|
| Date |
Type
of Order |
Subject
of Order |
Case
Name |
| 12/12/2005 |
Order
to Show Cause |
Thomas
P. Gibbons
|
In
the Matter of: Thomas P. Gibbons
|
| 12/19/2005 |
Consent
Order |
Richard
B. Hendin
|
In
the Matter of: Richard B. Hendin |
| 12/09/2005 |
Order
to Show Cause |
James
F. Jones
|
In
the Matter of: James F. Jones, Individually and as principal of
Advanced Learning Systems, Inc. |
| 12/09/2005 |
Order
to Show Cause |
Mailcoups,
Inc. dba Supercoups
|
In
the Matter of: Mailcoups, Inc. dba Supercoups |
| 12/09/2005 |
Consent
Order |
Dingo,
Inc. dba Bark Busters
|
In
the Matter of: Dingo, Inc. dba Bark Busters |
| 12/07/2005 |
Final
Order to Cease and Desist |
Robelto
Morisseau
|
In
the Matter of: Robelto Morisseau |
| 12/02/2005 |
Summary
Order to Cease and Desist |
Infinity
Financial Investment Corporation and Wallstreet-Analysis Investments
and Michael J. Luther
|
In
the Matter of: Infinity Financial Investment Corporation and
Wallstreet-Analysis Investments and Michael J. Luther |
| 11/15/2005 |
Consent
Order |
Maui
Wowi Franchising, Inc.
|
In
the Matter of: Maui Wowi Franchising, Inc. |
| 11/15/2005 |
Consent
Order |
V2K
Window Fashions, Inc.
|
In
the Matter of: V2K Window Fashions, Inc. |
| 11/14/2005 |
Consent
Order |
Alan
S. Edelman
|
In
the Matter of: Alan S. Edelman |
| 11/03/2005 |
Consent
Order |
Coast
to Coast Engineering Services, Inc. dba Criterium Engineers
|
In
the Matter of: Coast to Coast Engineering Services, Inc.
dba Criterium Engineers |
| 11/03/2005 |
Order
to Show Cause |
Joseph
S. Schwalm
|
In
the Matter of: Joseph S. Schwalm |
| 10/26/2005 |
Consent
Order |
William
Poinsette and My Plan Management Group, LLC
|
In
the Matter of: William Poinsette and My Plan Management Group,
LLC
|
| 10/24/2005 |
Consent
Order |
Wealth
Management Institute, Ltd. |
In
the Matter of: Wealth Management Institute, Ltd. |
| 10/19/2005 |
Final
Order to Cease and Desist |
E-Commerce
Network.com, LLC and Wealth Systems, Inc. and Martin Wilson |
In
the Matter of: E-Commerce Network.com, LLC and Wealth Systems,
Inc. and Martin Wilson |
| 10/18/2005 |
Consent
Order |
Critter
Control, Inc. |
In
the Matter of: Critter Control, Inc. |
| 10/14/2005 |
AMENDED
Consent Order |
Todd
Taskey and Solutions Planning Group, Inc. |
In
the Matter of: Todd Taskey and Solutions Planning Group, Inc. |
| 9/30/2005 |
Order
to Show Cause |
Claypool's Totally Smokin, LLC and Claypool BBQ, Inc. |
In
the Matter of: Claypool's Totally Smokin, LLC and Claypool BBQ,
Inc. |
| 9/21/2005 |
Exemption
Order |
Hurricane Katrina Registration and
Notice-Filing Issues |
In
the Matter of: Hurricane Katrina
Registration and Notice-Filing Issues |
| 9/15/2005 |
Consent
Order |
Todd Taskey and Solutions Planning Group, Inc. |
In
the Matter of: Todd Taskey and Solutions Planning Group, Inc. |
| 9/15/2005 |
Consent
Order |
Raj Ranjan Dubey |
In
the Matter of: Raj Ranjan Dubey |
| 9/6/2005 |
Order
to Show Cause |
Nigel
Howse |
In
the Matter of: Nigel Howse. |
| 9/1/2005 |
Final
Order to Cease and Desist and Order of Bar |
Bruce
E. Fleming, Jr. |
In
the Matter of: Bruce E. Fleming, Jr. |
| 9/1/2005 |
Consent
Order |
Profitable Investments, Inc. and Profitable Fund,
LLC |
In
the Matter of: Profitable Investments, Inc. and Profitable Fund,
LLC |
| 9/1/2005 |
Consent
Order |
Maryland
Capital Advisors, Inc. and Michael Damas |
In
