|
| Date |
Type
of Order |
Subject
of Order |
Case
Name |
12/23/2008
|
Consent
Order
|
George
Grafas
|
In
the Matter of: George Grafas |
12/23/2008
|
Consent
Order
|
Joseph
J. Jaso, Jr.
|
In
the Matter of: Joseph J. Jaso, Jr. |
12/18/2008
|
Consent
Order
|
Lamken
Enterprises, Inc. dba System4 of Washington, DC
|
In
the Matter of: Lamken Enterprises, Inc. dba System4 of Washington,
DC |
12/12/2008
|
Consent
Order
|
Kathy
Joy Gordon
|
In
the Matter of: Kathy Joy Gordon |
12/08/2008
|
Order
to Show Cause
|
Uzo
O. Chima and Lumen Asset Management, LLC
|
In
the Matter of: Uzo O. Chima and Lumen Asset Management, LLC |
12/08/2008
|
Consent
Order
|
Wachovia
Securities, LLC
|
In
the Matter of: Wachovia Securities, LLC |
12/08/2008
|
Final
Order to Cease and Desist and Order of Bar
|
Porta
Office Cyber Cafe, LLC and Morgan Communications, Inc. dba Morgan
Communications Media, Inc. and Donna P. McCoy and H. Pate McCoy
|
In
the Matter of: Porta Office Cyber Cafe, LLC and Morgan Communications,
Inc. dba Morgan Communications Media, Inc. and Donna P. McCoy and
H. Pate McCoy |
12/03/2008
|
Order
to Show Cause
|
Make
and Take Holding, LLC and
Michele Bellso
|
In
the Matter of: Make and Take Holding, LLC and Michele Bellso |
12/03/2008
|
Consent
Order
|
Charles
J. McCarthy
|
In
the Matter of: Charles J. McCarthy |
12/02/2008
|
Settlement
Agreement in the Circuit Court for
Baltimore City
|
Charles
J. McCarthy
|
In
the Matter of: Melanie Senter Lubin, Securities Commissioner for
the
State of Maryland v. Charles J. McCarthy |
12/02/2008
|
Final
Judgment and
Consent Order for Permanent Injunction
in the Circuit Court for Baltimore City
|
Charles
J. McCarthy
|
In
the Matter of: Melanie Senter Lubin, Securities Commissioner for
the
State of Maryland v. Charles J. McCarthy |
12/01/2008
|
Consent
Order
|
Joseph
R. Karsner IV and Joe Karsner & Associates, LLC
|
In
the Matter of: Joseph R. Karsner IV, Joe Karsner &
Associates, LLC and Legacy Financial Services, Inc. |
11/25/2008
|
Consent
Order
|
Telkonet,
Inc. and Telkonet Communication, Inc.
|
In
the Matter of: Telkonet, Inc. and Telkonet Communication, Inc. |
11/17/2008
|
Amended
Consent Order
|
Hollywood
Tanning Systems, Inc.
|
In
the Matter of: Hollywood Tanning Systems, Inc. |
11/17/2008
|
Order
to Show Cause
|
Porta
Office Cyber Cafe, LLC and Morgan Communications, Inc. dba
Morgan Communications Media, Inc. and Donna P. McCoy and H. Pate
McCoy
|
In
the Matter of: Porta Office Cyber Cafe, LLC and Morgan Communications,
Inc. dba Morgan Communications Media, Inc. and Donna P. McCoy and
H. Pate McCoy |
11/12/2008
|
Final
Order to Cease and Desist and Order of Bar
|
Paris
G. Mills and Credit Solution and Financial Services, Inc.
|
In
the Matter of:Paris G. Mills and Credit Solution and Financial
Services, Inc. |
11/12/2008
|
Amended
Consent Order
|
Tengfei,
Inc.
