cease and Desist with Consent to Entry of Order
Access Integrity Funding Corp O-00-0019 Cease and Desist Order and Consent to Imposition of Civil Penalties
Acro-Tech, Inc., and Reggie D. Huff A-00-0023 Order to Cease and Desist and Stipulations and Consent to Entry of Order by Respondents Acro-Tech, Inc. and Reggie D. Huff
Acuity Lending Corporation, Rober Cancelosi, and Bret Costelow S-12-0098 order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order by Respondent Robert Cancelosi
Acuity Lending Corporation, Robert Cancelosi, and Bret Costelow S-12-0098 Final Orer to Cease and Desist, Final Order Denying Exemptions to the Securities Registration Requirements, Final Order Assessing Civil Penalties, and Consent to Entry of Order by Respondent Bret Costelow
Acuity Lending Corporation, Robert Cancelosi, and Bret Costelow S-12-0098 Final Order to Cease and Desist, Final Order Denying the Use of Exemptions to the Securities Registration Requirements, and Final Order Assessing Civil Penalties by Default Against Acuity Lending Corporation
Adriel J. Gaines S-10-0022 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Adriel J. Gaines S-09-0045 Order Granting Conditional Securities Salesperson License
Allan Winston Taylor and International Partners A-00-0018 Final Order to Cease and Desist and Assessing Civil Penalties Entered by Default as to Allan Winston Taylor and International Partners
Alliance Advisory & Securities, Inc. S-12-0099 Order to Cease and Desist, Order Assessing Civil Penalties, and Consent to Entry of Order
Alpha Telcom, Inc, Charles Tummino, Chris Clapp, Julie Blair Fingerson, Paul Farver, Melinda Farver, Janna Ramelli, and David Ramelli A-03-0012 Stipulated Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties and Consent to Entry of Order as to Melinda Farver
Alpha Telcom, Inc, Charles Tummino, Chris Clapp, Julie Blair Fingerson, Paul Farver, Melinda Farver, Janna Ramelli, and David Ramelli A-03-0012 Stipulated Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties, and Consent to Entry of Order as to Chris Clapp
Alpha Telcom, Inc, Charles Tummino, Chris Clapp, Julie Blair Fingerson, Paul Farver, Melinda Farver, Janna Ramelli, and David Ramelli A-03-0012 Stipulated Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties and Consent to Entry of Order as to Charles Tummino
Alpha Telcom, Inc, Charles Tummino, Chris Clapp, Julie Blair Fingerson, Paul Farver, Melinda Farver, Janna Ramelli, and David Ramelli A-03-0012 Stipulated Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties, and Consent to Entry of Order as to Paul Farver
Alpha Telcom, Inc, Charles Tummino, Chris Clapp, Julie Blair Fingerson, Paul Farver, Melinda Farver, Jonna Ramelli, and David Ramelli A-03-0012 Stipulated Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties and Consent to Entry of Order as to Jonna Ramelli
Alpha Telcom, Inc., ATC, Inc, Strategic Partnership Alliance, LLC, Paul Rubera, Charles tummino, Ross Rambach, Mark Kennison, David Winstead, and Julie Blair Fingerson A-03-0012 (B) Final Order to Cease and Desist, Denying Exemptions, And Assessing Civil Penalties by Default as to Alpha Telcom, Inc, ATC, Inc, Strategic Partnership Alliance, LLC, Paul Rubera, Ross Rambach, Mark Kennison, David Winstead, and Julie Blair Fingerson Only
Alpha Telcom, Inc., Charles Tummino, Chris Clapp, Julie Blair Fingerson, Paul Farver, Melinda Farver, Janna Ramelli, and David Ramelli A-03-0012 (b) Stipulated Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties and Consent to Etnry of Order as to David Ramelli
American Service Corp. and Roger J. Miracle O-95-0014 Cease and Desist Order, Order Assessing Civil Penalty, and Consent to Order
American Wireless Systems, Inc.; Dexter Selwyn Cohen; Jeffrey Dane Howes; Steven Gail Johnson O-95-0012 Final Order
Amway Mutual Fund, Inc. O-96-0028 Order to Assess Civil Penalties and Consent to Entry of Order
Anderson Heights Development LLC S-13-0044 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Andrew Hugh Meyer S-12-0003-3 Final Order to Cease and Desist, Denying Exemptions to the Securities Registration Requirements, and Assessing Civil Penalties Entered by Default
Andrew Scot Bolsinger S-10-0034 Order to Cease and Desist, Order Denying Exemptions, Order Barring From Industry, and Consent to Entry of Order
Astra Strategic Investment Series, Astra Adjustable U.S. Government Securities Trust I-A and II O-96-0021 Order to Assess Civil Penalties and Consent to Entry of Order
Avalon Investment & Securities Group, Inc. S-13-0132 Final Order to Cease and Desist, Final Order Assessing Civil Penalties, and Consent to Entry of Order
AXA Advisors LLC IT-08-0043-2 Order to Cease and Desist and Assessing Civil Penalties, Entered by Consent
Banc of America Securities LLC and Banc of America Investment Services, Inc S-09-0033 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Bank Watch; MBS Clearning; Donna A. Walls; and Larry D. Eady S-10-0006 Final Order to Cease and Desist; Order Denying Exemptions; and Order Assessing Civil Penalties; Entered by Default
Bankers Life and Casualty Company and BLC Financial Services, Inc., S-12-0053 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Barbara Alexis Blassingame, Frank J. Picciolo, Sterling Advance Marketing, Inc., and Event Media, Inc. A-03-0002 Final Order Entered by Default to Cease and Desist, Assessing Civil Penalties, and Denying Exemptions
Berjac of Oregon, an Oregon general partnership, Michael Holcomb, and Gary Holcomb S-12-0011 Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Default as to Berjac of Oregon Only
Berjac of Oregon, Michael S. Holcomb, Gary L. Holcomb, and Robert H. Holcomb O-96-0022 Order to Cease and Desist, Assessment of Civil Penalties, and Consent to Entry of Order
Billy Lynn Boedeker dba Lifeline Insurance Service S-06-0028-1 Order to Cease and Desist, Order Imposing Civil Penalty, and Consent to Entry of Order
Bountiful LLC, Redwood Trust, Riley Haragan, et al S-05-0029 Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Riley Haragan Only
Bountiful LLC, Redwood Trust, Brent Morriss, et al C-3822 Order to Cease and Desist and Consent to Entry of Order as to Brent Morriss Only
Bountiful LLC, Redwood Trust, Brett Pitner, et al C-3822 Order to Cease and Desist and Consent to Entry of Order as to Brett Pittner Only
Bountiful LLC, Redwood Trust, Christa Kirby, et al S-05-0029 Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Christa Kirby Only
Bountiful LLC, Redwood Trust, Christos Mandalides, et al C-3822 Order to Cease and Desist and Consent to Entry of Order as to Christos Mandalides Only
Bountiful LLC, Redwood Trust, Clyde Demoss, et al C-3822 Order to Cease and Desist and Consent to Entry of Order as to Clyde Demoss Only
Bountiful LLC, Redwood Trust, Jeff Preece, et al S-05-0029-15 Order to Cease and Desist and Consent to Entry of Order as to Jeff Preece Only
Bountiful LLC, Redwood Trust, Leta Mae Haragan, et al S-05-0029 Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Leta Mae Haragan Only
Bountiful LLC, Redwood Trust, Linda Pfeiffer, et al C-3822 Amended Order to Cease and Desist, Order Assessing Civil Penalties Entered by Default as to Linda Pfeiffer Only
Bountiful LLC, Redwood Trust, Mary Ann Mathis, et al S-05-0029 Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Mary Ann Mathis Only
Bountiful LLC, Redwood Trust, Michael Whelan, et al S-05-0029 Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Michael Whelan Only
Bountiful LLC, Redwood Trust, Nancy Alexander, et al S-05-0029 Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Nancy Alexander Only
Bountiful LLC, Redwood Trust, Scott Lee, et al C-3822 Second Amended Order to Cease and Desist, Order Assessing Civil Penalties Entered by Default as to Scott Lee Only
Bountiful LLC, Redwood Trust, Shawn McCorkle, et al S-05-0029 Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Shawn McCorkle Only
Bountiful LLC, Redwood Trust, Sterling Griffiths, et al C-3822 Order to Cease and Desist and Consent to Entry of Order as to Sterling Griffiths Only
Brendan Thomas Jones S-12-0077 Final Order to Cease and Desist, Final Order Denying Use of Exemptions to the Securities Registration Requirements, and Final Order Assessing Civil Penalties, Entered by Default
Brent Lince dba Treasure Heart Financial Counseling and dba Treasure Heart Financial Coaching S-11-0009 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Brookstreet Securities Corporation, Inc., and Ricardo Cabezas S-05-0017b Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Default against Ricardo Cabezas Only
Brookstreet Securities Corporation, Inc., and Ricardo Cabezas S-05-0017 (a) Order to Cease and Desist and Consent to Entry of Order Against Brookstreet Securities Corporation, Inc., Only
Bull & Bear Quality Growth Fund O-95-0013 Order Assessing Civil Penalties and Consent to Entry of Order
Caffe' Diva Group, Ltd, Vista Consulting, New England International Surety, Ronald Davis, and Steve Bolen A-02-0005 Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties as to Vista Consulting and Steve Bolen by Default
Caldwell Securities, Incorporated S-10-0029 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Calvert New World Fund, Inc., Calvert New Africa Fund, Class A O-96-0020 Order to Assess Civil Penalties and Consent to Entry of Order
Canyon Creek Development, Inc., Sunwest Management, Inc., Canyon Creek Financial, LLC., Senior Living Properties II, LLC., Senior Living Properties III, LLC., KDA Construction, Inc., Senenet, Inc., Encore Idemnity Management, LLC., Encore Indemnity, Ltd., Silver Insurance Management, LLC., and Silver Indemnity, Ltd. S-09-0028-1 Order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalties, and Notice of Right to a Public Hearing
