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Maryland Securities Division Administrative Actions

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2013
Date Type of Order Subject of Order Case Name

12/17/2013

Consent Order

Daniel Craft Jones

In the Matter of: Daniel Craft Jones

11/13/2013

Consent Order

Six Figure Club and James S. Davis, Jr.

In the Matter of: Six Figure Club and
James S. Davis, Jr.

11/08/2013

Consent Order

Thomas R. Yost and Yost Wealth Management, LLC

In the Matter of: Thomas R. Yost and Yost Wealth Management, LLC

11/04/2013

Order to Show Cause

Daniel Craft Jones

In the Matter of: Daniel Craft Jones

11/01/2013

Final Order of Denial and Bar

Greg S. Friedman and Law Office of Greg S. Friedman

In the Matter of:Greg S. Friedman and Law Office of Greg S. Friedman

11/01/2013

Consent Order

First Command Financial Planning, Inc.

In the Matter of:First Command Financial Planning, Inc.

10/07/2013

Order to Show Cause

Jose F. Carrio and Dennis Keith Karasik and Carrio, Karasik & Associates, LLP

In the Matter of: Jose F. Carrio and Dennis Keith Karasik and Carrio, Karasik & Associates, LLP

10/03/2013

Order to Show Cause

Hermann Mischke and Resica

In the Matter of: Hermann Mischke and  Resica

09/30/2013

Final Order to Cease and Desist

The IWI Group LLC  aka iWealth Investments The P.Point M.Group LLC  aka Pinpoint Marketing  and Mark A. Williams

In the Matter of:The IWI Group LLC  aka iWealth Investments The P.Point M.Group LLC  aka Pinpoint Marketing  and Mark A. Williams

09/30/2013

Order to Show Cause

Greg S. Friedman and Law Office of Greg S. Friedman

In the Matter of: Greg S. Friedman and Law Office of Greg S. Friedman

09/17/2013

Consent Order

Heavy Swing, LLC; Heavyswing America, LLC; Heavyswing Baseball, LLC and G. Keith Rockhill

In the Matter of: Christopher Shocklee and Keith Rockhill and Heavy Swing, LLC
And Heavyswing America, LLC and Heavyswing Baseball, LLC

09/17/2013

First Amended Summary Order to Cease and Desist and Order to Show Cause

Lester Rovell Raeford dba Jet Finance & Marketing Group aka “JFMG”

In the Matter of: Lester Rovell Raeford dba Jet Finance & Marketing Group aka “JFMG”

09/11/2013

Summary Order to Cease and Desist  and Order to Show Cause

Lester G. Raeford  dba Jet Finance & Marketing Group aka “JFMG”

In the Matter of: Lester G. Raeford  dba
Jet Finance & Marketing Group aka “JFMG”

08/26/2013

Consent Order

TMA Franchise System, Inc. dba The Mosquito Authority

In the Matter of: TMA Franchise System, Inc. dba The Mosquito Authority

08/16/2013

Consent Order

HomeTask, Inc

In the Matter of: HomeTask, Inc

07/31/2013

Consent Order

Go Mini’s, LLC Go Mini’s Franchising, LLC  and William G. Norris, Jr.

In the Matter of: Go Mini’s, LLC Go Mini’s Franchising, LLC  and William G. Norris, Jr.

07/30/2013

Consent Order

Christopher Shocklee

In the Matter of: HeavySwing, et al

07/26/2013

Final Order to Cease and Desist

Stephen Burks and Chelsea Financial Group, LLC

In the Matter of: Stephen Burks and Chelsea Financial Group, LLC

06/24/2013

Consent Order

Vocelli, LLC successor to Vocelli Pizza, LP

In the Matter of: Vocelli, LLC successor to Vocelli Pizza, LP

06/14/2013

Summary Order to Cease and Desist and
Order to Show Cause

The Six Figure Club and James S. Davis, Jr.

In the Matter of: The Six Figure Club and James S. Davis, Jr

06/14/2013

Order to Show Cause

Stephen Burks and Chelsea Financial Group, LLC

In the Matter of: Stephen Burks and Chelsea Financial Group, LLC

06/05/2013

Final Order to Cease and Desist

Sidney J. Charles, Jr.   and The Borrowing Station, LLC

In the Matter of: Sidney J. Charles, Jr.   and The Borrowing Station, LLC

05/23/2013

Consent Order

Alms and Associates, Inc. and Steven P. Alms

In the Matter of: Alms and Associates, Inc. and Steven P. Alms

05/20/2013

Consent Order

David A. Affeldt

In the Matter of: David A. Affeldt

05/17/2013

Consent Order

Joseph Giordano   and  Giordano Asset Management LLC  and Harbor Investment Solutions, LLC

In the Matter of: Joseph Giordano   and  Giordano Asset Management LLC  and Harbor Investment Solutions, LLC

05/07/2013

Order to Show Cause

Sidney J. Charles, Jr. and The Borrowing Station, LLC

In the Matter of: Sidney J. Charles, Jr. and The Borrowing Station, LLC

05/06/2013

Final Order as to Respondent Charles W. Sens, Jr.

