|
|
| Date |
Type
of Order |
Subject
of Order |
Case
Name |
12/22/10 |
Consent Order
|
Wells Fargo Investments LLC
|
In
the Matter of: Wells Fargo Investments LLC |
12/06/10 |
Order To Show Cause
|
Colourco SV, Inc. and Jacques St. Pierre
|
In
the Matter of: Colourco SV, Inc. and Jacques St. Pierre |
12/08/10 |
Consent Order
|
Steven Schwat, and Drummond Development, LLC Kentucky Court Town Homes, LLC Urban Investment Partners V, LP and Urban Investment Partners VIII At The Biltmore, and UIP SRAF, LP and UIP III Invest, LLC
|
In
the Matter of: Steven Schwat, and Drummond Development, LLC Kentucky Court Town Homes, LLC Urban Investment Partners V, LP and Urban Investment Partners VIII At The Biltmore, and UIP SRAF, LP and UIP III Invest, LLC |
11/29/10 |
Consent Order
|
ABCSP Inc., d/b/a Always Best Care Senior Services
|
In
the Matter of: ABCSP Inc., d/b/a Always Best Care Senior Services |
11/22/10 |
Amended Consent Order
|
SHS Franchising, LLC
|
In
the Matter of: SHS Franchising, LLC |
11/22/10 |
Consent Order As To
Haskell Feldman
|
Haskell Feldman
|
In
the Matter of: New Image, LLC et al. |
11/15/10 |
Summary Order To Cease And Desist And Order To Show Cause
|
Solid Ad Solutions, LLC And Christopher Lewallen
|
In
the Matter of: Solid Ad Solutions, LLC And Christopher Lewallen |
11/12/10 |
Final Order To Cease And Desist And Order Of Permanent Bar
|
Gregory V. Cronin
|
In
the Matter of: Gregory V. Cronin
|
11/03/10 |
Consent Order
|
Cornwell Quality Tools Company, Inc.
|
In
the Matter of: Cornwell Quality Tools Company, Inc.
|
10/22/10 |
First Amended Summary Order to Cease and Desist and Order to Show Cause
|
Lawrence J. Haye and Haye Capital Group, LLC
|
In
the Matter of: Lawrence J. Haye and Haye Capital Group, LLC
|
10/18/10 |
Consent Order
|
Banc of America Securities LLC and Banc of America Investment Services, Inc. |
In
the Matter of: Banc of America Securities LLC and Banc of America Investment Services, Inc. |
10/12/10 |
Final Order to Cease and Desist and Order to Show Cause
|
Mark A. Fuller and Wealth Management and Marketing LLC |
In
the Matter of: Mark A. Fuller and Wealth Management and Marketing LLC |
10/04/10
|
Final
Order to Cease and Desist
|
Global
Bullion Exchange, LLC and Jamie Campany and Thomas Helgeson and
Nicholas Ganesh and Adam King
|
In
the Matter of: Global Bullion Exchange, LLC and Jamie Campany and Thomas Helgeson and Nicholas Ganesh and Adam King
|
9/22/10 |
Consent
Order
|
Deutsche Bank Securities Inc. |
In
the Matter of:Deutsche Bank Securities Inc. |
9/17/10
|
Consent
Order
|
James
G. Shaw |
In
the Matter of: James G. Shaw |
8/31/10 |
Consent
Order
|
Kid’s
Closet Connection, LLC |
In
the Matter of: Kid’s Closet Connection, LLC |
8/23/10
|
Order to Show Cause
|
Mark A. Fuller and Wealth Management and Marketing LLC |
In
the Matter of: Mark A. Fuller and Wealth Management and Marketing LLC |
8/18/10
|
Consent
Order
|
David
J. Burton and SCDC Management Company LLC |
In
the Matter of: David J. Burton and SCDC Management Company LLC |
8/17/10
|
Order
to Show Cause
|
Gregory
V. Cronin |
In
the Matter of: Gregory V. Cronin |
8/16/10
|
Final
Order
|
New
Image LLC |
In
the Matter of: New Image LLC |
8/16/10
|
Consent
Order
|
Reginaldo
Carmelia and Dominion Partners Worldwide, LLC |
In
the Matter of: Reginaldo Carmelia and Dominion Partners Worldwide,
LLC |
8/13/10
|
Order
to Show Cause
|
Wata-Wing,
LLC and Donald H. “Doc” Prevette |
In
the Matter of: Wata-Wing, LLC and Donald H. “Doc” Prevette |
8/02/10
|
Consent
Order
|
SHS
Franchising LLC |
In
the Matter of: SHS Franchising LLC |
7/23/10
|
Consent
Order
|
H.