Canyon Creek Development, Inc; Canyon Creek Financial, LLC; Sunwest Management, Inc.; Jon M. Harder; Darryl E. Fisher; Michael J. Deines; J. Wallace Gutzler; Thomas Biesiadecki; Jeffrey Schumacher; John David Thurber; Francis J. Curtis; and Mark Devos S-08-0044 Order Suspending Use of Exemptions to Registration Requirements; and Consent to Entry of Order as to the following Respondents: Canyon Creek Development, Inc; Canyon Creek Financial, LLC; Sunwest Management, Inc.; Jon M. Harder; Darryl E. Fisher; Michael J. Deines; J. Wallace Gutzler; Jeffrey Schumacher; Francis J. Curtis; and Mark Devos
Capital Guardian, Inc., Blake Wilson, Malory Investments, LLC, Ronald Stein, Pacific Network and Consulting, Daniel Caterino, Randle "Randy" Villa, Tony Albany, Lifeline Imaging, LLC, Randall Morton, Consulting Dynamics, Inc., and Stanley Johnson S-11-0003 Final Order to Cease and Desist, Denying Exemptions, And Assessing Civil Penalties Entered by Default Against Pacific Network and Consulting, Daniel Caterino, Randle "Randy" Villa, Tony Albany, Lifeline IMaging, LLC, Randall Morton, Consulting Dynamics, Inc., and Stanley Johnson Only
Capital Guardian, Inc., Blake Wilson, Malory Investments, LLC, Ronald Stein, Pacific Network and Consulting, Daniel Caterino, Randle "Randy" Villa, Tony Albany, Lifeline Imaging, LLC, Randall Morton, Consulting Dynamics, Inc., and Stanley Johnson s-11-0003 Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties and Consent to Entry of Order as to Capital Guardian, Inc., and Blake Wilson Only
Capital Guardian, Inc., Blake Wilson, Malory Investments, LLC, Ronald Stein, Pacific Network and Consulting, Daniel Caterino, Randle "Randy" Villa, Tony Albany, Lifeline Imaging, LLC., Randall Morton, Consulting Dynamics, Inc., and Stanley Johnons S-11-0003 Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, and Consent to Entry of Order as to Malory Investments, LLC and Ronald Stein Only
Carla Key CRD #1348780 S-05-0031 Order to Cease and Desist, Assessing Civil Penalty and Consent to Entry of Order
Carroll Media, Inc., Roland Carroll, Paul L. Miller, and Gary Piano O-93-0018 Final Order to Cease and Desist, Denial of Exemptions, and Assessment of Civil Penalties
Cascade Investment Counsel LLC S-13-0071 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Casey A. Mock and Bruce R. Mock S-12-0003-1; S-12-0003-2 Final Order
Castle Advisers LLC S-11-0058-b Order to Cease and Desist; Order Withdrawing Exclusions from Definition of "Investment Adviser;" Order Denying Use of Exemptions to the Securities Registration Requirements; Order Assessing Civil Penalties; and Consen to Entry of Order AS TO CASTLE ADVISERS, LLC ONLY.
Cecil F. Smith Jr. Aka "Buz" Smith, Church Ministries Distribution, Inc. dba Church Ministries Distribution S-10-0015 Final Order Finding Respondents in Violation of Prior Consent Order and Assessing Previously Suspended Civil Penalty, Entered by Default
Cecil F. Smith Jr. aka "Buz" Smith, Church Ministries Distribution, Inc., dba Church Ministries Distribution S-10-0015 Order to Cease and Desist, Order Assessing Civil Penalties, Order Denying Exemptions, and Consent to Entry of Order
Centex Securities, Inc., Frank M. Savasta, Peter Jason Worrell, and Robert Frank Toth A-01-0013 Order to Cease and Desist Denial of Exemptions Order Assessing Civil Penalty and Consent to Entry of Order as to Peter Jason Worrell
CFS Investment Trust O-93-0020 Order Assessing Civil Penalties and Consent to Entry of Order
Charles Edward Pruitt, Energy Group International, Inc., Energy Group Company, Inc., and Energy Group Associates, Inc. A-01-0004 Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order
Charles V. Pownall, and Kovert Soft Technologies, Inc. S-05-0089 Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Default Against Charles V. Pownall and Kovert Soft Technologies, Inc.
Charles Wesley Rhodes; The Rhodes Company; and Rhodes Econometrics O-99-0015 Order to Cease and Desist, Order Assessing Civil Penalty and Consent to Entry of Order
Childcare Seekers One Stop, Inc., and Christina Hart S-06-0019 Final Order to Cease and Desist and Assessing Civil Penalties Entered by Default as to Childcare Seekers One Stop, Inc., and Christina Hart
Christopher John Tento and James Joseph Honse S-05-0054 Order to Cease and Desist, Order Assessing civil Penalty and Consent to Entry of Order as to Christopher John Tento
Christopher John Tento and James Joseph Honse S-05-0054 Final Order to Cease and Desist Against James Hoseph Honse Entered by Default
Citigroup Global Markets Inc S-09-0017 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Citigroup Global Markets Inc. (formerly known as Salomon Smith Barney Inc.) 388 Greenwich Street, New York, New York 10013 S-03-0035 Administrative Order, Order Imposing Monetary Obligations, and Consent to Entry of Order
Cleveland J. Brigham and Michelle Brigham, aka Michele Brigham, Mortgage Lenders Unlimited, INc., an inactive Oregon corporation, Mortgage Services of America Inc., an Oregon corporation and CBJ Enterprises, Inc., an inactive Oregon Corporation 9407-04872 (S-94-0027) Stipulated Final Decree/Permanent Injunction
Clifford Puterbaugh dba The Wealth Keys S-13-0133 Order to cease and Desist, Order Denying the Use of Exemptions to the Securities Registration Requirements, Order Assessing Civil Penalties, and Consent to Entry of Order
Clyde Paul Carr, Jr. S-12-0068-2 Final Order to Cease and Desist, Final Order Denying Use of Exemptions, Final Order Assessing Civil Penalties, Entered by Default, and Notice of Right to Appeal
Corbin Shirley A-01-0029 Final Order to Cease and Desist_Denying Exemptions and Assessing Civil Penalties_Entered by Default as to
Corporate Executives, Inc. and Larry M. Pember S-05-0067 Order to Cease and Desist, Denial of Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order
Craig Berkman O-98-0024 Stipulated Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, and Stipulation and Consent to Entry of Order by Respondent
Craig Berkman O-98-0024 Stipulated Amended Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, and Stipulation and Consent to Entry of Order by Respondent
Creative Pet Products, Inc., Phillip A. Berlin, and Frederick M. Bloom S-96-0018 Final Order to Cease and Desist, Denial of Exemptions, Assessment of Civil Penalties, Notice of Right to Hearing by Default
Creative Pet Products, Inc., Phillip A. Berlin, and Frederick M. Bloom S-96-0018 Acknowledgment of Payment of Monetary Penalty by Respondent Bloom
Credit Suisse Securities (USA) LLC S-09-0053 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Custom Mortgage, LLC and Patrick Carney X-09-0038 Order to Cease and Desist, Assessing Examination Fee, and Consent to Entry of Order
Cutler Investment Counsel, LLC S-11-0072 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Dale Stuart Lauder S-11-0061 Final Order of Cease and Desist, Order Denying Exemptions, and Order Assessing Civil Penalty, Entered by Default
Daniel Holz S-10-0028 Order to Cease and Desist; Order Denying Exemptions; License Application Bar; Order Assessing Civil Penalties; and Consent to Entry of Order
Daniel Michael Wheatley S-07-0009-1 Order to Cease and Desist, Order Barring From Industry, Order Denying Exemptions, Order Imposing Civil Penalties, and Consent to Entry of Order
Data Technology Group, Las Vegas 220 SMR, Leon Swichkow, Dean Lucas and Richard J. Allen A-01-0052 Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Default Against Data Technology Group, Las Vegas 220 SMR, Leon Swichkow, Dean Lucas and Richard J. Allen
David Arnold Miller dba Western Internet Services Corp., aka Wincorp S-03-0056 Order to Cease and Desist, Order Denying Use of Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order
David R. Loeser and D.R. Loeser & Co., Inc. S-11-0074 Order to Cease and Desist, Order Assessing Civil Penalty, Consent to Entry of Order, License Surrender, and Bar from Securities Business in Oregon
David S. Treanor and Patience & Discipline Investment Club, Inc. A-02-0013 Final Order to Cease and Desist Denial of Exemptions and Assessment of Civil Penalties Entered by Default
Daytradingbuddy LLC and Remzi Bajrami S-14-0042 Final Order to cease and Desist, Order Assessing Civil Penalty, Entered by Default
DBSI Securities, Inc. A-03-0022 Order Terminating License and Consent to Order
Delbert Leroy Stephens, Jr. and D. L. Stephens, Inc. O-92-0005 Order to Cease and Desist, Denial of Exemptions, Order Assessing Civil Penalties and Consent to Entry of Order
Dennis J. Martinez and Janice L. Martinez S-12-0079 Order to Cease and Desist, Order Denying Exemptions, Proposed Order Assessing Civil Penalty, and Consent to Entry of Order
Dennis Reinold Thaut, dba First Security Financial S-09-0012 Order to Cease and Desist, Order Denying Exemptions, and Consent to Entry of Order
Derek Dunmyer S-14-0025 Order to Cease and Desist, Order Assessing Civil Penalty, Order Denying Exemptions, Bar from Financial Services Business Activities, and Consent to Entry of Order
Derek R. Lenington and Lenington Financial LLC dba Lenington Financial S-10-0013 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Deutsche Bank Securities Inc S-09-0039 Order Assessing Civil Penalty and Consent to Entry of Order
Deutsche Bank Securities, Inc. S-05-0003 Administrative Consent Order
Diversified Resources Group; Larry Malbrue, Sr.; Ron Price; Jim Jackson O-93-0021 (1) Final Order by Default as to Diversified Resources Group and Larry Malbrue, Sr.
