|
|
| Date |
Type
of Order |
Subject
of Order |
Case
Name |
12/15/11 |
Final Order to Cease and Desist
|
Solid Ad Solutions, LLC and Christopher Lewallen
|
In
the Matter of:Solid Ad Solutions, LLC and Christopher Lewallen |
12/09/11 |
Consent Order
|
Kevin Gilmartin dba Advantage Associates
|
In
the Matter of: Kevin Gilmartin dba Advantage Associates |
11/28/11 |
Consent Order
|
BGR Franchising LLC dba The Burger Joint
|
In
the Matter of:BGR Franchising LLC dba The Burger Joint |
11/28/11 |
Final Order to Cease and Desist and Order of Bar
|
Casey Charles and Infinite Equity Strategies LLC
|
In
the Matter of:Casey Charles and Infinite Equity Strategies LLC |
11/28/11 |
Final Order to Cease and Desist and Order of Bar
|
Beate M. Brandl
|
In
the Matter of: Beate M. Brandl |
11/15/11 |
Consent Order
|
CP Franchising, LLC dba Cruise Planners
and Michelle Fee
|
In
the Matter of: CP Franchising, LLC dba Cruise Planners
and Michelle Fee |
11/10/11 |
Consent Order
|
The Endowment TEI Fund, L.P.
|
In
the Matter of:The Endowment TEI Fund, L.P. |
10/31/11 |
Final Order to Cease and Desist and Order of Bar
|
William Gregory Gerhardt and Kitchen Concepts, Inc.
|
In
the Matter of:William Gregory Gerhardt and Kitchen Concepts, Inc. |
10/31/11 |
Final Order
|
Crystal Victoria Corporation and Platinumtech Corporation
|
In
the Matter of: Charles W. Sens, Jr., et al. |
10/24/11 |
Consent Order
|
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.
|
In
the Matter of: Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. |
10/19/11 |
Final Order to Cease and Desist and Order of Bar
|
Hugh Lawrence Logan dba Washington Financial Group
|
In
the Matter of: Hugh Lawrence Logan dba Washington Financial Group |
10/11/11 |
Summary Order to Cease and Desist And Order to Show Cause
|
Casey Charles and Infinite Equity Strategies, LLC
|
In
the Matter of: Casey Charles and Infinite Equity Strategies, LLC |
09/20/11 |
Order to Show Cause
|
SOLgenics, Inc. and Troy Osten and Douglas Shamlin
|
In
the Matter of: SOLgenics, Inc. and Troy Osten and Douglas Shamlin |
09/08/11 |
Summary Order to Cease and Desist and Order to Show Cause
|
Power Financial Group, LLC
|
In
the Matter of: Power Financial Group, LLC |
09/07/11 |
Order to Show Cause
|
Larry Cunningham and LBC Real Estate Development Inc.
|
In
the Matter of: Larry Cunningham and LBC Real Estate Development Inc. |
09/07/11 |
Consent Order
|
Isaiah Solomon
|
In
the Matter of: Isaiah Solomon |
09/07/11 |
Summary Order to Cease and Desist and Order to Show Cause
|
HUGH LAWRENCE LOGAN d/b/a WASHINGTON FINANCIAL GROUP
|
In
the Matter of: HUGH LAWRENCE LOGAN d/b/a WASHINGTON FINANCIAL GROUP |
08/25/11 |
Order to Show Cause
|
Lucky Ukanwoke and Global Gold, LLC
|
In
the Matter of: Lucky Ukanwoke and
Global Gold, LLC |
08/24/11 |
Consent Order
|
Karen Revelle and Revelle Resouces, Inc.
|
In
the Matter of: Karen Revelle and Revelle Resouces, Inc. |
08/19/11 |
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 |
08/17/11 |
Final Order to Cease and Desist
|
Wata-Wing LLC and Donald H. “Doc” Prevette
|
In
the Matter of: Wata-Wing LLC and Donald H. “Doc” Prevette |
08/16/11 |
Final Order to Cease and Desist and
Order of Bar
|
PASCO Community Development Foundation, Inc. and Roscoe D. Johnson, Jr.
