Cease and Desist Orders

Securities Division Enforcement Actions

Cease and Desist Orders are separated by year. You can click on one of the years below to jump to exams as of that year. On the lower parts of this page, an arrow icon will appear. You can return to the top of this page by clicking that icon.

2025 | 2024 | 2023 | 2022 | 2021
2020 | 2019 | 2017 | 2016 | 2013 | 2012 | 2011
2010 | 2009  | 2004 | 2003 | 2002
2000 | 1999 | 1998

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2025

2024

2022

2021

2020

2019

2017

2016

2015

  • Cumulus Financial - Cumulus Financial Services, Inc., dba Alta Cumulus, Skyline Financial, Timberman's and Cumulus Financial Brokerage Services, and John S. Crandall - October 29, 2015

2013

  • Well City, Inc George David George Well City, Inc.,Well City Foundation, Inc, W1, LLC George David George, Robert Bellamy, Cheryl Bassitt, Joe Risk, and Carl Brooks - June 14th, 2013

2012

  • Pelham Humpries  - Pelham Humpries Estate, Pelham Humpries Heirs Associates, Pelham Humpries Legal Trust Fund (A.K.A Pelham Humpries Heirs Litigation Trust Fun), Arnold Wayne Hodge as Administrator of the Pelham Humpries Estate, William Tate as Trustee of the Pelham Humpries Legal Trust Fund and Richard Slydon as Trustee of the Pelham Humpries Legal Trust Fund - September 10, 2012

2011

2010

  • A.D. Vallett and Company - A.D. Vallett & Co., LLC, A.D Vallett & Company, A.D. Vallett Collateral Fund I, LLC, A.D. Vallett Collateral II, LLC, A.D. Vallett Income & Opportunity Fund I, LLC and Aaron Donald Vallett - September 22, 2010

2009

2004

  • ATC Investment Group, LLC - ATC Investment Group, LLC, Pilatus Financial Center and Lawrence Paul Schmidt - July 23, 2004
  • Glendall Verner -  Glendall D. ("Glen") Verner; F. ("Francis") Henry Green; Scott Walker; David Howe; William H. Hockridge; Jane Verner; Kenneth H. Brown; Covenant Global Funding, LLC Centennial Outreach Partners, Inc. and Covenant Management Group, Inc. - May 26, 2004
  • EZScan -  EZ-Scan.com, Inc a/k/a EZ-Scan, Inc., Hard Box and Richard H. Osteimer - April 22, 2004

2003

  • Bottom Line Oil & Gas Company - Bottom Line Oil & Gas Company a/k/a Bottom Line Oil Company, Marco Buzachero, and Lisa Pryor - November 21, 2003
  • Glendall D. Verner - Glendall D. Verner and Value Investment Services, Inc. - October 16, 2003
  • Combined Resource Systems, Inc. -  Combined Resource Systems, Inc., Barry Wise, Tammy M. Powers, Gary Cesaro, Daniel St. Croix, Sean P. Cleveland, Gary Goldstein, David Whitmarsh, Brain F. Oliver, Carol Perea, Chad Weinad, Roland N. Tice, Terry Darling, Brain Left and Pail Wommer - October 1, 2003
  • Upper Cumberland Media Group - Upper Cumberland Media Group, Inc. Dale Hollow Horizon, Don Napier, Paulette Maynard, Kelly T. Keisling, and Everett H. Asberry - September 29, 2003
  • ABD, Inc. - ABD, Inc. a/k/a ABD Advanced, Inc & Associates, ABD Casebase, and Lesly Gatheright  - August 20, 2003
  • Southern Automotive Financial Executive, Inc. - Southern Automotive Financial Executives, Inc., The Finance Center, Heritage Funding, LLC, Claude Chumley, Cledis Chumley and Louis E. Chumley - August 7, 2003
  • TymGlobal, Inc. - TYMGlobal, Inc., Stormpay, Inc., and John R. McConnell, Jr. - August 7, 2003
  • Vermicom, Inc. - Vermicom, Inc., The Seaberg Group, Inc. and Chris Berg - July 21, 2003
  • Edge Business Services, Inc. - Edge Business Services, Inc. and Wayne K. Richardson - July 21, 2003
  • Dynetech AmCash Flow - Dynetech Corp., Laurence J. Pino, Wanda Quinn, Patricia T. Wilson, Janet Pino-Horvath, American Cash Flow Corp, American Cash Flow Institute, Inc., American Cash Flow Associates, Inc., Dan Eckelman, Liquidyne, Inc., Cash Flow America, Inc., Pro Plus Financial Services, Inc., Frederick Rewrey, James T. Wassell, David L. Strobel, Vincent Addenigio, William Wimble, Richard Young, Janice Young, Paragon Financial Group, American Cash Flow Solutions, Colonial Funding Group, American Cash Flow Solutions, Covenant Funding Group, and Alpha Financial Funding - June 20, 2003
  • B & B Worm Farm - B & B Worm Farm, Worm Source of Tennessee, Greg Bradley, Lynn Bradley, Gene Pierpaoli and Regina Pierpaoli - May 6, 2003
  • HFI Inc. H.F.I,. Inc., Premier Debt, Inc., and Jasen Christophe Howell - October 08, 2003