Diversified Resources Group; Larry Malbrue, Sr.; Ron Price; Jim Jackson O-93-0021 Final Order Against Jim Jackson and Ron Price
Donald E. Freeman and Freeman Capital Management, LLC S-12-0040 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Donald G. Varce O-94-0032 Final Order by Default, Order to Cease and Desist, Denial of Exemptions, and Assessment of Civil Penalties
Douglas Goodrum, Alpha Energy, Inc., Alliance Resources Group, Inc., Alex Bailey, and Jay Reynolds S-07-0025 Order Withdrawing Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Default Against Douglas Goodrum Only
Douglas Goodrum, Alpha Energy, Inc., Alliance Resources Group, Inc., Alex Bailey, and Jay Reynolds S-07-0025 (C) Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Consent as to Douglas Goodrum Only
Douglas Goodrum, Alpha Energy, Inc., Alliance Resources Group, Inc., Alex Bailey, and Jay Reynolds S-07-0025 Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Default Against Douglas Goodrum, Alpha Energy, Inc., Alliance Resources Group, Inc., and Jay Reynolds Only
Douglas Goodrum, Alpha Energy, Inc., Alliance Resources Group, Inc., Alex Bailey, and Jay Reynolds S-07-0025 (B) Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Consent as to Alex Bailey Only
DR Thaut, Inc., dba First Security Financial, and Dennis Reinold Thaut A-02-0042 Order to Cease and Desist, Order Assessing Civil Penalty, Order Denying Use of Exemptions, and Consent to Entry of Order
E*Trade Securities LLC S-11-0130 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
E.M.E. Funding Corp. and Edward M. McKee O-94-0002 Order to Cease and Desist, Denying Certain Exemptions and Assessing Civil Penalty, and Consent to Entry of Order
Edward Michael Johnson CR0701788 Judgment (Clackamas County Circuit Court)
Edward Michael Johnson CR-07-0054-1 Order to Cease and Desist, Order Denying Exemptions, and Consent to Entry of Order
Edwin Tolentino Garcia S-07-0009-3 Order to Cease and Desist, Order Barring From Industry, Order Denying Exemptions, Order Imposing Civil Penalties, and Consent to Entry of Order
Elder Research Corporation, an Oregon corporation; Ronald R. Elder, and individual; and Rita M. Elder, and individual S-07-0022 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Eljay Investment Company; and Leonard J. Chaitin S-12-0001 Order to Cease and Desist; Order Assessing Civil Penalties; and Consent to Entry of Order
Elton T. Elliott and Virtual Adventures, Inc. A-02-0003 Order to Cease and Desist Order Assessing Civil Penalty and Consent to Entry of Order
Energy Service Company, Inc., aka Enserco; and John P. Brink O-96-0005 Final Order to Cease and Desist, Denial of Exemptions, and Assessment of Civil Penalties, Entered by Default
Epitome, LLC, a Washington Limited Liability Company; Robert Neace, Jr., and James Billington A-02-0030 Order to Cease and Desist Order Assessing Civil Penalty and Consent to Entry of Order as to Respondent James Billington
Epitome, LLC, a Washington Limited Liability Company; Robert Neace, Jr., and James Billington A-02-0030 Final Order to Cease and Desist Denial of Exemptions and Assessment of Civil Penalties Entered by Default as to Respondent Epitome, LLC
Epitome, LLC, a Washington Limited Liability Company; Robert Neace, Jr., and James Billington A-02-0030 Order to Cease and Desist Order Assessing Civil Penalty and Consent to Entry of Order as to Respondent Robert Neace, Jr.
Epitome, LLC, Robert Neace, Jr., and James Billington A-02-0030 Order Modifying, Order to Cease and Desist as to Robert Neace, Jr., Only
Errol H. Schnider; Arizona Metro Direct Information Services, Inc., (a Nevada corporation); Arizona Metro Direct Information Service, Inc., (an Arizona Corporation); and Arizona Metro Direct Information Services, Inc., (an Arizona corporation) A-01-0038 Order to Cease and Desist Denial of Exemptions Order Assessing Civil Penalty and Consent to Entry of Order
First Assurety Capital Corp., Sales Support Services, Inc., Steven E. Coryell, and Richard W. Scheu O-96-0037 Order to Cease and Desist, Denial of Exemptions, Assessment of Civil Penalties, Entered by Default
First Colonial Bank, LTD a/k/a Pac-Rim, Inc. S-88-0011 Closure Certificate; Case History
First Federated Companies of Oregon, Inc., an Oregon Corporation, fka First Federated Communications of Oregon, Inc., dba First Choice Communications; Michael J. Morris; Robert A. Miller; and Stephen E. Allsup A-02-0009(b) Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order by Respondent Michael A. Miller
First Federated Companies of Oregon, Inc., an Oregon Corporation, fka First Federated Communications of Oregon, Inc., dba First Choice Communications; Michael J. Morris; Robert A. Miller; and Stephen E. Allsup A-02-0009(c) Final Order to Cease and Desist Denying Exemptions and Assessing Civil Penalties Entered by Default as to Respondent First Federated Companies of Oregon, Inc.
First Federated Companies of Oregon, Inc., an Oregon Corporation, fka First Federated Communications of Oregon, Inc., dba First Choice Communications; Michael J. Morris; Robert A. Miller; and Stephen E. Allsup A-02-0009 Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order by Respondent Michael J. Morris
First Federated Companies of Oregon, Inc., an Oregon Corporation, fka First Federated Communications of Oregon, Inc., dba First Choice Communications; Michael J. Morris; Robert A. Miller; and Stephen E. Allsup A-02-0009(a) Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order by Respondent Stephen E. Allsup
First Financial Planners, Inc.; FFP Securities, Inc.; FFP Advisory Services, Inc., A-00-0007 Order to Cease and Desist and Stipulations and Consent to Entry of Order by Respondents First Financial Planners, Inc.; FFP Securities, Inc., FFP Advisory Services, Inc.