|
In
the Matter of: PASCO Community Development Foundation, Inc. and Roscoe D. Johnson, Jr. |
08/16/11 |
First Amended Summary Order to Cease and Desist and Order to Show Cause
|
Charles Warren Sens, Jr. and Crystal Victoria Corporation and Platinumtech Corporation
|
In
the Matter of:Charles Warren Sens, Jr. and Crystal Victoria Corporation and Platinumtech Corporation |
08/15/11 |
Order to Show Cause
|
William Gregory Gerhardt and Kitchen Concepts, Inc.
|
In
the Matter of: William Gregory Gerhardt and Kitchen Concepts, Inc |
08/11/11 |
Consent Order
|
DaVi Nails Salon and Spa, LLC And Da-Vi Nails International, LLC
|
In
the Matter of: DaVi Nails Salon and Spa, LLC And Da-Vi Nails International, LLC |
08/04/11 |
Final Order to Cease and Desist
|
Eric Bethea and Travis Bumpers and New Century Homes of Carolina, Inc. aka New Century Homes of North Carolina
|
In
the Matter of: Eric Bethea and Travis Bumpers and New Century Homes of Carolina, Inc. aka New Century Homes of North Carolina |
08/02/11 |
Consent Order
|
Wells Fargo Advisors LLC
|
In
the Matter of:Wells Fargo Advisors LLC |
07/28/11 |
Consent Order
|
Credit Suisse Securities (USA) LLC
|
In
the Matter of: Credit Suisse Securities (USA) LLC |
07/19/11 |
Consent Order
|
Specialty Merchandise Corporation and eMerchantClub, LLC
|
In
the Matter of:Specialty Merchandise Corporation and eMerchantClub, LLC |
07/12/11 |
Final Order to Cease and Desist and Order of Bar
|
Moshe Yehuda Dunoff dba Intereast Financial Brokers and Gruber and Green, Inc. and Gruberandgreen.com and Gruberandgreeninc.com
|
In
the Matter of: Moshe Yehuda Dunoff dba Intereast Financial Brokers and Gruber and Green, Inc. and Gruberandgreen.com and Gruberandgreeninc.com |
07/11/11 |
Final Order to Cease and Desist and Order of Bar
|
Michael G. Turek
|
In
the Matter of: Michael G. Turek |
07/11/11 |
Final Order to Cease and Desist and Order of Bar
|
John F. Means
|
In
the Matter of: John F. Means |
07/07/11 |
Order to Show Cause
|
Eric Bethea and Travis Bumpers and New Century Homes of Carolina, Inc. aka
New Century Homes of North Carolina
|
In
the Matter of: Eric Bethea and Travis Bumpers and New Century Homes of Carolina, Inc. aka
New Century Homes of North Carolina |
06/30/11 |
Order to Show Cause
|
Isaiah Solomon
|
In
the Matter of: Isaiah Solomon |
06/29/11 |
Order to Show Cause
|
PASCO Community Development Foundation, Inc and Roscoe D. Johnson, Jr.
|
In
the Matter of:PASCO Community Development Foundation, Inc. and Roscoe D. Johnson, Jr. |
06/27/11 |
Consent Order
|
Stifel, Nicolaus & Company, Inc.
