|
|
| Date |
Type
of Order |
Subject
of Order |
Case
Name |
05/20/2013 |
Consent Order
|
David A. Affeldt
|
In
the Matter of: David A. Affeldt |
05/17/2013 |
Consent Order
|
Joseph Giordano and Giordano Asset Management LLC and Harbor Investment Solutions, LLC
|
In
the Matter of: Joseph Giordano and Giordano Asset Management LLC and Harbor Investment Solutions, LLC |
05/07/2013 |
Order to Show Cause
|
Sidney J. Charles, Jr. and The Borrowing Station, LLC
|
In
the Matter of: Sidney J. Charles, Jr. and The Borrowing Station, LLC |
05/06/2013 |
Final Order as to Respondent Charles W. Sens, Jr.
|
Charles W. Sens, Jr.
|
In
the Matter of:Charles W. Sens, Jr., et al. |
04/30/2013 |
Consent Order
|
JEI Self-Learning Systems Inc.
|
In
the Matter of: JEI Self-Learning Systems Inc. |
04/26/2013 |
Final Order to Cease and Desist
|
Inter Reef Ltd. dba Profitable Sunrise and Roman Novak and Radoslav Novak
|
In
the Matter of: Inter Reef Ltd. dba Profitable Sunrise and Roman Novak and Radoslav Novak |
04/22/2013 |
Order to Show Cause
|
The IWI Group LLC aka iWealth Investments and The P. Point M. Group, LLC aka Pinpoint
|
In
the Matter of: The IWI Group LLC aka iWealth Investments and The P. Point M. Group, LLC aka Pinpoint |
04/04/2013 |
Order to Show Cause
|
Thomas R. Yost and Yost Wealth Management, LLC
|
In
the Matter of:Thomas R. Yost and Yost Wealth Management, LLC |
04/03/2013 |
Order to Show Cause
|
Christopher Shocklee and Keith Rockhill and Heavyswing, LLC and Heavyswing America, LLC and Heavyswing Baseball, LLC
|
In
the Matter of: Christopher Shocklee and Keith Rockhill and Heavyswing, LLC and Heavyswing America, LLC and Heavyswing Baseball, LLC |
04/03/2013 |
Summary Order to Cease and Desist and Order to Show Cause
|
Scott Ransom Steele and SteeleSoft Management, Inc. and SteeleSoft, Inc. and RealEasi Direct, LLC and OfferRings Direct, LLC and RealEasi, LLC and OfferRings, LLC and iAuto Mortgage Corporation and 3S/RealServ, Inc.
|
In
the Matter of: Scott Ransom Steele and SteeleSoft Management, Inc. and SteeleSoft, Inc. and RealEasi Direct, LLC and OfferRings Direct, LLC and RealEasi, LLC and OfferRings, LLC and iAuto Mortgage Corporation and 3S/RealServ, Inc. |
03/15/2013 |
Summary Order to Cease and Desist and Order to Show Cause
|
Inter Reef Ltd. dba Profitable Sunrise and Roman Novak and Radoslav Novak
|
In
the Matter of:Inter Reef Ltd. dba Profitable Sunrise and Roman Novak and Radoslav Novak |
03/07/2013 |
Consent Order
|
2946033 CANADA, Inc. dba The Mad Science Group
|
In
the Matter of: 2946033 CANADA, Inc. dba The Mad Science Group |
03/01/2013 |
Final Order of Revocation and Bar
|
First Management Group Investments, Inc. and John R. Katkish
|
In
the Matter of: First Management Group Investments, Inc. and John R. Katkish |
02/26/2013 |
Order to Show Cause
|
Bankcard Empire and Davidan Corporation dba BankCard Empire and Lajobejo, LLC dba BankCard Empire and 1230 Edgemont LLC dba Edgemont Productions and David Mersky and Janice Mersky and Michael D. Malkin
|
In
the Matter of: Bankcard Empire and Davidan Corporation dba BankCard Empire and Lajobejo, LLC dba BankCard Empire and 1230 Edgemont LLC dba Edgemont Productions and David Mersky and Janice Mersky and Michael D. Malkin |
02/06/2013 |
First Amended Summary Order to Cease and Desist
Order of Summary Suspension and Order to Show Cause
|
First Management Group Investments, Inc. and John R. Katkish
|
In
the Matter of: First Management Group Investments, Inc. and John R. Katkish |
01/22/2013 |
Consent Order
|
ZAGG, Inc. and it’s wholly owned subsidiary, ZAGG Retail, Inc.
|
In
the Matter of: ZAGG, Inc. and it’s wholly owned subsidiary, ZAGG Retail, Inc. |
01/22/2013 |
Consent Order
|
Preston Scheffenacker Properties, Inc. Hollins Ferry Investor Group, LLC Hollins Preferred Investor Group, LLC
Gateway North, LLC Telegraph Road Investors, LLC David P. Scheffenacker, Jr.
|
In
the Matter of: Preston Scheffenacker Properties, Inc. Hollins Ferry Investor Group, LLC Hollins Preferred Investor Group, LLC
Gateway North, LLC Telegraph Road Investors, LLC David P. Scheffenacker, Jr. |
01/17/2013 |
Consent Order
|
Ameriprise Financial Services, Inc.
|
In
the Matter of: Ameriprise Financial Services, Inc. |
01/04/2013 |
Consent Order
|
Randy H. Packett and Chesapeake Financial Solutions, LLC
|
In
the Matter of: Randy H. Packett and Chesapeake Financial Solutions, LLC |