First Liberty Financial, Kerry Dalbert, Stephen M. Parrino, Danny M. Rayburn, Michael Donaldson, Joshua Craig S-04-0014 Order to Cease and Desist Order Imposing Civil Penalty and Denying Use of Exemptions Entered by Default
Fiscal Funding, Inc. (formerly known as Franklin Funding, Inc.) and Richard F. Yost O-95-0011 Order to Cease and Desist, Assessment of Civil Penalties and Consent to Entry of Order by Fiscal Funding, Inc., and Richard F. Yost
Flameseal International, Inc., American Venture-Eagle International, Inc.; and Larry E. Hunter O-96-0009 Order to Cease and Desist, Denial of Exemptions, and Assessment of Civil Penalties
Frank T. Dunn, Jr. S-07-0002 Order Conditioning the Securities Broker-Dealer Salesperson License of Frank T. Dunn, Jr., Entered by Consent
Fresh NetSoft, Inc., Cybernet International, Inc., Gateway Consulting, Inc., A. Blaine Randall, Chuck Kempton, Joseph Howard Champion, aka Allan Wells, Pather Lloyd Neff, Clay Sanger, and Alan Poon O-97-0013 Final Order; Cease and Desist, Denial of Exemptions, and Assessment of Civil Penalties; Default Order for Cybernet International, Inc., Gateway Consulting, Inc., A. Blaine Randall, Joseph Howard Champion, Clay Sanger, Alan Poon
FTI Capital Advisors LLC S-12-0102 Order to Cease and Desist, Order Assessing Civil Penalties, and Consent to Entry of Order
G. David Chinchurreta O-95-0018b.pdf Agreement
G. T. Global Growth and Income Fund O-93-0008 Order Assessing Civil Penalties and Consent to Entry of Order
G. T. Global Health Care Fund O-93-0009 Order Assessing Civil Penalties and Consent to Entry of Order
Gaia Capital Management, Inc., and James C. Pursley S-12-0103 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Gary Buchanan and Turfmate Products, Inc. A-01-0002 Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order
GBS Funding, James Georgen and Lee Stortz A-03-0023 Final Order to cease and Desist, Denying Exemptions, and Assessing Civil Penalties by Default as to GBS Funding and Lee Stortz
Gerald Thomas Rauscher aka Dominic Rauscher S-13-0158 Final Order to Cease and Desist, Final Order Denying Use of Exemptions to the Securities Registration Requirements, Final Order Assessing Civil Penalty, and Consent to Entry of Order
Gigapix Studios, Inc., a California corporation, and Christopher J. Blauvelt, an individual S-08-0018 Order to Cease and Desist, Conditioning of Exemptions, Order Assessing Civil Penalty and Consent to Entry of Order
Goldman, Sachs & Co., (CRD #361) S-10-0009 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Gordon Rodney Baze, Jr., aka Gordy Baze S-05-0028 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Grace Financial Group, LLC S-13-0607 Final Order to Cease and Desist, Revoking Broker-Dealer License, and Assessing Civil Penalties, Entered by Default
Great Circle Financial S-13-0070 Final Order to Cease and Desist, Order Assessing Civil Penalty, Entered by Default
Gregory Louis Peck A-04-0001 Order to Cease and Desist, Order Imposing Civil Penalty, Entered by Default
H. C. Denison Company S-10-0004 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
H. G. Wellington & Co., Inc. O-92-0008 Cease and Desist Order, Civil Penalty, Consent of H. G. Wellington & Co., Inc.
Hans Wayne Schnauber, an individual, Kathy Charlee, an individual, and Horace T. Johnson, an individual S-05-0056 Order of Dismissal as to Horace T. Johnson
Hans Wayne Schnauber, an individual, Kathy Charlee, an individual, and Horace T. Johnson, an individual S-05-0056 Order to Cease and Desist, Order Assessing Civil Penalty and Consent to Entry of Order against Kathy Charlee
Hans Wayne Schnauber, an individual, Kathy Charlee, an individual, and Horace T. Johnson, an individual S-05-0056 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order Against Hans Wayne Schnauber
Harold Michael Peterson, B.A. Prabhudass, aka Aaron Bolleddula, M & L Investments, Inc., and Steadfast Ventures, Ltd. O-95-0009 Final Order Entered by Default
Harry Dean Proudfoot, III; Insurance Designers of the Northwest, Inc.; and Phil Jensen O-91-0030 Cease and Desist Order, Order Denying Exemptions, and Consent to Entry of Order by Phil Jensen
Harry Dean Proudfoot, III; Insurance Designers of the Northwest, Inc.; and Phil Jensen O-91-0030 Cease and Desist Order, Order Revoking License, Order Denying Exemptions, and Consent to Entry of Order by Harry Dean Proudfoot, III
Henry Paul Regan, Jr. S-04-0011 Final Order to Cease and Desist and Assessing Civil Penalties Entered by Default
High Tech Travel Services Corporation, Benjamin R. Callari, Donald R. Myatt, Jr., and Dennis L. Weathers A-00-0026 Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order
IGR Mortgage Co. and Scott E. Shankland O-93-0016 Order to Cease and Desist, Order Denying Certain Exemptions, Civil Penalty, and Consent to Entry of Order
International Business Development, LTD., and Yoram Gordon S-10-0023 Order to Cease and Desist and Consent to Entry of Order
International Financial Resources, LLC, Norman Jansen, and Edward Johnson O-01-0006 Order to Cease and Desist; Order Denying Use of Exemptions, and Consent to Entry of Order
IRA Wealth, LLC, an Oregon limited liability company, dba Safeguard Financial and Safeguard IRA & 401(k) Advisors S-13-0603 Order to Cease and Desist and Assessing Civil Penalties and Consent to Entry of Order
Jack Kleck, doing business individually and under the name Jack Kleck Investments S-07-0001 Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties. Order of Revocation of Broker-Dealer Salesperson License of Jack Kleck
Jack Phillips and Elliott James S-11-0046-A Order to Cease and Desist; Order Denying Exemptions to the Securities Registration Requirements; Order Assessing Civil Penalties; and Consent to Entry of Order as to Jack Phillips Only
Jack Phillips and Elliott James S-11-0046-B Final Order to Cease and Desist; Order Denying Exemptions to the Securities Registration Requirements, and Order Assessing Civil Penalties Entered by Default Against Elliott James Only
Jacqueline Atkinson IT-08-0043-1 Order to Cease and Desist, License Revocation, Denying Exemptions, Imposing Permanent Bar, Assessing Civil Penalties, and Consent to Entry of Order
James A. McHan O-95-0018 Agreement
James Dombrowski aka James dba Entrepenuer Exports Corp. S-05-0023 Final Order to Cease and Desist and Assessing Civil Penalties Entered by Default
James Edward Theeler S-10-0058-2 Order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order
James Hampton Simmons Jr S-09-0054 Order Granting Conditional Securities Salesperson License
James Honse, and Starship Consortium, Ltd. O-94-0045 Agreement and Undertaking for James Honse and Starship Consortium, Ltd.
James John Rask S-05-0064-7 Final Judgment Incorporating the Consent Order of Permanent Injunction, Ancillary Equitable Releift, and Civil Monetary Penalty Against James John Rask
James Salvatore Georgen, Jr. CR-07-0028 Clackamas County Judgment
James Salvatore Georgen, Jr. S-08-0014 Order to Cease and Desist, Order Denying Exemptions, Bar from Financial Industry, Assessment of Civil Penalty, and Consent to Entry of Order
James Walter Malanowski S-13-0025 Order to Cease and Desist, Denying Use of Exemptions to the Securities Registration Requirements, and Assessing Civil Penalties and Consent to Entry of Order
Janrain, Inc. S-14-0018 Final Order to Cease and Desist and Assessing Civil Penalties and Consent to Entry of Order
Jeffrey Louis Moore CR0701600 Judgement (Clackamas County Circuit Court)
Jim Georgen S-03-0044 Order to Cease and Desist, Denying Exemptions, Revoking Licensure, and Assessing Civil Penalties and Consent to Entry of Order
Jimmy Ray Kelly and The Roje S-12-0066 Order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order
John David Thurber S-09-0016-4 Order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalties, and Consent to Entry of Order
John M. Mendola S-09-0067-2 Order Granting Conditional Securities Salesperson and Investment Adviser Representative Licenses
John Michael Grishkin S-11-0107 Order to Cease and Desist, Order Denying Securities Exemptions, Agreement Not to Apply for Finance Industry Related License or Registration, Order Assessing Civil Penalties, and Consent to Entry of Order
John Michael Grishkin S-12-0021 Final Order of Violation of Prior Consent Order and Order Assessing Previously Suspended Civil Penalty
Jon Michael Harder S-09-0028-2 Order to Cease and Desist, Order Denying Exemptions, License Application Bar, Order Assessing Civil Penalties, Voluntary Surrender of License, and Consent to Entry of Order
Joseph M. Blackwell and Blackwell Donaldson & Company S-05-0001 Final Order
JPMorgan Chase & Co., CRD #79 S-09-0040 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Karl Kent Spencer, dba Kirby of Greater Oregon S-09-0071 Order to Cease and Desist, Order Assessing Civil Penalties and Consent to Entry of Order
Karl Kent Spencer, dba Kirby of Greater Oregon S-11-0007 Final Order
Kathie A. Hitchcock and Janice Binion dba Four Steps to Wealth A-02-0069 Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order as to Kathie A. Hitchcock
Kathie A. Hitchcock and Janice Binion dba Four Steps to Wealth A-02-0069 Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order as to Janice Binion
Keeley Funds, Inc. S-09-0008 Order to cease and desist, Order Assessing Securities Notice Filing Fees, and Consent to Entry of Order
Kenneth G. Titus, Sr. dba Redwood Trust S-05-0029 Final Order
Kevin Ruggiero and Baxter, Banks, and Smith, Ltd. A-00-0009 Final Order to Cease and Desist Denying Exemptions and Assessing Civil Penalties Entered by Default as to Baxter, Banks, and Smith, Ltd.
