|
|
| 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 |
