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Maryland Securities Division Administrative Actions

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

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2009
Date Type of Order Subject of Order Case Name

12/23/09

Consent Order

Merrill Lynch Pierce Fenner & Smith, Inc.
In the Matter of: Merrill Lynch Pierce Fenner & Smith, Inc.

12/15/09

Consent Order

MultiVend, LLC, d.b.a Vendstar
In the Matter of: MultiVend, LLC, d.b.a Vendstar

12/15/09

Stop Order

AMERICAN INTERNATIONAL
FRANCHISE, LTD., D. B. A.
OLDE FORGE PIZZA EXPRESS

In the Matter of: AMERICAN INTERNATIONAL FRANCHISE, LTD., D. B. A. OLDE FORGE PIZZA EXPRESS

12/08/09

Final Order

Michele Bellso

In the Matter of: Make and Take Holding, LLC and Michele Bellso

12/08/09

Order Modifying Terms of 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.

12/01/09

Consent Order

Arnold M. Hecht

In the Matter of: Arnold M. Hecht

11/24/09

Summary Order to Cease and Desist and Order to Show Cause

Venkateswararao K. Dudi a/k/a V.K. Dudi

In the Matter of: Venkateswararao K. Dudi a/k/a V.K. Dudi

11/16/09

Consent Order

Peters Financial Planning Corp / Alan Edward Peters

In the Matter of: Peters Financial Planning Corp / Alan Edward Peters

11/13/09

Consent Order

Prosper Marketplace, Inc.

In the Matter of: Prosper Marketplace, Inc.

11/09/09

Final Order to Cease and Desist and Order of Bar

Peter Helm Thomas dba Ryan Technologies, LLC

In the Matter of: Peter Helm Thomas dba Ryan Technologies, LLC

11/06/09

Consent Order

Matthew C. Gordon and Pomfret Plantation, LLC

In the Matter of: Matthew C. Gordon and Pomfret Plantation, LLC

10/22/09

Consent Order

Prudential Investments, LLC

In the Matter of: Prudential Investments, LLC

10/19/09

Consent Order

Delaware Distributors, LP

In the Matter of: Delaware Distributors, LP

10/15/09

Consent Order

Charles D. Leiter

In the Matter of: Louis Eliasberg and Finance Company of America

10/14/09

Order to Show Cause

Peter Helm Thomas dba Ryan Technologies, LLC

In the Matter of: Peter Helm Thomas dba Ryan Technologies, LLC

10/05/09

Consent Order
Siruvai Franchise, Inc.
In the Matter of: Siruvai Franchise, Inc.

10/05/09

Consent Order
Sanjay Ghanshyam Patel
In the Matter of: Sanjay Ghanshyam Patel

9/22/09

Summary Order to Cease and Desist and
Order to Show Cause
Steven Dean Yarn and Yarn & Company, Inc.
In the Matter of: Steven Dean Yarn and Yarn & Company, Inc.

9/09/09

Order - Circuit Court for P.G. County
John H. Williams, et al
In the Matter of: Maryland Securities Commissioner v. John H. Williams, et al

9/09/09

Consent Order
Commonwealth Shareholders Services, Inc.
In the Matter of: Commonwealth Shareholders Services, Inc.

9/08/09

Final Order to Cease and Desist
American River Capital, Inc. and
American River Capital Group and
Profitgateway.com
In the Matter of: American River Capital, Inc. and American River Capital Group and Profitgateway.com

9/08/09

Final Order to Cease and Desist
Catherine L. Dobler and Anchor Mortgage, LLC
In the Matter of: Catherine L. Dobler and Anchor Mortgage, LLC

9/02/09

Consent Order
Ashish Shukla and First Step Financial, LLC and AAP Wealth Management, LLC
In the Matter of: Ashish Shukla and First Step Financial, LLC and AAP Wealth Management, LLC

9/02/09

Summary Order to Cease and Desist and Order to Show Cause
David Baginski and David Baginski LLC and Secret Money Factory
In the Matter of: David Baginski and David Baginski LLC and Secret Money Factory

8/25/09

Consent Order
Viridian Development Corp. and Paul Robinson
In the Matter of: Viridian Development Corp. and Paul Robinson