Kim M. Victor, Respondent, and Northwest Investment Services, Inc. S-09-0032 Final Order to Cease and Desist, Order Denying Exemptions, Bar From Financial Services Business Activities, and Consent to Entry of Order
Kristopher K. Keeney S-11-0073 Final Order to Cease and Desist, Order Denying Exemptions, and Order Assessing Civil Penalty, Entered by Default
Kyle E. Higgins S-13-0065 Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalty and Consent to Entry of Order
L.H. Ross & Company, Inc., a New York corporation S-05-0039 Final Order Revoking Broker-Dealer License Entered by Default
Larry Alan Stockett and OTC Emerging Growth Fund Inc O-96-0007 Order to Cease and Desist, Denial of Exemptions, Assessment of Civil Penalties, and Consent to Entry of Order
Laser Vision Technologies, Inc. A-00-0017 Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order
Lawrence Lewis Beard, and individual S-06-0025 Order to Cease and Desist, Denial of Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order
Leading Solutions, Inc., and Douglas Goodrum A-02-0001 Order to Cease and Desist Order Assessing Civil Penalty and Consent to Entry of Order
Lee Douglas Tusberg and Barbara Edgemon A-01-0020 Stipulated Amended Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties and Stipulation and Consent to Entry of Order by Respondent
Lendingclub Corporation S-10-0050 Final Order Denying Application for Registration of Securities, Entered by Default
Les Kruse, an individual, James B. Gilmore, an individual, Gerrick Rod Powell, an individual and Morgan Investment Pool, Inc., a Nevada corporation S-93-0014 Final Judgment, Money Judgment, and Permanent Injunction
Lewis Hanson and Company, Inc.; Tony Lewis; Steve D. Hanson O-92-0033 Order to Cease and Desist, Order Assessing Civil Penalties, and Consent of Lewis Hanson and Company, Inc., to Entry of Order
Lightstone Value Plus Real Estate Investment Trust, Inc. S-10-0051 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Lincoln Highlands Limited Partnership and Marjorie M. Boyd S-05-0057 Order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order
LPL Financial LLC, fka Linsco Private Ledger Corporation S-07-0001-2 Order to Cease and desist and Assessing Civil Penalties and Consent to Entry of Order
Magellan Securities Inc., Terry Michael Laymon, Dennis Leroy Dunn A-01-0033 Order to Cease and Desist Order Assessing Civil Penalty Order Denying Exemptions Order Suspending Securities Salesperson License of Dennis Leroy Dunn and Consent to Entry of Order as to Dennis Leroy Dunn
Marcus White, Russell F. Kenaga, Jr., Russ Kenaga, Inc., and Property Acquisitions, Inc. O-96-0029 Order to Cease and Desist to Assess Civil Penalties, Denial of Exemptions, and Consent to Entry of Order
Mark E. Stuart; and Halsey L. Johnston O-95-0030 Order to Cease and Desist, Denying Exemptions; Imposing Civil Penalties; and Stuart Consent to Entry of Order
Mark E. Stuart; and Halsey L. Johnston O-95-0030 Final Order as to Respondent Johnston, Entered by Default
Mary Manin Morrissey, and individual; Edward P. Morrissey, and individual; The Living Enrichment Center, a non-profit religious organization, Living Enrichment Ministries, a non-profit religious corporation; New Thought Broadcasting, Inc.; and New Thought Broadcasting Foundation, a dissolved Oregon corporation S-05-0005
(Multnomah County Case number 0504-035090
Consent Decree and Final Judgement and Order
Merrill Lynch Pierce Fenner & Smith Incorporated S-09-0034 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Merrill Lynch, Pierce, Fenner & Smith Incorporated S-09-0059 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Merrill Lynch, Pierce, Fenner & Smith, Inc. A-02-0025 Administrative Order Order Imposing Monetary Obligations and Consent to Entry of Order
Metlife Securities, Inc. S-05-0006 Order to Cease and Desist Entered by Consent
Michael D. Mansfield, Mansfield Trust, Mansfield Corporation, and Mansfield Viatical Management S-03-0046 Final Order to Cease and Desist, Order Denying Use of Exemptions, and Order Imposing Civil Penalty Entered by Default
Michael Del Branson A-01-0017 Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order
Michael Francis Dobbs and GIT Securities Corporation S-03-0051 Order to Cease and Desist, Order Imposing Civil Penalty Entered by Default
Michael J. Eugenio and Cascade Financial Concepts, Inc., dba Eugenio Financial S-12-0008 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A. Resort Holdings International, Inc., Resort Holdings International, S.A., World Phantasy Tours a/k/a Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder S-07-0043 Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Defaul Against Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phantasy Tours a/k/a Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Stephen Monroe, and Dale Lauder only
Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phantasy Tours a/k/a Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Rick Greene, Roget Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, Dale Lauder, and James Theeler S-07-0043-15 Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Lawrence Beard Only
Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phatasy Tours a/ka/ Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder S-07-0043-19 Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Joel Whaley Only
Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phatasy Tours a/ka/ Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder S-07-0043-16 Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Royal Edwards Only
Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phatasy Tours a/ka/ Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder S-07-0043-11 Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Rick Greene Only
Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phatasy Tours a/ka/ Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder S-07-0043-17 Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Kenneth Christensen Only
Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phatasy Tours a/ka/ Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder, and James Theeler S-07-0043-13 Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Douglas Laird Only
Michael Kelly, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phantasy Tours a/k/a Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder S-07-0043-12 Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Roger Stewart Only
Michael Kelly, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phantasy Tours a/k/a Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder, and James Theeler S-07-0043-20 Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to James Theeler Only
Michael Nelson Real Estate, Inc., Michael R. Nelson O-94-0012 Order to Cease and Desist, Denying Certain Exemptions and Assessing Civil Penalty, and Consent to Entry of Order
Michael Patrick Kaiser S-07-0006 Order to Cease and Desist, Order Denying Use of Exemptions, Order Imposing Civil Penalties, and Consent to Entry of Order
Michael Wayne Smith and Stacey Lynne Smith S-06-0032-2 Order to Cease and Desist, Order Denying Exemptions, and Consent to Entry of Order as to Stacey Lynne Smith Only
Michael Wayne Smith and Stacey Lynne Smith S-06-0032-1 Order to Cease and Desist, Order Denying Exemptions, and Consent to Entry of Order as to Michael Wayne Smith Only
Michelle Moses S-05-0087-2 Final Order to Cease and Desist and Order Assessing Civil Penalties by Default
Millennium Electronics 2, Inc., A-02-0084 Order to Cease and Desist, Order of Rescission, Order Assessing Civil Penalty, and Consent to Entry of Order
Morgan Asset Management, Inc., a wholly owned subsidiary of MK Holding, Inc., a wholly owned subsidiary of Regions Financial Corporation; and Morgan Keegan & Company, Inc., a wholly owned subsidiary of Regions Financial Corporation S-11-0067 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Morgan Stanley & Co Incorporated (CRD#9209) S-09-0060 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Morgan Stanley & Co. Incorporated S-08-0017 Findings of Fact, Conclusions of Law, Consent Order
Morgan Stanley Charter Graham L.P. and Morgan Stanley Spectrum Select L.P. s-09-0009 Order to Cease and Desist and Consent to Entry of Order
Mortgage Exchange, Inc. S-08-0033 Order Suspending Order of Registration and Use of Exemptions to Registration Requirements and Consent to Entry of Order
Mother Nature's Remedies, Inc., Phillip L. Peters, and Bruce E. Schulte O-95-0016 Order to Cease and Desist, Denial of Exemptions, Assessment of Civil Penalties, and Consent of Mother Nature's Remedies, Inc., and Phillip L. Peters to Entry of Order
Mother Nature's Remedies, Inc., Phillip L. Peters, and Bruce E. Schulte O-95-0016 Order to Cease and Desist, Denial of Exemptions, Assessment of Civil Penalties, and Consent of Bruce E. Schulte to Entry of Order
National Equipment Providers, LLC; Spa Marketing, LLC; Walter Theis; Ross Rambach; Mark Kennison, and Harry Proudfoot III S-03-0047-b Order of Dismissal Without Prejudice as to Walter Theis Only
National Equipment Providers, LLD; Spa Marketing, LLC: Walter Theis; Ross Rambach; Mark Kennison, and Harry Proudfoot III S-03-0047a Final Order to Cease and Desist, Denying Exemptions, And assessing Civil Penalties by Default as the National Equipment Providers, LLC; Spa Marketing, LLC; Ross Rambach; Mark Kennison, and Harry Proudfoot III only
National Funding Service Inc. O-00-0010 Order to Cease and Desist Order to Assess Civil Penalty Consent to Entry of Order
Nativeone Institutional Trading, LLC S-13-0606 Final Order to Cease and Desist, Revoking Broker-Dealer License, and Assessing Civil Penalties, Entered by Default
Nendels Corporation, nka Skylink Communications Corporation, an Oregon Corporation; Gary Alfred Shill and Tarlton Snead Gosney A-01-0027 Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order by Respondent Tarlton Snead Gosney
Nendels Corporation, nka Skylink Communications Corporation, an Oregon Corporation; Gary Alfred Shill and Tarlton Snead Gosney A-01-0027 Final order to Cease and Desist, Denial of Exemptions, and Assessment of Civil Penalties Entered by Default As to Nendels Corp.