|
In
the Matter of:Tengfei, Inc. |
11/12/2008
|
Consent
Order
|
Morgan
Stanley & Co., Inc. (re: George L. Divel, III)
|
In
the Matter of: Morgan Stanley & Co., Inc. (re: George L. Divel,
III) |
11/06/2008
|
Consent
Order
|
KH
Funding Company and Robert L. Harris
|
In
the Matter of: KH Funding Company and Robert L. Harris |
10/29/2008
|
Consent
Order
|
Blue
Point Investment Management LLC
|
In
the Matter of: Blue Point Investment Management LLC |
10/28/2008
|
Final
Order
|
Maxim
Asset Management, LLC
|
In
the Matter of: Maxim Asset Management, LLC |
10/28/2008
|
Final
Order
|
James
D. Ritter
|
In
the Matter of: James D. Ritter |
10/24/2008
|
Consent
Order
|
Earthwalk
Communications Inc.
|
In
the Matter of: Earthwalk
Communications Inc. |
10/16/2008
|
Consent
Order
|
Marc
A. Freedman
|
In
the Matter of: Marc A. Freedman |
10/16/2008
|
Consent
Order
|
NetFree
Direct, LLC and Charles B. Seidman
|
In
the Matter of: NetFree
Direct, LLC and Charles B. Seidman |
10/03/2008
|
SUMMARY
ORDER TO CEASE AND DESIST
AND ORDER TO SHOW CAUSE
|
Edward
Offutt Offutt Group, LLC
Offutt Holding Company, LLC
Offutt Holding and Affiliates, LLC
Offutt Holding Company and Affiliates, LLC
|
In
the Matter of: Edward
Offutt Offutt Group, LLC Offutt Holding Company, LLC
Offutt Holding and Affiliates, LLC
Offutt Holding Company and Affiliates, LLC |
10/02/2008
|
FINAL
ORDER TO CEASE AND DESIST
AND ORDER OF BAR
|
Michael
Korea Sheo and Equivest Company, Ltd., New Star Realty of Maryland,
Inc. dba Town Realty, and Omni Financial Ellicott
City, Inc.
|
In
the Matter of: Michael Korea Sheo and Equivest Company, Ltd., New
Star Realty of Maryland, Inc. dba Town Realty, and Omni Financial
Ellicott City, Inc. |
9/26/2008
|
Order
to Show Cause
|
Paris
G. Mills and Credit Solution and Financial Services
|
In
the Matter of: Paris G. Mills and Credit Solution and Financial
Services |
9/23/2008
|
Consent
Order
|
Tropical
Smoothie Franchise Development Corporation
|
In
the Matter of: Tropical Smoothie Franchise Development Corporation |
9/22/2008
|
Amended
Final Order
|
Paul
E. Barnes and Paul E. Barnes dba JLR Group and Integrated Real
Estate Investments Solutions, LLC also known as IREIS, LLC and
Horizons Beyond Investments, LLC
|
In
the Matter of: Paul E. Barnes and Paul E. Barnes dba JLR Group
and Integrated Real Estate Investments Solutions, LLC also known
as IREIS, LLC and Horizons Beyond Investments, LLC |
9/05/2008
|
Final
Order
|
Paul
E. Barnes and Paul E. Barnes/JLR Group and Integrated Real Estate
Investment Solutions, LLC/Ireis, LLC and Horizons Beyond
Investments, LLC
|
In
the Matter of: Paul E. Barnes and Paul E. Barnes/JLR Group and
Integrated Real Estate Investment Solutions, LLC/Ireis, LLC and
Horizons Beyond Investments, LLC |
9/02/2008
|
Order to
Show Cause
|
Michael
Korea Sheo/Equivest Company, LTD.
|
In
the Matter of: Michael Korea Sheo/Equivest Company, LTD. |
8/26/2008
|
Final
Order to Cease and Desist
|
Azuke
Moesiete d/b/a www.ppmdoctors.com
|
In
the Matter of: Azuke Moesiete d/b/a www.ppmdoctors.com |
8/25/2008
|
Final
Consent Order
|
Kevin
T. Forrester d/b/a Forrester Financial Group
|
In
the Matter of: Kevin T. Forrester d/b/a Forrester Financial Group |
7/22/2008
|
Consent
Order
|
ENERGY
AUTOMATION SYSTEMS, INC.