8/14/09

Consent Order
Brian J. Kelly
In the Matter of: Brian J. Kelly

8/14/09

Summer Order to Cease and Desist and
Order to Show Cause
American River Capital, Inc. and
American River Capital Group and
Profitgateway.com
In the Matter of: American River Capital, Inc. and American River Capital Group and Profitgateway.com

8/11/09

Final Order to Cease and Desist
Family Tree Video Corp. and Robbie Don Fritzer
In the Matter of: Family Tree Video Corp. and Robbie Don Fritzer

8/10/09

Final Order to Cease and Desist and Order of Bar
Germaine P. Pringle
In the Matter of: Germaine P. Pringle

8/07/09

Consent Order
Fred L. Bryant and JHJ Funding, LLC
In the Matter of: Fred L. Bryant and JHJ Funding, LLC

7/28/09

Order to Show Cause
Cantherine L. Dobler and Anchor Mortgage, LLC
In the Matter of: Cantherine L. Dobler and Anchor Mortgage, LLC

7/22/09

Consent Order
Morgan Stanley & Co., Incorporated
In the Matter of: Morgan Stanley & Co., Incorporated

7/13/09

Final Order to Cease and Desist and
Order of Bar
Global Pacific Investments, LLC d/b/a Trillionaires Club and Rosa Askew and Deborah F. Fox and
Jacqueline Q. Cussaac
In the Matter of: Global Pacific Investments, LLC d/b/a Trillionaires Club and Rosa Askew and Deborah F. Fox and Jacqueline Q. Cussaac

7/10/09

Order to Show Cause
Brian J. Kelly
In the Matter of: Brian J. Kelly

7/7/09

Summary Order to Cease and Desist
Viridian Development Corp. and Paul Robinson
In the Matter of: Viridian Development Corp. and Paul Robinson

6/30/09

Order to Show Cause
Germaine P. Pringle
In the Matter of: Germaine P. Pringle

6/30/09

Summary Order to Cease and Desist and Order to Show Cause
Arnold M. Hecht
In the Matter of: Arnold M. Hecht

6/24/09

Consent Order
Milliet K. Lanham
In the Matter of: Milliet K. Lanham

6/22/09

Final Order to Cease and Desist
Edward Offutt and Offutt Group, LLC and Offutt Holding Company, LLC and Offutt Holding and Affiliates, LLC and Offutt Holding Company and Affiliates, LLC
In the Matter of:Edward Offutt and Offutt Group, LLC and Offutt Holding Company, LLC and Offutt Holding and Affiliates, LLC and Offutt Holding Company and Affiliates, LLC

6/22/09

Final Order to Cease and Desist and Order of Bar

Robert John Smith, III and
Celebration Financial, Inc. and Funding Advisors, Inc.
In the Matter of: Robert John Smith, III and Celebration Financial, Inc. and Funding Advisors, Inc.

6/09/09

Summary Order to Cease and Desist & Order to Show Cause
Black Taurus Capital Management, LLC and Black Taurus International Fund, LP and Black Taurus Group LP and Black Taurus Group LLC and Troy Holland
In the Matter of:Black Taurus Capital Management, LLC and Black Taurus International Fund, LP and Black Taurus Group LP and Black Taurus Group LLC and Troy Holland

6/09/09

Consent Order
CMSU & Associates, LLC and Super Model Portfolio, LLP and James D. Holt and Ching S. Su
In the Matter of:CMSU & Associates, LLC and Super Model Portfolio, LLP
and James D. Holt and Ching S. Su

6/09/09

Final order to Cease and Desist and Order of Bar
Mark M. Morina and On the Mark Construction Company
In the Matter of: Mark M. Morina and On the Mark Construction Company

6/04/09

Consent Order

Charles M. Martin and Brooks Martin Investments, LLC
and My1sthouse.com, LLC
In the Matter of: Charles M. Martin and Brooks Martin Investments, LLC
and My1sthouse.com, LLC

6/04/09

Consent Order

Maryland Retirement Services, Inc.
In the Matter of: Telestar 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

6/02/09

Order to Show Cause

Global Pacific Investments, LLC dba Trillionaires Club and Rosa Askew and Deborah F. Fox and Jacqueline Q. Cussaac
In the Matter of: Global Pacific Investments, LLC dba Trillionaires Club
and Rosa Askew and Deborah F. Fox and Jacqueline Q. Cussaac

5/29/09

Order to Show Cause

Robert John Smith III and Celebration Financial, Inc. and Funding Advisors, Inc.
In the Matter of: Robert John Smith III and Celebration Financial, Inc. and Funding Advisors, Inc.

