Final Administrative Orders

Securities Division Enforcement Actions

Final Administrative 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 | 2018 | 2017 | 2016 | 2014 | 2013 | 2011
2010 | 2009 | 2008 | 2004 | 2003 | 2001
2000 | 1999

Some files are Adobe Reader® Files [pdf], 6.0 or higher. You may need to DOWNLOAD a free copy of Adobe Reader® to view these files.

2025

Timothy Fleming Jefferson - February 27, 2025
Lexington Investment Consulting, LLC & Dale E. Veitch - February 25, 2025

2024

Stephen Fry - July 25, 2024
Jason Newman d/b/a Somerset Crest, Inc. - July 22, 2024
Stephen James Vogel & Corvus Capital Management, LLC- July 17, 2024
Richard Randall Fritts - January 3, 2024

2023

Andrew Poe Borden, Stephen Dominoc Longo & Solytix Captial, LLC - October 31, 2023
Peter Raymond Wittman - October 9, 2023
Jared Edward Williams - September 6, 2023
Estate & Financial Strategies INC., & Henry Lee Parrott - January 27, 2023

2022

Roger Flambo - August 30, 2022
William Eric Kaehr & Warehorse Wealth Advisors, LLC - August 23, 2022
Alan Robert Harris - July 14, 2022
Joshua Davis & Real Holdings International - March 23, 2022
William Michael Hughes and Health & Wealth Management, LLC - January 13, 2022

2021

Ronald Harrison & Global Trading Institute - December 13, 2021
David P. Antypas - December 9, 2021
Avalon Investment & Securities Group, Inc. - December 3, 2021
Haywood Brian Sconyers & HBS Properties, LLC - October 21, 2021
Pete Lippincott, Rebecca Mason & Houston Energy Resources, LLC - August 20, 2021
Desaree Owens - March 8, 2021
Brian Jones and Jones Wealth Management, LLC – February 16, 2021

2020

Anthony R. Bookman – December 18, 2020
Frederick Stow - December 11, 2020
Brian Jones - September 11, 2020
Joshua W. Connor - July 24, 2020
Shaneal Yogesh Patel - January 8, 2020
Henry John "Trae" Wieniewitz III - March 31, 2020

2019

Jacqueline J. Stanfill - July 26, 2019
David P. Antypas - May 10, 2019
Chattaco, Inc. - Chattaco, Inc., & Harry F. Thompson - January 11, 2019

2018

Full Life Financial, LLC - Full Life Financial, LLC. & Michael Keith Newcomb - August 9, 2018
Big Springs Gold, LLC - Big Springs Gold, LLC. & Louis Christensen - May 24,2018
Roger Dale Williams and King Branch Road Church of Christ - June 7, 2018
Concordis Group, Inc., Trenton Scott Somerville and Omar L. Plummer - April16, 2018
St. Bernard Financial Services, Inc - April 10, 2018

2017

John Jumper - September 20, 2017
Andrew Ermenc - November 3, 2017
Clearpoint Capital Management - Clarence Andrew Elcan & Clearpoint Capital Management, LLC. - June 23, 2017
Ledford_Herron - JLProduction - May 31, 2017
Timothy Pilkington - May 10, 2017 [pdf]
Southern Energy - April 28, 2017
Sean Hornbeck – March 21, 2017 [pdf]
Katherine Park – March 17, 2017 [pdf]
Appleton Cantrell Ex Parte Order to Cease and Desist – March 2, 2017 [pdf]
John G. Westine – February 22, 2017 [pdf]
Domestic Development Corporation – Domestic Development Corporation a/k/a Energy Revenue America, LLC a/k/a Lenepah Production Joint Venture, Ray Kary Hobbs & Charles Havens - February 22, 2017 [pdf]

2016

Brain O'Neil Putt and O'Neil Capital Partners, L.P - November 10, 2016 [pdf]
Tri State Investment, LLC. - Tri State Investments, LLC. And Roy Allen Tucker - November 18, 2016 [pdf]
Chartered Medical August 28, 2016 [pdf]
BlackGold Resources - Tennstar Energy, Inc., f/k/a BlackGold Resources, Inc., and Jared G. Forrester - August 22, 2016 [pdf]
Teresa J. Ferdon - July 29, 2016 [pdf]
Clifton Alexander and Hugeroi.com March 31, 2016 [pdf]
New Horizon Financial Services - New Horizons Financial Services, LLC., MJ Management, and Migdalia Freyre, a/k/a MIG Christian - June 14, 2016 [pdf]
Anthony Dean Myers, Sr. May 24, 2016 [pdf]
Clifton Alexander and Hugeroi.com Initial Order [pdf]

2014

Christopher Neudecker April 3, 2014 [pdf]

2013

Brian Miller December 20, 2013 [pdf]

2011

Aaron Donald Vallett - Notice of Default and Initial Order - March 30, 2011 [pdf]

2010

KT Investments LLC and Derrick Trent Fortner, February 12, 2010 [pdf]

2008

Delbert Foster Blount, February 12, 2008

2004

Dynetech - May 18, 2004 [pdf]
PhyMed Partners, Inc. , Olde South Trust, LLC, LamarMcMichael, Michael Casper, Walter E. Phillips & Ray Mercer - March 11, 2004

2003

Alan Leon Byrd - July 22, 2003 [pdf]
Robert Carl Beaver (d.b.a. Beaver Insurance Agency) - March 23, 2003 [pdf]
Senior Care Plus, Inc. - January 17, 2003 [pdf]

2001

Espy Management Fund, Inc. - Espy Management Fund, Inc., Espy Financial Services, Robert Payne, Bill Sutton & Joseph Kennedy - December 21, 2001 [pdf]
Accelerated Benefits Corp. - Accelerated Benefits Corp., 21st Century Pay Communications, Sandra Katherine Sandberg, & Elizabeth Gertrude Christmas - September 25, 2001 [pdf]
Mickey J. Wilson - Mickey J. Wilson, Samantha Carol Wilson & Corporate Consultant - September 20, 2001 [pdf]
Capital Plus Worldwide Financial Services, Inc. - Capital Plus Worldwide Financial Services, Inc., Ricardo Alkealoha Gant, & Anita McNeil Gant - May 08, 2001 [pdf]
Merit Quest Capital Management International, Ltd. - Merit Quest Capital Management International., LTD Impact, Impact International Grand Enterprises Inc. Frank A. Harris, Kristina M. Metcalfe, Don Fortune & Glenda Fortune - February 2, 2001 [pdf]

2000

Carlin Equities Corporation - Carlin Equities Corporation; Fred E. Zimmerman & Darrell F. Flowers - November 27, 2000 [pdf]
Financial West Group - August 1, 2000 [pdf]
Maven Capital Corporation - Maven Capital Corporation, Rodd Buckle d/b/a Rodd Buckle Sports, Christopher Sprinzyk, Roy Huddleston & Herb Jensen - February 10, 2000 [pdf]

1999

Jeffrey Ainley Hayden - November 19, 1999 [pdf]
Digital Entertainment Corporation - Digital Entertainment Corp. Ernest Paul Lamonica & Pat Coleman - September 23, 1999 [pdf]
Millennia Tech Corporation - Millennia Tech, Corporation, Ultimate International, Inc. Lawrence A. Coyle & Donald Turner - August 23, 1999 [pdf]
Jerry Douglas Hanner - May 17, 1999 [pdf]
Frank Kufrovich - May 6, 1999 [pdf]