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Maryland Securities Division Administrative Actions

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

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2011
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

 

 
 
 

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