5/20/09

Consent Order

Card in the Yard
In the Matter of: Dawn M. Coolahan dba Card in the Yard

5/18/09

Order to Show Cause

Mark M. Morina and On the Mark Construction Company
In the Matter of: Mark M. Morina and
On the Mark Construction Company

5/04/09

Order to Show Cause

Milliet K. Lanham
In the Matter of: Milliet K. Lanham

4/30/09

Order to Show Cause

Family Tree Digital Video Corp and Robbie Don Fritzer
In the Matter of: Family Tree Digital Video Corp and Robbie Don Fritzer

4/30/09

Consent Order

All About Honeymoons Franchise Corporation
In the Matter of: All About Honeymoons Franchise Corporation

4/30/09

Final Order to Cease and Desist


Norman Anderson and Norand Management Solutions, LLC

In the Matter of: Norman Anderson and Norand Management Solutions, LLC

4/22/09

Consent Order

Charles Crawford and Crawford Consulting, Inc.
In the Matter of: Charles Crawford and Crawford Consulting, Inc.

4/13/09

Final Order to Cease and Desist
Make and Take Holding, LLC
In the Matter of: Make and Take Holding, LLC and Michele Bellso

3/27/09

Summary Order to Cease and Desist and
Order to Show Cause
Norman Anderson and Norand Management Solutions, LLC
In the Matter of: Norman Anderson and
Norand Management Solutions, LLC

3/18/09

Consent Order
Uzo O. Chima and Lumen Asset Management, LLC
In the Matter of:Uzo O. Chima and
Lumen Asset Management, LLC

3/12/09

Final Order
Bartholomew "Bart" Butler and NRG Residential, LLC and Butler Classic Homes, LLC and Mid-Atlantic Capital Partners, LLC and Mitchell, Morris, Edward & Associates,   Inc. and The Home Team, LLC only

In the Matter of: Bartholomew "Bart" Butler and NRG Residential, LLC and Butler Classic Homes, LLC and Mid-Atlantic Capital Partners, LLC and Mitchell, Morris, Edward & Associates, Inc. and The Home Team, LLC and Ashish Shukla and First Step Financial, LLC and AAP Wealth Management, LLC

2/23/09

Consent Order
Timothy K. Hancock
In the Matter of: Ardin Logistics, LLC, etc.

2/19/09

Consent Order
Wayne Anthony Bulls
In the Matter of: Wayne Anthony Bulls

2/19/09

Consent Order
David G. Bynum
In the Matter of: Telestar Capital Resources, LLC and Alan A. Silverstein and David G. Bynum

2/19/09

Consent Order
TelStar Capital resources, LLC and Alan A. Silverstein
In the Matter of: Telestar Capital Resources, LLC and Alan A. Silverstein and David G. Bynum

2/17/09

Order to Show Cause
Charles W. Crawford III and Crawford Consulting, Inc.
In the Matter of: Charles W. Crawford III and Crawford Consulting, Inc.

2/05/09

Consent Order
Taco Del Mar Franchising Corp.
In the Matter of: Taco Del Mar Franchising Corp.

1/26/09

Summary Order to Cease and Desist andOrder to Show Cause
Bartholomew "Bart" Butler and NRG Residential, LLC and Butler Classic Homes, LLC and Mid-Atlantic Capital Partners, LLC andMitchell, Morris, Edward & Associates, Inc. andThe Home Team, LLC and Ashish Shukla and First Step Financial, LLC and AAP Wealth Management, LLC
In the Matter of: Bartholomew "Bart" Butler and NRG Residential, LLC and Butler Classic Homes, LLC and Mid-Atlantic Capital Partners, LLC andMitchell, Morris, Edward & Associates, Inc. andThe Home Team, LLC and Ashish Shukla and First Step Financial, LLC and AAP Wealth Management, LLC

1/12/09

Order to Show Cause
Charles Marshun Martin and Brooks Martin Investments, LLC and My1stHouse.com, LLC
In the Matter of: Charles Marshun Martin and Brooks Martin Investments, LLC and My1stHouse.com, LLC

 

 
 
 

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