Nendels Corporation, nka Skylink Communications Corporation, an Oregon Corporation; Gary Alfred Shill and Tarlton Snead Gosney A-01-0027 Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order by Respondent Gary Alfred Shill
Northwest Paytele Communications, Inc., and Steven Cooper S-04-0012 Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Default as to Northwest Paytele Communications, Inc.
Northwest Paytele Communications, Inc., and Steven Cooper S-04-0012 Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties and Consent to Entry of Order as to Steven Cooper
Nuhart Funding, Inc.; and David L. Fendall O-96-0003 Order to Cease and Desist; Denial of Exemptions; Assessment of Civil Penalties; and Consent of Respondents to Entry of Order
Ocean Resources Corporation of America, Timothy Roen Kraft O-95-0004 Order to Withdraw
Omni Advisor Group, Inc., Brian P. McGuane, Kevin E. Sullivan, Brent Burke, Chris Duda, Nora Fileccia, Bernie Lemke, and Gus Thomas S-03-0039 Stipulated Order as to Respondents Omni Advisor Group, Inc., and Brian P. McGuane
Orion International, Inc., Russell B. Cline, April Duffy, Bangone Vorachith, and Nancy Hoyt S-05-0064-3 Consent Order of Permanent Injunction, Ancillary Equitable Releift, and Civil Monetary Penalty Against Nancy Hoyt
Orion International, Inc., Russell B. Cline, April Duffy, Bangone Vorachith, and Nancy Hoyt S-05-0064-1 Order of Default Judgement for Permanent Injunction, Ancillary Equitable Relief, and Civil Monetary Penalty Against Orion International, Inc.
Orion International, Inc., Russell B. Cline, April Duffy, Bangone Vorachith, and Nancy Hoyt S-05-0064-4 Final Judgement Order of Permanent Injunction, Ancillary Equitable Relief, and Civil Monetary Penalty Against Russell B. Cline
Orion International, Inc., Russell B. Cline, April Duffy, Bangone Vorachith, and Nancy Hoyt S-05-0064-8 Consent Order of Permanent Injunction, Ancillary Equitable Relief, and Civil Monetary Penalty Against April Duffy
Orion International, Inc., Russell B., Cline, April Duffy, Bangone Vorachith, and Nancy Hoyt S-05-0064-9 Consent Order of Permanent Injunction and Ancillary Equitable Relieft, Against Samantha B. Vorachith formerly known as Bangone Vorachith
Owens Mortgage Investment Fund, A California Limited Partnership and Owns Securities Corporation S-09-0020 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Pac West Mortgage & Investments and Ron Ogle O-01-0009 Cease and Desist Order and Consent to Imposition of Civil Penalties
Pacific Cascade Investment, Inc. O-94-0042 Order to Cease and Desist, Suspension of License, Assessment of Civil Penalties, Consent to Entry of Order
Pacwest Funding.com and Das Financial Services, Inc. dba Boise River Mortgage O-01-0054 Cease and Desist Order and Consent to Imposition of Civil Penalties
PaineWebber Incorporated O-96-0002 Consent Order
Philip V. Swan Associates, Inc. O-93-0039 Cease and Desist Order, Order Assessing Civil Penalty, and Consent to Order
Piedmont Office Realty Trust Inc S-09-0077 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Preferred Securities Group, Inc. A-00-0013 Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order
Presidents Trust Company, LLC, Jon Patrick Pierce, David D. Klasna and Herbert L. Perilloux S-04-0005 Final Order to Cease and Desist Entered by Default
Prime One Mortgage Corporation O-02-0008 Cease and Desist Order and Consent to Imposition of Civil Penalties
ProEquities, Inc. S-12-0055 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Prosper Marketplace, Inc. S-08-0045 Order to Cease and Desist, Assessing Civil Penalties, Consent to Entry of Order
Prosper Trust and David Alan Cole A-00-0015 Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties as to Respondent Prosper Trust
Quantum Network Services, Inc., and Clifford Goehring S-08-0029 Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties and Consent to Entry of Order
Quantum Network Services, Inc., Pacific Financial Solutions, Inc., and Clifford Goehring S-08-0029 Order of Dismissal of Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties as to Pacific Financial Solutions, Inc., Only
Ragen Mackenzie Investment Services LLC and Peter E. Nipoti S-03-0057 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Ralph Michael Shirtcliff and Marlin Larsen O-97-0032 Order to Cease and Desist, Denial of Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order
RAS Securities Corporation O-95-0049 Cease and Desist Order, Order Imposing Undertakings and Civil Penalty, and Consent to Order
Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. S-11-0060 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
RBC Capital Markets Corporation S-09-0035 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
RBC Capital Markets, LLC S-13-0146 Final Order to Comply, Assessment of Civil Penalty, and Consent to Entry of Order
RDSC, LLC S-09-0024 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Redwine & Company, Inc. S-13-0605 Final Order to Cease and Desist, Revoking Broker-Dealer License, and Assessing Civil Penalties, Entered by Default
Redwood Trust, Aaron Bolleddula, et al S-05-0029-18 Order to Cease and Desist and Consent to Entry of Order as to Aaron Bolleddula Only
Redwood Trust, Greg Diamond, et al S-05-0029-3 Order to Cease and Desist and Consent to Entry of Order as to Greg Diamond Only
Redwood Trust, Lisa Diamond, et al S-05-0029-4 Order to Cease and Desist and Consent to Entry of Order as to Lisa Diamond Only
REI Exchange, LLC, TMG Ventures, Inc., and Anthony C. Scwhartz S-09-0041 Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Default
Resource Trading Group, Inc., and Thomas M. Moorman S-10-0026 Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties and Consent to Entry of Order
Response Mortgage Services, Inc. O-01-0040 Cease and Desist Order and Consent to Imposition of Civil Penalties
Rex A. Haragan dba Bountiful LLC S-05-0029 Final Order
Rhodes Econometrics, Inc., and Charles Wesley Rhodes, Jr., doing business individually and under the names "The Rhodes Company," "Professional Practice Planning Service," and "PPPS," S-06-0036 (A) Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties. Order of Revocation of Investment Adviser Representative License of Charles Wesley Rhodes, Jr.