2002

2000

  • Addmac Entertainment, Inc. - Addmac Entertainment, Inc., Nouveau Entertainment, Inc. Midwest Diversified Resources, Inc., Senior Brokerage, Inc., Vernon Shiflett, and Gregory H. Brooks - November 02, 2000
  • Asset Recovery & Management Trust - Asset Recovery & Management Trust, d/b/a Arm Trust, J.W. Williamson and Allin Means - September 18, 2000
  • Capital Plus Worldwide Financial Services, Inc.  - Capital Plus Worldwide Financial Services, Inc., Ricardo Alkealoha Gant, and Anita McNeil Gant - May 19, 2000
  • Imtek Funding Corporation - Imteck Funding Corporation, Imteck Office Solutions, Inc., Beneficial Assistance, Middle Tennessee Trust, Walter E. Phillips, and David Womack - May 04, 2000
  • Senior Care Plus, Inc. - Senior Care Plus, Inc., American Benefits Services, Inc., WM Page & Associates, Inc., National Viatical Trust, Inc., Explore Financial Group, Inc,. Michael D. Sullivan, James A. Torchia, Larry J. Sullivan, Nancy M. Thayer, Eric D. Reynolds, and Beverly A. Sullivan  - April 24, 2000

1999

  • Merit Quest Capital Management International, Ltd. - Meri Quest Capital Management International, Ltd., Impact, Impact International, Grand Enterprises, Inc., Frank A. Harris, Kristina M. Metcalfe, Don Fortune, and Glenda Fortune  - October 25, 1999
  • American Retirement Association, Inc. - American Retirement Association, Inc., Nu-Millennium, LLC., Summit Ridge Marketing, Untied Insurance Group, Inc., Larry Jones, Dennis Weaver, Lee Bailey, Marvin L. Broglin, Dolphus Jordan, and John Belles - September 13, 1999

1998

  • Carlin Equities Corporation - Carlin Equities Corporation; Fred E. Zimmerman, and Darrell F. Flowers - December 11, 1998
  • Van Buren Securities, L.L.C. - Van Buren Securities, LLC., Robert Fred Sistrunk and Sholeen Wuest  - November 20, 1998
  • Whole Hog Properties, Inc. - WH Properties Inc., Whole Hog Properties, Inc., Lion Heart Agencies, Planters Great Gulf Corporation, Planters Chartered Tennessee Trust, Tennessee Beneficiary Trust Exchange, The Polaris System of North America, Mark V. Enright, Dr. Alden T. Klein, Alden Klein Associates and Dr. Al L. Gary - March 30, 1998