|
In
the Matter of: ENERGY AUTOMATION SYSTEMS, INC. |
7/16/2008
|
First
Amended Summary Order to Cease and Desist
and Order to Show Cause
|
TelStar
Capital Resources, LLC and Alan Silverstein and David G. Bynum
and Maryland Retirement Services, Inc. and Robert Mark Bynum
IV and
Chipakel, LLC and Woodrow W. Guyton III
|
In
the Matter of: TelStar Capital Resources, LLC and Alan Silverstein and
David G. Bynum and Maryland Retirement Services, Inc. and Robert
Mark Bynum IV and Chipakel, LLC and Woodrow W. Guyton III |
7/07/2008
|
Order
to Show Cause
|
Martin
Angeli
|
In
the Matter of: Martin Angeli |
7/03/2008
|
Final
Judgment and Consent Order for Permanent
Injunction
|
George
G. O'Neal and
Kelley Development Corp. and
Kelley Building Corporation and
C.J. Kelley, LLC
|
In
the Matter of: Melanie Senter Lubin v. George G. O'Neal and
Kelley Development Corp. and
Kelley Building Corporation and
C.J. Kelley, LLC |
6/24/2008
|
Summary
Order to Cease and Desist and Order to Show Cause
|
Edward
James Lawson and
Automated Revenue Creation, LLC and Guaranteed Results Advertising, LLC
|
In
the Matter of: Edward James Lawson and Automated Revenue Creation,
LLC and Guaranteed Results Advertising, LLC |
6/23/2008
|
Summary
Order to Cease and Desist and Order to Show Cause
|
Azuke
Moesiete dba www.ppmdoctors.com
|
In
the Matter of: Azuke Moesiete dba www.ppmdoctors.com
|
6/21/2008
|
Consent
Order
|
Allen
W. Shatto and A. & L. Shatto, Inc. and The Allen & Linda
Shatto Veterans Center, Inc.
|
In
the Matter of: Allen W. Shatto and A. & L. Shatto, Inc.
and The Allen & Linda Shatto Veterans Center, Inc. |
6/12/2008
|
Final
Order to Cease and Desist
|
Pigeon
King International, Inc.
|
In
the Matter of: Pigeon King International, Inc. |
6/09/2008
|
Complaint
|
George
G. O'Neal and Kelley Development Corp. and Kelley Building Corporation
and C.J. Kelley, LLC
|
In
the Matter of: Melanie Senter Lubin v. George G. O'Neal and
Kelley Development Corp. and
Kelley Building Corporation and
C.J. Kelley, LLC |
6/05/2008
|
Final
Order to Cease and Desist and Order of Bar
|
Delmy
Y. Siguenza
|
In
the Matter of: Delmy Y. Siguenza |
6/05/2008
|
Consent
Order
|
Property
Management Business Solutions, LLC dba Real Property Management
|
In
the Matter of: Property Management Business Solutions, LLC
dba Real Property Management |
6/05/2008
|
Consent
Order
|
Family
Financial Centers, LLC
|
In
the Matter of: Family Financial Centers, LLC |
6/05/2008
|
Consent
Order
|
Principal
Investors Fund, Inc.
|
In
the Matter of: Principal Investors Fund, Inc. |
6/04/2008
|
Order
to Show Cause
|
Marc
A. Freedman
|
In
the Matter of: Marc A. Freedman |
6/03/2008
|
Consent
Order
|
Da-Vi
Nails International, LLC
|
In
the Matter of: Da-Vi Nails International, LLC |
5/23/2008
|
Consent
Order
|
Adarsh
Narayan
|
In
the Matter of: Adarsh Narayan |
5/21/2008
|
Consent
Order
|
Banc
of America Investment Services, Inc.