Riccardo Morano and CFG Solutions, LLC 13-0002 Final Order to Cease and Desist, Denial of Exemptions and Order Assessing Civil Penalties, Entered by Default
Richard G. Thomas S-12-0029-1 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Richard Wielenbeck S-11-0076 Order Finding Richard Wielenbeck in Violation of Prior Consent Order and Assessing Previously Suspended Civil Penalty
Richard Wielenbeck S-11-0076 Order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order
RJJ Pasadena Securities, Inc. S-08-0034 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
RKane III, LLC, Rimrock III, Ltd., Three Nines Minerals, Ltd., Harry Proudfoot III, Family Benefits USA, LLC, Kurt Black, and Lyle Hathaway S-09-0013 Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered Against Three Nines Minerals, Ltd., Family Benefits USA, LLC, and Harry Proudfoot III Only
RKane III, LLC, Rimrock III, Ltd., Three Nines Minerals, Ltd., Harry Proudfoot III, Family Benefits USA, LLC, Kurt Black, and Lyle Hathaway S-09-0013 Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties and Consent to Entry of Order as to Kurt Black Only
RKane III, LLC, Rimrock III, Ltd., Three Nines Minerals, Ltd., Harry Proudfoot III, Family Benefits USA, LLC, Kurt Black, and Lyle Hathaway S-09-0013 Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Defualt as to Lyle Hathaway Only
RKane III, LLC, Rimrock III, Ltd., Three Nines Minerals, Ltd., Harry Proudfoot III, Family Benefits USA, LLC, Kurt Black, and Lyle Hathaway S-09-0013 Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Default as to RKane III, LLC and Rimrock III Ltd., Only
Robert Todd Calvert S-10-0058 Order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order
Robert Warren Spruill, dba Brooke Auto Insurance Services and dba Brooke Agency Services Company, LLC ID-09-0027 Order to Cease and Desist, Order Assessing Civil Penalty and Consent to Entry of Order
Rodman & Renshaw, Inc., and Jack L. Eisenkramer O-92-0038 Cease and Desist Order, Order Revoking License, Order Imposing Civil Penalty, Consent of Jack L. Eisenkramer to Entry of Order
Rodman & Renshaw, Inc., and Jack L. Eisenkramer O-92-0038 Cease and Desist Order, Order Revoking License, Order Imposing Civil Penalty, Consent to Rodman & Renshaw to Entry of Order
Roger A. Chinn, Gerald "Jerry" H. Chinn, and Sanford "Dusty" Webb A-01-0039 Final Order by Default as to Roger A. Chinn and Sanford "Dusty" Webb
Ronald Dale Tenison 13-0008 Final Order to Cease and Desist, Final Order Denying the Use of Exemptions to the Securities Registration Requirements, and Final Order Assessing Civil Penalties Entered by Default
Ronald L. McLain, Constance McLain and IQ Travel & Entertainment, Inc. S-05-00 Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order
Royal Hannon Edwards, an individual S-08-0009-1 Order to Cease and Desist, Denial of Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order
RV Financial Inc. O-00-0022 Cease and Desist Order and Consent to Imposition of Civil Penalties
Safe Systems, Inc., Genesis Holdings Group, Inc., Phoenix Development Group, Inc., Philippine Gold Importation Venture, and Joseph A. Untalan S-12-0068 Final Order to Cease and Desist, Denial of Exemptions and Order Assessing Civil Penalties, Entered by Default
Salomon Brothers, Inc. O-92-0052 Cease and Desist Order and Order Imposing Civil Penalty
Salomon Brothers, Inc. O-92-0052 Stipulation for Consent Order
Savory Telecom, Inc., and International Internet & Telecom, Inc. S-06-0026 Order to Cease and Desist, Order Assessing Securities Registration Fees and Consent to Entry of Order
Schield Management Company O-93-0013 Cease and Desist Order, Order Assessing Civil Penalty, and Consent to Order
Scott J Baklenko and BAK Ventures, Inc. S-11-0058-a Order to Cease and Desist; Order Denying Use of Exemptions to the Securities Registration Requirements; Order Withdrawing Exclusion from Definition of Investment Adviser; Order Withdrawing Exclusion from Definition of Broker-Dealer; Order Withdrawing Exclusion from Definition of Investment Adviser Representative; Order Withdrawing Exclusion from Definition of Salesperson; Order Assessing Civil Penalties; and Consent to Entry of Order; As to Respondents Scott J. Baklenko and BAK Ventures, Inc. Only
Senior Homeowners Financial Services, Inc. O-02-0021 Final Order by Default - Revocation of Mortgage Banker/Broker License and Imposition of Civil Penalties
Shelby H. Bell; Hobo Prince Economic Project, LLC; and Be'Rio Transports, LLC S-12-0064 Final Order to Cease and Desist, Final Order Denying Exemptions, and Final Order Assessing Civil Penalties, Entered by Default
Sierra Pacific Mortgage Company, Inc. O-02-0036 Cease and Desist Order and Consent to Imposition of Civil Penalties
Skylink Communications Corporation, an Oregon Corporation (fka Nendels Corporation and Skylink Telecommunications Corporation); and Northwest Communications, Inc., an Oregon Corporation A-01-0045 Final order to Cease and Desist, Denial of Exemptions, and Assessment of Civil Penalties, Entered by Default Against All Respondents
Smith Barney Income Funds O-95-0020 Order to Assess Civil Penalties and Consent to Entry of Order
Smith Barney Muni Funds - California Money Market Portfolio, and Smith Barney Arizona Municipals Fund Inc O-95-0051 Order to Assess Civil Penalties and Consent to Entry of Order
Smith Rock Race Group, LLC S-13-0572 Final Order to Cease and Desist, Denying Use of Exemptions to the Securities Registration Requirements, Assessing Civil Penalty, Entered by Default
Southwest Exchange, Inc., a Nevada Corporation, dba Arrow 1031 Exchange, aka Southwest 1031 Exchange, Inc. S-07-0015 Final Order to Cease and Desist and Denying Use of Exemptions Entered by Default
Special Mortgage Solutions of Oregon Inc. O-02-0048 Cease and Desist Order and Consent to Imposition of Civil Penalties
Stanley R. Stearns and San Clemente Securities A-00-0028 Order to Cease and Desist and Assessing Civil Penalties and Stipulations and Consent to Entry of Order by Respondent Stanley R. Stearns
Stanley R. Stearns and San Clemente Securities A-00-0028 Final Order to Cease and Desist and Assessing Civil Penalties Entered by Default as to Respondent San Clemente Securities Only
Stephen Harold Smither, aka Steven H. Smither, GGN, GG Network, GGN Gemologocal Services, GGN Brokers, and GGN Ideal Diamond Brokers A-01-0011 Order to Cease and Desist and Assessing Civil Penalties and Stipulations and Consent to Entry of Order by Respondents
Stephen W. Finley S-12-0031-1 Order to Cease and Desist, Order Assessing Civil Penalties, and Consent to Entry of Order
Steven G. Kendall; Continental Acceptance Corporation O-93-0017 Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties, and Consent to Entry of Order
Steven G. Kendall; Continental Acceptance Corporation O-93-0017 Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties, and Consetn of continental Acceptance Corporation to Entry of Order
Steven W. Erdmann dba Klamath Financial Consulting S-13-0038 Order to Cease and Desist, Denying the Use of Exemptions to Securities Registration REquirements, and Assessing Civil Penalties, and Consent to Entry of Order
Stifel, Nicolaus & Company Incorporated CRD #793 S-10-0003 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Stohr Capital Group Inc. dba Source Financial O-02-0032 Cease and Desist Order and Consent to Imposition of Civil Penalties
Stratton Oakmont, Inc. O-95-0037 Order Revoking License and Consnet to Entry of Order
Success Concept Enterprises, Inc dba Success POS; Ameripos dba Vision One dba WBCI; David Tarr; David Ross; Brandon Clarey; and Frank Mineo A-03-0013 Order to Cease and Desist, Denying Exemptions, and Assessing/Suspending Civil Penalties as to Success Concept Enterprises, Inc dba Success POS and David Tarr
Sunshine Elise Merie Simmons S-07-0009-2 Order to Cease and Desist, Order Barring From Industry, Order Denying Exemptions, Order Imposing Civil Penalties, and Consent to Entry of Order
Susumu Alan Sasaki and MCCA Oregon Corporation S-07-0056 Order to Cease and Desist, Order Denying Exemptions and Consent to Entry of Order
Taramar Venture Capital, LLC; KNC Software, LLC dba Kidsnet Connect; Marvin Butler, Peter M. Fagnant, and Dawn Lillie aka Dawn Lillie Flores A-02-0022 Order to Cease and Desist Order Assessing Civil Penalty Order Denying Exemptions and Consent to Entry of Order as to Peter M. Fagnant
Taramar Venture Capital, LLC; KNC Software, LLC dba Kidsnet Connect; Marvin Butler, Peter M. Fagnant, and Dawn Lillie aka Dawn Lillie Flores A-02-0022 Final Order by Default as to Taramar Venture Capital, LLC; KNC Software, LLC dba Kidsnet Connect; Marvin Butler; and Dawn Lillie aka Dawn Lillie Flores
TD Ameritrade, Inc. S-09-0051 Consent Order
Terra Firma Investments, Inc. and Steven W. Monroe X-12-0088 Final Order to Cease and Desist, Final Order Denying the Use of Exemptions to the Securities REgistration REquirements, and Final Order Assessing Civil Penalties Entered by Default
The Cody Group, Inc., and Stuart E. Cody O-96-0008 Order to Cease and Desist, Denial of Exemptions, Assessment of Civil Penalties, and Consent to Entry of Order
