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Maryland Securities Division Administrative Actions

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

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2010
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

 

 
 
 

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