Charles W. Sens, Jr.

In the Matter of:Charles W. Sens, Jr., et al.

04/30/2013

Consent Order

JEI Self-Learning Systems Inc.

In the Matter of: JEI Self-Learning Systems Inc.

04/26/2013

Final Order to Cease and Desist

Inter Reef Ltd. dba Profitable Sunrise  and Roman Novak and Radoslav Novak

In the Matter of: Inter Reef Ltd. dba Profitable Sunrise  and Roman Novak and  Radoslav Novak

04/22/2013

Order to Show Cause

The IWI Group LLC aka iWealth Investments and The P. Point M. Group, LLC aka Pinpoint

In the Matter of: The IWI Group LLC aka iWealth Investments and The P. Point M. Group, LLC aka Pinpoint

04/04/2013

Order to Show Cause

Thomas R. Yost   and  Yost Wealth Management, LLC

In the Matter of:Thomas R. Yost   and  Yost Wealth Management, LLC

04/03/2013

Order to Show Cause

Christopher Shocklee  and  Keith Rockhill   and Heavyswing, LLC  and  Heavyswing America, LLC   and Heavyswing Baseball, LLC

In the Matter of: Christopher Shocklee  and  Keith Rockhill   and Heavyswing, LLC  and  Heavyswing America, LLC   and Heavyswing Baseball, LLC

04/03/2013

Summary Order to Cease and Desist and Order to Show Cause

Scott Ransom Steele  and   SteeleSoft Management, Inc.   and SteeleSoft, Inc.   and  RealEasi Direct, LLC   and OfferRings Direct, LLC   and RealEasi, LLC   and OfferRings, LLC   and iAuto Mortgage Corporation   and  3S/RealServ, Inc.

In the Matter of: Scott Ransom Steele  and   SteeleSoft Management, Inc.   and SteeleSoft, Inc.   and  RealEasi Direct, LLC   and OfferRings Direct, LLC   and RealEasi, LLC   and OfferRings, LLC   and iAuto Mortgage Corporation   and  3S/RealServ, Inc.

03/15/2013

Summary Order to Cease and Desist and Order to Show Cause

Inter Reef Ltd. dba Profitable Sunrise and Roman Novak and Radoslav Novak

In the Matter of:Inter Reef Ltd. dba Profitable Sunrise and Roman Novak and Radoslav Novak

03/07/2013

Consent Order

2946033 CANADA, Inc. dba The Mad Science Group

In the Matter of: 2946033 CANADA, Inc. dba The Mad Science Group

03/05/2013

Consent Order

Alonzo Bethea  and Alonzo Bethea dba Bethea Financial Services  and Bethea Property Management, LLC

In the Matter of:Alonzo Bethea  and Alonzo Bethea dba Bethea Financial Services  and Bethea Property Management, LLC

03/01/2013

Final Order of Revocation and Bar

First Management Group Investments, Inc. and John R. Katkish

In the Matter of: First Management Group Investments, Inc. and John R. Katkish

02/26/2013

Order to Show Cause

Bankcard Empire and  Davidan Corporation dba BankCard Empire  and Lajobejo, LLC dba BankCard Empire   and  1230 Edgemont LLC dba Edgemont Productions  and David Mersky   and Janice Mersky  and Michael D. Malkin

In the Matter of: Bankcard Empire and  Davidan Corporation dba BankCard Empire  and Lajobejo, LLC dba BankCard Empire   and  1230 Edgemont LLC dba Edgemont Productions  and David Mersky   and Janice Mersky  and Michael D. Malkin

02/06/2013

First Amended Summary Order to Cease and Desist
                              Order of Summary Suspension and Order to Show Cause

First Management Group Investments, Inc. and John R. Katkish

In the Matter of: First Management Group Investments, Inc. and John R. Katkish

01/22/2013

Consent Order

ZAGG, Inc. and it’s wholly owned subsidiary, ZAGG Retail, Inc.

In the Matter of: ZAGG, Inc. and it’s wholly owned subsidiary, ZAGG Retail, Inc.

01/22/2013

Consent Order

Preston Scheffenacker Properties, Inc. Hollins Ferry Investor Group, LLC Hollins Preferred Investor Group, LLC
Gateway North, LLC Telegraph Road Investors, LLC David P. Scheffenacker, Jr.

In the Matter of: Preston Scheffenacker Properties, Inc. Hollins Ferry Investor Group, LLC Hollins Preferred Investor Group, LLC
Gateway North, LLC Telegraph Road Investors, LLC David P. Scheffenacker, Jr.

01/17/2013

Consent Order

Ameriprise Financial Services, Inc.

In the Matter of: Ameriprise Financial Services, Inc.

01/04/2013

Consent Order

Randy H. Packett and Chesapeake Financial Solutions, LLC

In the Matter of: Randy H. Packett and Chesapeake Financial Solutions, LLC

 

 
 
 

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