|
In
the Matter of: Banc of America Investment Services, Inc. |
5/19/2008
|
Consent
Order
|
SoccerTots,
Inc.
|
In
the Matter of: SoccerTots, Inc. |
5/19/2008
|
Order
to Show Cause
|
Pigeon
King International, Inc.
|
In
the Matter of: Pigeon King International, Inc. |
5/19/2008
|
Amended
Summary Order to Cease and Desist and Order to Show Cause
|
Paul
E. Barnes and Paul E. Barnes dba JLR Group and Integrated Real
Estate Investment Solutions aka
IREIS, LLC and Horizons Beyond Investments, LLC
|
In
the Matter of: Paul E. Barnes and Paul E. Barnes dba JLR Group and
Integrated Real Estate Investment Solutions aka IREIS, LLC and
Horizons Beyond
Investments, LLC |
5/12/2008
|
Consent
Order
|
Suk
Ku Lim
|
In
the Matter of: Suk Ku Lim |
4/22/2008
|
Consent
Order
|
James
Michael Grisby
|
In
the Matter of: James Michael Grisby |
4/17/2008
|
Consent
Order
|
Edwin
C. Hirsch
|
In
the Matter of: Edwin C. Hirsch |
4/16/2008
|
Final
Order to Cease and Desist
|
Andrew
H. Williams and
POS Dream Home, LLC and Metropolitan Grapevine, LLC and Laveda Whitfield
|
In
the Matter of: Andrew H. Williams and
POS Dream Home, LLC and Metropolitan Grapevine, LLC and Laveda Whitfield |
4/14/2008
|
Summary
Order to Cease and Desist and
Order to Show Cause
|
Paul
E. Barnes and
Integrated Real Estate Investment Solutions, LLC aka IREIS, LLC and
Horizons Beyond Investments, LLC
|
In
the Matter of: Paul E. Barnes and
Integrated Real Estate Investment Solutions, LLC aka IREIS, LLC and
Horizons Beyond Investments, LLC |
4/9/2008
|
Consent
Order
|
Boardwalk
Fries, Inc. and
Branded Concepts, Inc. and
David DiFerdinando
|
In
the Matter of: Boardwalk Fries, Inc. and Branded Concepts, Inc.
and David DiFerdinando |
4/8/2008
|
Summary
Order to Cease and Desist and
Order to Show Cause
|
Rodney
International www.rodneyinternational.com
Rupert Clement Rodney Alexander M. Gittens and Paulette Chhean
|
In
the Matter of: Rodney
International www.rodneyinternational.com
Rupert Clement Rodney Alexander M. Gittens and Paulette Chhean |
4/4/2008
|
Final
Order to Cease and Desist and Order of Bar
|
The
Greatest Vitamin in the World, LLC and Don Lapre
|
In
the Matter of: The Greatest Vitamin in the World, LLC and Don Lapre |
3/27/2008
|
Order
to Show Cause
|
Delmy
Y. Siguenza
|
In
the Matter of: Delmy Y. Siguenza |
3/27/2008
|
Final
Order to Cease and Desist and Order of Bar
|
TC&P
Trade dba High Capital
and David Brook
|
In
the Matter of: TC&P Trade dba High Capital and David Brook |
3/27/2008
|
Consent
Order
|
Robby
J. Culbreath and Project Goshen, Inc.
|
In
the Matter of: Robby J. Culbreath and
Project Goshen, Inc. |
3/24/2008
|
Final
Order to Cease and Desist
|
ASM
Financial Funding Corporation and Andrew S. Mackey and James Peters
|
In
the Matter of: ASM Financial Funding Corporation and Andrew S. Mackey
and James Peters |
3/17/2008
|
Amended
Consent Order
|
Maui
Wowi Franchising Inc.
