Final Administrative Orders
Securities Division Enforcement Actions- Timothy Fleming Jefferson - February 27, 2025
- Lexington Investment Consulting, LLC & Dale E. Veitch - February 25, 2025
- 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
- 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
- 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
- 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
- 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
- Jacqueline J. Stanfill - July 26, 2019
- David P. Antypas - May 10, 2019
- Chattaco, Inc. - Chattaco, Inc., & Harry F. Thompson - January 11, 2019
- 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
- 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]
- 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]
- Christopher Neudecker April 3, 2014 [pdf]
- Brian Miller December 20, 2013 [pdf]
- Aaron Donald Vallett - Notice of Default and Initial Order - March 30, 2011 [pdf]
- KT Investments LLC and Derrick Trent Fortner, February 12, 2010 [pdf]
- Delbert Foster Blount, February 12, 2008
- Dynetech - May 18, 2004 [pdf]
- PhyMed Partners, Inc. , Olde South Trust, LLC, LamarMcMichael, Michael Casper, Walter E. Phillips & Ray Mercer - March 11, 2004
- 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]
- 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]
- 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]
- 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]
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