Beck, Inc. |
In
the Matter of: H. Beck, Inc. |
7/23/10
|
Consent
Order
|
Wei
Mortgage Corporation and Wesley Yuan |
In
the Matter of: Wei Mortgage Corporation and Wesley Yuan |
7/21/10
|
Consent
Order
|
Jerry
Goldberg dba Big Bear Advertising Agency |
In
the Matter of: Jerry Goldberg dba Big Bear Advertising Agency |
7/14/10
|
Summary
Order to Cease and Desist and
Order to Show Cause
|
Lawrence
J. Haye and Haye Capital Group, LLC |
In
the Matter of: Lawrence J. Haye and Haye Capital Group, LLC |
7/12/10
|
Final
Order to Cease and Desist and Order of Bar
|
100
Miles, LLC and John A. Fultz II
|
In
the Matter of: 100 Miles, LLC and John A. Fultz II |
7/12/10
|
Consent
Order
|
Patuxent
Management LLC and Patuxent Development LLC and Antonio Almenara
|
In
the Matter of: Patuxent Management LLC and Patuxent Development
LLC and Antonio Almenara
|
7/02/10
|
Order
to Show Cause
|
Da-Vi
Nails International, LLC
|
In
the Matter of: Da-Vi Nails International, LLC |
7/01/10
|
Final
Order to Cease and Desist and Order of Bar
|
Kendrick
D. Brown and K3 Enterprises, Inc.
|
In
the Matter of: Kendrick D. Brown and K3 Enterprises, Inc. |
7/01/10
|
Final
Order |
Prontowash
USA, LLC |
In
the Matter of: Prontowash USA, LLC |
6/30/10
|
Summary
Order to Cease and Desist
|
Global
Bullion Exchange, LLC and Jamie Campany and Thomas Helgeson and
Nicholas Ganesh and Adam King
|
In
the Matter of: Global Bullion Exchange, LLC and Jamie Campany
and Thomas Helgeson and Nicholas Ganesh and Adam King
|
6/30/10
|
Final
Order to Cease and Desist
|
Rodney
International and www.rodneyinternational.com and
Rupert Clement Rodney and Alexander M. Gittens
|
In
the Matter of: Rodney International and www.rodneyinternational.com
and
Rupert Clement Rodney and Alexander M. Gittens
|
6/15/10
|
Final
Order
|
Thomas
C. Trexler and Rebel Holiday and Artemis Strategy Fund, Inc.
and Artemis Vision Fund, Inc. and Artemis Global Technology Fund,
Inc. and Phoenix Strategy Fund, Inc.
|
In
the Matter of: Thomas C. Trexler and Rebel Holiday and Artemis
Strategy Fund, Inc. and Artemis Vision Fund, Inc. and Artemis Global
Technology Fund, Inc. and Phoenix Strategy Fund, Inc. |
6/14/10
|
Final
Order
|
Michael
G. Block
|
In
the Matter of: Michael G. Block. |
6/14/10
|
First
Amended Summary Order to Cease and Desist and
Order to Show Cause
|
Diversified
Marketing Concepts a.k.a.
Diversified Marketing Consultants, Inc. aka DMC, aka Shop D2Z and
Lamondes D. Williams and Digital-Zone Electronics Warehouse and
Mainline Properties LLC
|
In
the Matter of: Diversified Marketing Concepts a.k.a. Diversified
Marketing Consultants, Inc. aka DMC, aka Shop D2Z and Lamondes
D. Williams and Digital-Zone Electronics Warehouse and
Mainline Properties LLC |
6/14/10
|
Summary
Order to Cease and Desist and Order to Show Cause
|
100
Miles, LLC and John A. Fultz, II
|
In
the Matter of: 100 Miles, LLC and John A. Fultz, II |
5/27/10
|
Summary
Order to Cease and Desist and Order to Show Cause
|
Earnest
E. Bridges and Bridges Financial Solutions, LLC
|
In
the Matter of: Earnest E. Bridges and Bridges Financial Solutions,
LLC |
5/27/10
|
Order
to Show Cause
|
Kendrick
D. Brown and K3 Enterprises, Inc.
|
In
the Matter of: Kendrick D. Brown and K3 Enterprises, Inc. |
5/25/10
|
Order
to Show Cause
|
Abigail
Trinity-Davies dba Trinity Temporaries & Business Services
|
In
the Matter of: Abigail Trinity-Davies dba Trinity Temporaries & Business
Services |
5/25/10
|
Consent
Order
|
Rachel
Myers
|
In
the Matter of: MonitorClosely.com, LLC and Thomas Wein and Rachel
Myers |
5/25/10
|
Final
Order to Cease and Desist
|
MonitorClosely.com,
LLC and Thomas Wein
|
In
the Matter of: MonitorClosely.com, LLC and Thomas Wein and Rachel
Myers |
5/20/10
|
Amended
Consent Order
|
FETCH!