the Matter of: Maryland Capital Advisors, Inc. and Michael Damas |
| 8/28/2005 |
Consent
Order |
Banneker Capital Management Corp. |
In
the Matter of: Banneker Capital Management Corp |
| 8/16/2005 |
Order
to Show Cause |
E-Commerce
Network.com, LLC and Wealth Systems, Inc. and Martin Wilson |
In
the Matter of: E-Commerce
Network.com, LLC and Wealth Systems, Inc. and Martin Wilson |
| 8/02/2005 |
Order
to Show Cause |
Aussie
Pet Mobile, Inc. and Ian Moses |
In
the Matter of: Aussie
Pet Mobile, Inc. and Ian Moses |
| 7/01/2005 |
Consent
Order |
Secondary Life Capital, LLC |
In
the Matter of: Secondary Life Capital, LLC |
| 6/28/2005 |
Final
Order to Cease and Desist and Order of Revocation and Bar |
Tony
Lamont Thomas |
In
the Matter of: Tony Lamont Thomas |
| 6/27/2005 |
Consent
Order |
Stroller Strides, LLC |
In
the Matter of: Stroller Strides, LLC |
| 6/27/2005 |
Order
to Show Cause |
Profitable Investments, Inc. and Profitable Fund,
LLC
and Ronald Bane |
In
the Matter of: Profitable Investments, Inc. and Profitable Fund,
LLC and Ronald Bane |
| 6/24/2005 |
Consent
Order |
Swampoodle
Holdings, Inc. and Michael Drayne |
In
the Matter of: Swampoodle Holdings, Inc. and Michael Drayne |
| 6/16/2005 |
Consent
Order |
The Just Foundation, Inc. and Abacus Solutions, Inc.
and
Gary Steve Nelson and Judith E. Nelson |
In
the Matter of: The Just Foundation, Inc. and Abacus Solutions,
Inc. and
Gary Steve Nelson and Judith E. Nelson |
| 6/15/2005 |
Consent
Order |
Baby
Boot Camp, LLC |
In
the Matter of: Baby Boot Camp, LLC |
| 6/06/2005 |
Consent
Order |
J.T.
Corbin, Inc. and T & W Consultants, LLC and
Jeffery K. Trilling |
In
the Matter of:J.T. Corbin, Inc. and T & W Consultants, LLC
and
Jeffery K. Trilling |
| 6/01/2005 |
Final
Order to Cease and Desist / Order of Bar / Order Imposing Monetary
Penalties |
L.H.
Ross & Company, Inc. |
In
the Matter of: L.H. Ross & Company, Inc. |
| 6/01/2005 |
Consent
Order |
Daniel
G. Falk / Daniel G. Falk & Associates, PC DGF Investment
Advisors, Inc. / Sean Falk Secured Financial Services, Inc. |
In
the Matter of: Daniel
G. Falk / Daniel G. Falk & Associates, PC DGF Investment
Advisors, Inc. / Sean Falk Secured Financial Services, Inc. |
| 5/31/2005 |
Order
to show cause |
The
J. Scott Company dba Lifetime Wealth Principles Co. |
In
the Matter of: The J. Scott Company dba Lifetime Wealth Principles
Co. |
| 5/25/2005 |
Final Order to Cease and Desist |
M.A.C. Investments, Inc. and M.A.C. Investment Sales,
Inc. and Kevin Polardi and Maricruz Alvarado, aka Maricruz Albaradoand
Jim Roberts and Edward Sommer and Jenna Brown and Frank Blasseti |
In
the Matter of: M.A.C. Investments, Inc. and M.A.C. Investment Sales,
Inc. and Kevin Polardi and Maricruz Alvarado, aka Maricruz Albaradoand
Jim Roberts and Edward Sommer and Jenna Brown and Frank Blasseti |
| 5/24/2005 |
Consent
Order |
TDS Enterprises, Inc. dba e-Commerce Exchange |
In
the Matter of: TDS Enterprises, Inc. dba e-Commerce Exchange |
| 5/23/2005 |
Order
to show cause |
Robelto Morisseau |
In
the Matter of: Robelto Morisseau |
| 5/23/2005 |
Consent
Order |
Daniel
S. Spicer IV |
In
the Matter of: Daniel S. Spicer IV |
| 5/12/2005 |
Final
Order to Cease and Desist and
Order of Revocation and Bar |
Mark
E. McCaffrey |
In
the Matter of: Mark E. McCaffrey |
| 5/12/2005 |
Summary
Order to Cease and Desist |
The
Just Foundation, Inc. and Abacus Solutions, Inc.
