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Maryland Securities Division Administrative Actions

201420132012  • 2011  • 2010  • 2009  •  2008  •  2007  •  2006  •  2005  •  2004 

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2005

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

 

 
 
 

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