Pet Care, Inc. and Paul Mann
|
In
the Matter of: FETCH! Pet Care, Inc. and Paul Mann |
5/10/10
|
First
Amended Summary Order to Cease and Desist and Order to Show Cause
|
James
G. Shaw
|
In
the Matter of: James G. Shaw |
5/05/10
|
Summary
Order to Cease and Desist
And Order to Show Cause
|
Diversified
Marketing Consultants, Inc. aka DMC aka Shop D2Z and Lamondes
D. Williams and Digital-Zone Electronics Warehouse and Mainline
Properties
LLC
|
In
the Matter of: Diversified Marketing Consultants, Inc. aka DMC
aka Shop D2Z and Lamondes D. Williams and Digital-Zone Electronics
Warehouse and Mainline Properties LLC
|
4/29/10
|
Summary
Order to Cease and Desist
|
John
Francis Curran, III and Gargoyles, Inc.
|
In
the Matter of: John Francis Curran, III and Gargoyles, Inc. |
4/22/10
|
Summary
Order to Cease and Desist
and Order to Show Cause
|
Wei
Mortgage Corporation and Wesley Yuan
|
In
the Matter of: Wei Mortgage Corporation and Wesley Yuan |
4/15/10
|
Consent
Order
|
ComForcare
Health Holdings Inc.
|
In
the Matter of: ComForcare Health Holdings Inc. |
3/18/10
|
Order
to Show Cause
|
New
Image, LLC and Haskell Feldman and Dominion Partners Worldwide,
LLC and Reginaldo Carmelia
|
In
the Matter of: New Image, LLC and Haskell Feldman and Dominion
Partners Worldwide, LLC and Reginaldo Carmelia |
2/23/10
|
Consent
Order
|
Mullaney
Management & Trust LLC and Raymond M. Mullaney
|
In
the Matter of: Mullaney Management & Trust LLC and Raymond
M. Mullaney |
2/03/10
|
Consent
Order
|
David
Baginski and Secret Money Factory
|
In
the Matter of: David Baginski and Secret Money Factory |
1/29/10 |
Consent
Order
|
Wachovia Securities LLC and Wachovia Capital Markets, LLC
|
In
the Matter of: Wachovia Securities LLC and Wachovia Capital Markets, LLC
|
1/29/10
|
Summary
Order to Cease and Desist and Order to Show Cause
|
Patuxent
Management LLC
Patuxent Development Inc.
Antonio Almenara
|
In
the Matter of: Patuxent Management LLC Patuxent Development Inc. Antonio
Almenara
|
1/22/10
|
Consent
Order
|
AFC
Asset Management Services, Inc.
|
In
the Matter of: AFC Asset Management Services, Inc. |
1/22/10
|
Final
Order to Cease and Desist and Order of Bar
|
Venkateswararao
K. Dudi aka V.K. Dudi
|
In
the Matter of: Venkateswararao K. Dudi aka V.K. Dudi |
1/15/10
|
Order
of Summary Suspension
|
James
G. Shaw
|
In
the Matter of: James G. Shaw |
1/15/10
|
Summary
Order to Cease and Desist and Order to Show Cause
|
James
G. Shaw
|
In
the Matter of: James G. Shaw |
1/14/10
|
Consent
Order
|
Money
Management Advisory, Inc. and Edgar D. Mock, III and George Klander
|
In
the Matter of: Money Management Advisory, Inc. and Edgar D.
Mock, III and George Klander |
1/8/10
|
Order
to Show Cause
|
MonitorClosely.com,
LLC and Thomas Wein and Rachel Myers
|
In
the Matter of: MonitorClosely.com, LLC and Thomas Wein and Rachel
Myers |
1/7/10
|
Consent
Order
|
Steven
Dean Yarn and Yarn & Company, Inc.
|
In
the Matter of: Steven Dean Yarn and Yarn & Company, Inc. |
1/4/10
|
Consent
Order
|
FETCH!
Pet Care, Inc., and Paul Mann
|
In
the Matter of: FETCH!
Pet Care, Inc., and Paul Mann |