|
In
the Matter of:Stifel, Nicolaus & Company, Inc. |
06/17/11 |
Memorandum and Opinion of Judge Robert A. Greenberg
Circuit Court for Montgomery County
|
Thomas C. Trexler and Rebel Holiday
|
In
the Matter of: Thomas C. Trexler, et al. v. Securities Commissioner of Maryland |
06/07/11 |
Final Order to Cease and Desist and Order of Bar
|
Harvey L. Taylor and T. Janal, Inc. dba Word Professional Institute
|
In
the Matter of: Harvey L. Taylor and T. Janal, Inc. dba Word Professional Institute |
05/31/11 |
Consent Order
|
Jon D. Kurzmann
|
In
the Matter of: Jon D. Kurzmann |
05/31/11 |
Order to Vacate Final Order as to Respondents Mark A. Fuller and Wealth Management and Marketing LLC
|
Mark A. Fuller and Wealth Management and Marketing LLC
|
In
the Matter of: Mark A. Fuller and Wealth Management and Marketing LLC |
05/31/11 |
Summary Order to Cease and Desist and Order to Show Cause
|
Charles Warren Sens, Jr. and Crystal Victoria Corporation
|
In
the Matter of: Charles Warren Sens, Jr. and Crystal Victoria Corporation |
05/31/11 |
Order to Show Cause
|
Kevin Gilmartin dba Advantage Associates
|
In
the Matter of: Kevin Gilmartin dba Advantage Associates |
05/31/11 |
Order to Show Cause
|
John F. Means
|
In
the Matter of: John F. Means |
05/18/11 |
Order to Show Cause
|
Michael G. Turek
|
In
the Matter of: Michael G. Turek |
05/11/11 |
Consent Order
|
Mark Fuller and Wealth Management and Marketing LLC
|
In
the Matter of: Mark Fuller and Wealth Management and Marketing LLC |
05/11/11 |
Final Order to Cease and Desist and Order of Bar
|
Christopher G. Coulther
|
In
the Matter of: Christopher G. Coulther |
05/10/11 |
Consent Order
|
Goldman Sachs & Co.
|
In
the Matter of: Goldman Sachs & Co. |
05/09/11 |
Order to Show Cause and Order of Summary Postponement
|
Elangovan Surendran
|
In
the Matter of: Elangovan Surendran |
04/28/11 |
Summary Order to Cease and Desist and Order to Show Cause
|
SHS Franchising, LLC
|
In
the Matter of: SHS Franchising, LLC |
04/27/11 |
Summary Order to Cease and Desist and Order to Show Cause
|
Wata-Wing, LLC and Donald H. “Doc” Prevette
|
In
the Matter of: Wata-Wing, LLC and Donald H. “Doc” Prevette |
04/26/11 |
Consent Order
|
TD Ameritrade, Inc.
|
In
the Matter of:TD Ameritrade, Inc. |
04/26/11 |
Consent Order
|
Citigroup Global Markets Inc.
|
In
the Matter of: Citigroup Global Markets Inc. |
04/14/11 |
Summary Order to Cease and Desist and Order to Show Cause
|
Moshe Yehuda Dunoff dba Interest Financial Brokers, Gruber and Green, Inc. /gruberandgreen.com/gruberandgreeninc.com
|
In
the Matter of: Moshe Yehuda Dunoff dba Interest Financial Brokers, Gruber and Green, Inc. /gruberandgreen.com/gruberandgreeninc.com |
04/12/11 |
Order to Show Cause
|
Jon D. Kurzmann
|
In
the Matter of: Jon D. Kurzmann |
04/12/11 |
Final Order to Cease and Desist And Order of Bar
|
William R. Whitehurst
|
In
the Matter of: William R. Whitehurst |
04/11/11 |
Order to Show Cause
|
Christopher G. Coulther
|
In
the Matter of: Christopher G. Coulther |
04/06/11 |
Consent Order
|
JPMorgan Chase & Co.