The Griswold Company, Inc., S-12-0100 Order to Cease and Desist, Order Assessing Civil Penalties, and Consent to Entry of Order
The January 2007 Rescission Offering of Morgan Stanley DW Inc. and/or Morgan Stanley & Co. Incorporated 2007-WVR-01 Order Granting Waiver Pursuant to ORS 59.045 (1) (b)
The Loan Co. Inc. dba TLC Mortgage O-02-0018 Cease and Desist Order and Consent to Imposition of Civil Penalties
The Marketplace Mortgage Company O-00-0020 Cease and Desist Order and Consent to Imposition of Civil Penalties
The Prudential Investment Portfolios, Inc., a Maryland corporation S-07-0034 Order to Cease and Desist, Order Assessing Securities Notice Filing Fees and Consent to Entry of Order
The Sheffield Group and M.D. Ruth A-00-0008 Final Order to Cease and Desist and Assessing Civil Penalties
Thomas Dale Kienlen and Thomas D. Kienlen Corp., dba Market Momentum, S&P Option Trader, and S&P Option Trader Daily Fax Service A-00-0011 Order to Cease and Desist, Assessing Civil Penalty, and Denying Exemptions and Consent to Entry of Order
Thomas F Biesiadecki S-09-0016-2 Order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalties, and Consent to Entry of Order
Thomas Weisel Partners, LLC S-05-00004 Administrative Consent Order
Thurston, Springer, Miller, Herd, & Titak, Inc. S-08-0019 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Timothy Colin McGuire; and American Assets Management Corporation, Inc. A-02-0029 Order to Cease and Desist Order Assessing Civil Penalty and Consent to Entry of Order
Toby Don Garus and Equity Options Inc. of Bend X-11-0112-1 Order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order
Tracker International, Inc., Mark Labertew, David Cheng, Southport S.D.G., Inc., Les Fleishman, Ken Gross, Anthony Hall, Craig Williams O-99-0023 Order to Cease and Desist, Assessing Civil Penalty Denying Exemptions and Consent to Entry of Order as to Respondent Tracker International
Tracker International, Inc., Mark Labertew, David Cheng, Southport S.D.G., Inc., Les Fleishman, Ken Gross, Anthony Hall, Craig Williams O-99-0023 Final Order to Cease and Desist, Assessment of Civil Penalties and Denial of Exemptions, Entered by Default as to Respondent Anthony Hall
Tracker International, Inc., Mark Labertew, David Cheng, Southport S.D.G., Inc., Les Fleishman, Ken Gross, Anthony Hall, Craig Williams O-99-0023 Dissmissing Case against respondents Mark Labertew and David Cheng
Tracker International, Inc., Mark Labertew, David Cheng, Southport S.D.G., Inc., Les Fleishman, Ken Gross, Anthony Hall, Craig Williams O-99-0023 Order to Cease and Desist, Assessing Civil Penalty Denying Exemptions and Consent to Entry ff Order as to Respondents Southport S.D.G, Inc., Les Fleishman, Ken Gross, and Craig Williams
Trend Management Group, Inc, an Arizona corporation, Trend Capital LLC, an Arizona limited liability corporation, The Trend Group, Inc., an Arizona corporation, and Ryan James Herndon S-08-0009-2 Final Order to Cease and Desist and Denial of Exemptions Entered by Default
Trendtrac Incorporated O-94-0015 Cease and Desist Order, Order Assessing Civil Penalty, and Consent to Entry of Order
True North Productions, LLC and Cecil F. S-12-0076 Final Order to Cease and Desist, Final Order Denying Exemptions, and Final Order Assessing Civil Penalties Entered by Default
True Wholesale Houses, LLC and Portland Funding, LLC S-12-0080 Order to Cease and Desist and and Assessing Civil Penalties and Consent to Entry of Order
U.S. Bancorp Piper Jaffray Inc. S-03-0033 Administrative Order, Order Imposing Monetary Obligations, and Consent to Entry of Order
U.S. Securities, Intl. Corp. and William Coppa A-02-0040 Stipulated Order to Cease and Desist and Assessing Civil Penalties Stipulation and Consent to Entry of Order
UBS Financial Services, Inc. S-13-0169 Final Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
UBS Securities LLC (CRD #7654) and UBS Financial Services Inc. (CRD#8174) S-10-0008 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Ultimate Ventures, Inc., a Canadian corporation, Cameron Kuipers, an individual, Assurance Financial, Inc., an Idaho corporation, and K. Barth Williams, an individual S-03-0048 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order as to Assurance Financial, Inc., and K. Barth Williams
Ultimate Ventures, Inc., Cameron Kuipers, Assurance Financial, Inc., and K. Barth Williams S-03-0048 Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Default Against Respondents Ultimate Ventures, Inc., and Cameron Kuipers Only
Umraan Syed Hasan, aka Suvraan Hasan, aka Ron Hasan, and individual, dba Strategic Funds Group, LP, dba Strategic Hedge Fund, LP, and dba Strategic Mini Hedge Fund, LP S-05-0095 Final Order to Cease and Desist and Assessing Civil Penalties Entered by Default
Unlimited Cash, Inc., Wayne Flesher, Douglas Network Enterprises, Inc., Nancy Khalial, Ruttenberg and Associates MVP, Inc., Mark Ruttenberg, Kenneth Begarowski, Randall Covelli, and Bill Boedeker S-05-0040 Order ot Cease and desist, Denying Exemtions, and Assessing Civil Penalties, Entered by Consent as to Unlimited Cash, Inc., Wayne Flesher, Douglas Netowrk Enterprises, Inc., and Nancy Khalial Only
Unlimited Cash, Inc., Wayne Flesher, Douglas Network Enterprises, Inc., Nancy Khalial, Ruttenberg and Associates MVP, Inc., Mark Ruttenberg, Kenneth Gebarowski, Randall Covelli, and Bill Boedeker S-05-0040 Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Default Against Ruttenberg and Associates MVP, Inc., Mark Ruttenberg, Kenneth Gebarowski, and Randall Covelli Only
Unlimited Cash, Inc., Wayne Flesher, Douglas Network Enterprises, INc., Nancy Khalial, Ruttenberg and Associates MVP, Inc., Mark Ruttenberg, Kenneth Gebarowski, Randall Covelli, and Bill Boedeker S-05-0040 Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Bill Boedeker Only
UVEST Financial Services Group, Inc. S-12-0054 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Van Deventer & Hoch O-94-0014 Cease and Desist Order, Order Assessing Civil Penalty, and Consent to Entry of Order
Van Eck Funds O-93-0006 Order Assessing Civil Penalties and Consent to Entry of Order
Venulum Ltd., Venulum, Inc., and Giles D. Cadman S-12-0058 Final Order and Consent to Entry of Order
W.E. Nightingale Brokerage Services, Inc. S-12-0095 Order to Cease and Desist, Order Assessing Civil Penalties, and Consent to Entry of Order
Wachovia Securities LLC and Wachovia Capital Markets LLC S-09-0022 Order to Cease adn Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Waddell & Reed, Inc., and W & R Insurance Agency, Inc. S-05-0059 Stipulation and Final Order
Walter Curtis Maddux, WCM Financial Services, and Equity Options, Inc. X-11-0112-2 Order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order
Wayne D. Butler O-96-0044 Order to Cease and Desist, Denial of Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order
Wayne Von Borstel and Oregon Trail Financial Services, Inc. S-12-0007 Order to Cease and Dessit, Order Assessing Civil Penalty, and Consent to Entry of Order
Webster E. Barth III S-12-0031-2 Final Order to Cease and Desist, Final Order Denying Use of Exemptions to the Securities Registration Requirements, and Final Order Assessing Civil Penalty Entered by Default
Weiss Money Management, Inc. O-96-0024 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Wells Fargo Investments, LLC, CRD #10582) S-09-0023 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Westamerica Investment Company dba Westamerica Investment Group O-96-0026 Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
Westminster Holdings, Ltd; Compclubcasino.com, Inc.; Ace Linden Moses (aka A. Lyndon Moses); Robert Israel Moses; Robert Hammerstein (aka Robert Haammerstein) A-02-0024 Final Order to Cease and Desist Denial of Exemptions and Assessment of Civil Penalties Entered by Default Against All Respondents
Westminster Securities Corporation A-03-0021 Order Denying Request to Set Aside Default Order and for Post Order Hearing
Westminster Securities Corporation A-03-0021 Final Order Revoking License Entered by Default
William E. Hamm & Associates, Inc., dba Independent Financial Partners S-13-0139 Order to Cease and Desist and Assessing Civil Penalty and Consent to Entry of Order
Window World, Inc. F-12-0033 Order to Cease and Desist and Assessing Civil Penalties and Consent to Entry of Order
Windsor Capital Mortgage Corporation O-02-0046 Cease and Desist Order and Consent to Imposition of Civil Penalties
Yongsu Meade C091716CR Judgment of Conviction and Sentence
Yongsu Meade, aka Young Sue Meade, aka Sue Meade S-09-0050 Order to Cease and Desist, Order Denying Exemptions from Securities Registration, and Consent to Entry of Order
Zurcrowner, P.C., dba Zurcrowner, Scott A. Whitney, and Randy A. Gray S-09-0076 Order to Cease and Desist, Order Assessing Civil Penalties, Order Denying Exemptions, Order Withdrawing Use of Exclusions, Bar from Financial Services Business activities, and Consent to Entry of Order as to Zurcrowner, P.C. dbs Zurcrowner and Scott A. Whitney Only