and Gary Steve Nelson and Judith E. Nelson |
In
the Matter of: The Just Foundation, Inc. and Abacus Solutions,
Inc.
and Gary Steve Nelson and Judith E. Nelson |
| 5/11/2005 |
Amended Final Order to Cease and Desist and
Order of Bar |
C. Douglas York and Robert Coyne |
In
the Matter of: Viatical Capital, Inc. andViatical Funding, Inc.
and Viatical Funding, LLC and
C. Douglas York and Robert Coyne and Life Investment Funding Enterprises, Inc.
and J. Patrick Bryan
|
| 5/11/2005 |
Order
to Show Cause |
Tony Lamont Thomas |
In
the Matter of: Tony Lamont Thomas |
| 5/11/2005 |
Final Order to Cease and Desist and Order of Bar |
Jackie
F. Marlin and Robert Finkbeiner |
In
the Matter of: Jackie F. Marlin and Robert Finkbeiner |
| 5/10/2005 |
Order
to Show Cause |
Denton
D. Douglas |
In
the Matter of: Denton
D. Douglas |
| 5/10/2005 |
Order
to Show Cause |
Raj
Ranjan Dubey |
In
the Matter of: Raj Ranjan Dubey |
| 5/06/2005 |
Final
Order to Cease and Desist and Order of Revocation and Bar |
Shabnam
Das |
In
the Matter of: Shabnam Das |
| 5/06/2005 |
Final
Order to Cease and Desist and Order of Revocation and Bar |
Samuel
J. Begun |
In
the Matter of: Samuel J. Begun |
| 5/05/2005 |
Consent
Order |
Robert
Bruce Sando |
In
the Matter of: Robert Bruce Sando |
| 4/29/2005 |
Final
Order |
Maxim
Growth Fund, LP and Maxim Capital, LLC |
In
the Matter of: James D. Ritter and Maxim Growth Fund, LP
and Maxim Capital, LLC and Maxim Asset Management, LLC |
| 4/27/2005 |
Final
Order |
Thomas M. Flowers |
In
the Matter of: Thomas M. Flowers |
| 4/27/2005 |
Consent
Order |
Bevinco
American Bar Systems, Ltd. and Jack C. Jones |
In
the Matter of: Bevinco American Bar Systems, Ltd. and Jack C. Jones |
| 4/08/2005 |
Final
Order to Cease and Desist / Order of Bar / Order Imposing Monetary
Penalties |
Seleta
J. Nelson and Seleta J. Nelson, LLC (dba SJN, LLC) and Nelson
and Associates (aka Nelson and Associates, Inc.) and Nelson Finance,
Inc. (dba Nelson Financial Inc.) |
In
the Matter of: Seleta J. Nelson and Seleta J. Nelson, LLC (dba
SJN, LLC) and Nelson and Associates (aka Nelson and Associates,
Inc.) and Nelson Finance,
Inc. (dba Nelson Financial Inc.) |
| 4/19/2005 |
Summary Order to Cease and Desist |
M.A.C.
Investments, Inc. and M.A.C. Investment Sales, Inc.