|
In
the Matter of: JPMorgan Chase & Co. |
03/31/11 |
Final Order to Cease and Desist
|
Richard Eder a/k/a richardeder@fastmail.fm and David Wong a/k/a wond12@gmail.com
|
In
the Matter of: Richard Eder a/k/a richardeder@fastmail.fm and David Wong a/k/a wond12@gmail.com |
03/31/11 |
Consent Order
|
RBC Capital Markets Corporation
|
In
the Matter of: RBC Capital Markets Corporation |
03/31/11 |
First Amended Order to Show Cause
|
Specialty Merchandise Corporation and eMerchantClub, LLC
|
In
the Matter of:Specialty Merchandise Corporation and eMerchantClub, LLC |
03/22/11 |
Final Order to Cease and Desist
|
Telstar Capital Resources, LLC, et al and Robert Mark Bynum IV
|
In
the Matter of: Telstar Capital Resources, LLC, et al and Robert Mark Bynum IV |
03/18/11 |
Final Order
|
Harvey L. Taylor and T. Janal Inc. dba Word Professional Institute
|
In
the Matter of: Harvey L. Taylor and T. Janal Inc. dba Word Professional Institute |
03/18/11 |
Summary Order to Cease and Desist and Order to Show Cause
|
Harvey L. Taylor and T. Janal Inc. dba Word Professional Institute
|
In
the Matter of: Harvey L. Taylor and T. Janal Inc. dba Word Professional Institute |
03/17/11 |
Final Order to Cease and Desist and Order of Bar
|
Bo Li
|
In
the Matter of: Bo Li |
03/15/11 |
Order to Show Cause
|
David E. Bredenberg
|
In
the Matter of: David E. Bredenberg |
03/14/11 |
Consent Order
|
Morgan Stanley & Co., Inc.
|
In
the Matter of: Morgan Stanley & Co., Inc. |
03/14/11 |
Consent Order
|
UBS Securities, LLC and UBS Financial Services, Inc.
|
In
the Matter of: UBS Securities, LLC and UBS Financial Services, Inc. |
03/14/11 |
Order to Show Cause
|
William R. Whitehurst
|
In
the Matter of: William R. Whitehurst |
03/11/11 |
Summary Order to Cease and Desist and Order to Show Cause
|
Beate M. Brandl
|
In
the Matter of: Beate M. Brandl |
03/11/11 |
Summary Oder to Cease and Desist and Order to Show Cause
|
Richard Eder a/k/a richardeder@fastmail.fm
and
David Wong a/k/a wongd12@gmail.com
|
In
the Matter of:Richard Eder a/k/a richardeder@fastmail.fm
and
David Wong a/k/a wongd12@gmail.com |
03/10/11 |
Consent Order
|
Tropical Smoothie Franchise Development Corporation
|
In
the Matter of: Tropical Smoothie Franchise Development Corporation |
02/10/11 |
Order to Show Cause
|
Jiten D. Mehta
|
In
the Matter of: Jiten D. Mehta |
02/03/11 |
Amended Final Order
|
Thomas C. Trexler / Rebel Holiday Artemis Strategy Fund, Inc. / Artemis Vision Fund, Inc. Artemis Global Technology Fund, Inc. / Phoenix Strategy Fund, Inc.
|
In
the Matter of:Thomas C. Trexler / Rebel Holiday Artemis Strategy Fund, Inc. / Artemis Vision Fund, Inc. Artemis Global Technology Fund, Inc. / Phoenix Strategy Fund, Inc. |
01/31/11 |
Consent Order
|
Solid Ad Solutions, LLC and Christopher Lewallen
|
In
the Matter of: Solid Ad Solutions, LLC and Christopher Lewallen |
01/28/11 |
Consent Order
|
Wata-Wing, LLC and Donald H. “Doc” Prevette
|
In
the Matter of: Wata-Wing, LLC and Donald H. “Doc” Prevette |
01/04/11 |
Final Order to Cease and Desist
|
Colourco SV, Inc. and Jacques St. Pierre
|
In
the Matter of:Colourco SV, Inc. and Jacques St. Pierre |
01/04/11 |
Consent Order
|
Merrill Lynch, Pierce, Fenner & Smith, Incorporated
|
In
the Matter of:Merrill Lynch, Pierce, Fenner & Smith, Incorporated |
01/04/11 |
Summary Order to Cease and Desist and Order to Show Cause
|
Bo Li
|
In
the Matter of:Bo Li |
01/03/11 |
Consent Order
|
Lawrence J. Haye and Haye Capital Group, LLC
|
In
the Matter of: Lawrence J. Haye and Haye Capital Group, LLC |