|
In
the Matter of: Maui Wowi Franchising Inc. |
3/13/2008
|
Summary
Order to Cease and Desist and
Order to Show Cause
|
TelStar
Capital Resources, LLC and
Alan Silverstein and David G. Bynum
|
In
the Matter of: TelStar Capital Resources, LLC and Alan Silverstein
and David G. Bynum |
3/12/2008
|
Summary
Order to Cease and Desist and
Order to Show Cause
|
NetFree
Direct, LLC and Charles B. Seidman |
In
the Matter of: NetFree Direct, LLC and Charles B. Seidman |
3/12/2008
|
Consent
Order
|
Networking
Technology, Inc.
|
In
the Matter of: Networking Technology, Inc. |
3/07/2008
|
Final
Order to Cease and Desist
|
Mark
Edward Phillips a/k/a Mark LeRoy Aaron and Phydea Equity Fund,
LLC
|
In
the Matter of: Mark Edward Phillips a/k/a Mark LeRoy Aaron and Phydea
Equity Fund, LLC |
3/05/2008
|
Consent
Order
|
Mark
V. Sanfilippo
|
In
the Matter of: Mark V. Sanfilippo |
2/25/2008
|
Summary
Order to Cease and Desist and Order to Show Cause
|
TC&P
Trade dba High Capital
and David Brook
|
In
the Matter of: TC&P Trade dba High Capital and David Brook |
2/13/2008
|
Final
Order to Cease and Desist and Order of Bar
|
Alpine
Petroleum, LLC and
Red Earth Resources, Inc. and
Jim Morrisett
|
In
the Matter of: Alpine Petroleum, LLC and Red Earth Resources, Inc.
and
Jim Morrisett |
2/12/2008
|
Consent
Order
|
Peter
J. Canonico
|
In
the Matter of: Peter J. Canonico |
2/11/2008
|
Consent
Order
|
PSA
Equities, Inc. and
PSA Financial Advisors, Inc.
|
In
the Matter of: PSA Equities, Inc. and PSA Financial Advisors, Inc. |
2/08/2008
|
Consent
Order
|
Stroller
Strides, LLC
|
In
the Matter of: Stroller Strides, LLC |
1/29/2008
|
Consent
Order for a Permanent Injunction
|
Nathan
A. Chapman, Jr.
|
In
the Circuit Court for Baltimore City Melanie Senter Lubin v. Nathan
A. Chapman, Jr., et al. |
1/29/2008
|
Order
Dismissing Order to Show Cause
|
Synvest,
Inc. (f/k/a Synvest R.E.I.T., Inc.) and William A. Green and
River Walk Development Phase Two, LLC
|
In
the Matter of: Synvest, Inc. (f/k/a Synvest R.E.I.T., Inc.) and
William A. Green and River Walk Development Phase Two, LLC |
1/22/2008
|
Consent
Order
|
George
A. Ruszat
|
In
the Matter of: George A. Ruszat |
1/18/2008
|
Final
Order to Cease and Desist
|
Global
Partners Capital and Gerard Banks and Shawn Miller
|
In
the Matter of: Asia Pacific Energy, Inc. et al. |
1/18/2008
|
Order
to Show Cause
|
Alpine
Petroleum LLC and Red Earth Resources, Inc.
and Jim Morrisett
|
In
the Matter of: Alpine Petroleum LLC and Red Earth Resources,
Inc. and Jim Morrisett |
1/18/2008
|
Consent
Order as to Nathan A. Chapman, Jr.
|
Nathan
A. Chapman, Jr.
|
In
the Matter of: Nathan A. Chapman, et al. |
1/18/2008
|
Consent
order
|
Mary
Deitrick
|
In
the Matter of: Mary Deitrick |
1/7/2008
|
Consent
order
|
David
Teitelbaum
|
In
the Matter of: David Teitelbaum |
1/7/2008
|
Consent
order
|
Nelva
A. Bledsoe, CFP
|
In
the Matter of: Nelva
A. Bledsoe, CFP |