and Kevin Polardi and Maricruz Alvarado, aka Maricruz Albarado
and Jim Roberts and Edward Sommer and Jenna Brown
and Frank Blasseti |
In
the Matter of: M.A.C. Investments, Inc. and M.A.C. Investment
Sales, Inc. and Kevin Polardi and Maricruz Alvarado, aka Maricruz
Albarado
and Jim Roberts and Edward Sommer and Jenna Brown
and Frank Blasseti |
| 4/08/2005 |
Consent
Order |
Fenrir
Industries, Inc. |
In
the Matter of: Fenrir Industries, Inc. |
| 4/05/2005 |
Consent
Order |
Freeman Owen and Financial Sources, Inc. |
In
the Matter of: Freeman Owen
and Financial Sources, Inc. |
| 4/05/2005 |
Consent
Order |
Gregory Welch |
In
the Matter of: J.T. Corbin, Inc. and T & W Consultants, LLC
and
Jeffery K. Trilling and Gregory Welch |
| 3/18/2005 |
Order
to Show Cause |
Shabnam
Das |
In
the Matter of: Shabnam Das |
| 3/18/2005 |
Order to Show Cause |
Mark E. McCaffrey |
In the Matter of: Mark E. McCaffrey |
| 3/18/2005 |
Order to Show Cause |
Samuel J. Begun |
In the Matter of: Samuel J. Begun |
| 3/16/05 |
Consent
Order |
Genetic
Immunity, LLC |
In
the Matter of: Genetic Immunity, LLC |
| 3/11/05 |
Order
to Show Cause and Order
of Summary Postponement |
Daniel
G. Falk and Daniel G. Falk & Associates, P.C. and
DGF Investment Advisors, Inc. and Sean Falk and
Secured Financial Services, Inc. |
In
the Matter of: Daniel G. Falk and Daniel G. Falk & Associates,
P.C. and
DGF Investment Advisors, Inc. and Sean Falk and
Secured Financial Services, Inc. |
| 3/2/05 |
Consent
Order |
Synvest,
Inc. (fka Synvest R.E.I.T., Inc. ) and
William A Green and River Walk Development Phase Two, LLC |
In
the Matter of: Synvest, Inc. (fka Synvest R.E.I.T., Inc. ) and
William A Green and River Walk Development Phase Two, LLC |
| 2/28/05 |
Consent Order of Permanent Injunction, Monetary Judgment
and Other Equitable Relief |
Andrew M. Silberstein |
In
the United States District Court for the District of Maryland
Commodity Futures Trading Commission and the State of
Maryland Ex Rel Maryland Securities Commissioner vs.
Andrew M. Silberstein |
| 2/28/05 |
Amended
Summary Order to Cease and Desist and Order to Show Cause |
James
D. Ritter and Maxim Growth Fund, LP and Maxim Capital, LLC and
Maxim Asset Management, LLC |
In
the Matter of: James D. Ritter and Maxim Growth Fund, LP and Maxim
Capital, LLC and Maxim Asset Management, LLC |
| 2/23/05 |
Summary Order to Cease and Desist and
Order to Show Cause |
Jackie
F. Marlin and Robert Finkbeiner |
In
the Matter of: Jackie F. Marlin and Robert Finkbeiner |
| 2/22/05 |
Consent
order |
Steven
J Balog and Financial Concepts |
In
the Matter of: Steven J Balog and Financial Concepts |
| 2/14/05 |
Order
of Denial of Investment Adviser Registration |
Kel
Tonner dba W.S. Stuart & Associates |
In
the Matter of: Kel Tonner dba W.S. Stuart & Associates |
| 2/14/05 |
Final Order to Cease and Desist |
Universal
Financial Group aka UFG and
Charles A. Bragg aka Chuck Bragg |
Final
Order to Cease and Desist |
| 2/10/05 |
Consent
Order |
Asiana
Management Group, Inc. |
In
the Matter of: Asiana Management Group, Inc. |
| 1/28/05 |
Consent
Order |
Cheeburger
Cheeburger Restaurants, Inc |
In
the Matter of: Cheeburger
Cheeburger Restaurants, Inc |
| 1/28/05 |
Consent
Order |
Espresso
Italia Marketing, Inc. |
In
the Matter of: Espresso Italia Marketing, Inc. |
| 1/28/05 |
Final
Order to Cease and Desist and Order of Bar |
Van
on Stage, LLC and Van Whitfield |
In
the Matter of: Van on Stage, LLC and Van Whitfield |
| 1/14/05 |
Consent
Order |
Five
Guys Enterprises, LLC |
In
the Matter of: Five Guys Enterprises, LLC |
| 1/13/05 |
Order
to Show Cause |
A.& L.
Shatto, Inc. and Allen W. Shatto |
In
the Matter of: A. & L. Shatto, Inc. and Allen W. Shatto |
| 1/12/05 |
Summary Order to Cease and Desist and
Order to Show Cause |
Universal
Financial Group aka UFG
and Charles A. Bragg aka Chuck Bragg |
In
the Matter of: Universal Financial Group aka UFG and Charles A.
Bragg aka Chuck Bragg |
