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Maine.gov> PFR Home > Securities Home Page > Administrative Orders Alphabetical List

Administrative Orders - Arranged Alphabetically by Category

General

INTERIM ORDER EXEMPTING CERTAIN VENTURE CAPITAL AND OTHER PRIVATE FUND ADVISORS FROM INVESTMENT ADVISOR LICENSING REQUIREMENTS

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Fees for Furnishing Records

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Enforcement

AGM International Inc., a/k/a Money4U.net

- Notice of Intent to Issue Cease and Desist Order - September 23, 2003 (PDF format)

- Cease and Desist Order - November 7, 2003 (PDF format)

Acument Securities, Inc.

- Notice of Intent to Issue a Cease and Desist Order, and to Impose a Civil Penalty Against McCarty, and to Bar from Association, and to Revoke the Broker-Dealer License of Acument, and to Impose a Civil Penalty Upon Acument- June 24, 2002 (PDF format)

- Amended Notice of Intent to Issue a Cease and Desist Order and to Impose a Civil Penalty Against Respondents, to Bar McCarty from Association, to Revoke the Broker-Dealer License of Acument, to Censure or Revoke the Sales Representative License of Angle, and to Censure or Bar White from Association - October 8, 2002 (PDF format)

- Order to Cease and Desist and to Bar McCarty from Association - April 16, 2003 (PDF format)

Aggressive Advertising Associates, LLC and Raymon Oxuzidis

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Roy E. Allen

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Alpha Tel-Com, Inc., et al

- Notice of Intent to Issue Cease and Desist Order - November 1, 2002 (PDF format)

- Cease and Desist Order - January 14, 2003 (PDF format)

Aptus Technology Corporation, Hirak Biswas, Joseph Orlando and Apurba Mukherjee

- Notice of Intent to Issue a Cease and Desist Order and Impose a Civil Penalty November 15, 2004 (PDF format)

- Order to Cease and Desist and Imposing a Civil Penalty - January 3, 2005 (PDF format)

Odias A. Bachelder II

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Larry Robert Balliet

- Consent Order - February 21, 2006 (PDF format)

Banc of America Securities LLC and Banc of America Investment Services, Inc.

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Bankers Life and Casualty Company and BLC Financial Services, Inc.

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Jesse Bean

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Bear, Stearns & Co. Inc.

- Consent Order - August 28, 2003 (PDF format)

- Addendum A   (PDF format)

Douglas G. Bezio

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Peter C. Bishop

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B.I.Z. Holdings, Inc. d/b/a U.S. Metals Schlecht Group, Inc. d/b/a U.S. Metals Arthur Schlecht, Bernard I. Zeff, Martin Jainchill and Roberta Couri

- Notice of Intent to Issue a Cease and Desist Order - September 23, 2003 (PDF format)

- Cease and Desist Order - November 24, 2003 (PDF format)

Blue Chip Marketing Group Incorporated, Cashing in on Auctions, Victor Griffin and Nancy Miller

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Bodell Overcash Anderson & Co., Inc.

- Consent Order - May 17, 2005 (PDF format)

Lindon S. Brown II

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CPFS, Inc., Pinnacle Support Systems Inc., Larry C. Nelson, Donna T. Nelson, Craig N. Salomon and Thomas Greene

- Consent Order to Cease and Desist and Imposing a Civil Penalty - March 2, 2006 (PDF format)

Citigroup Global Markets Inc. (f/k/a Salomon Smith Barney Inc.)

- Consent Order - September 5, 2003 (PDF format)

- Addendum A (PDF format)

James L. Clifford

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Credit Suisse First Boston City LLC f/k/a Credit Suisse First Boston Corporation

- Consent Order - September 22, 2003 (PDF format)

- Addendum A (PDF format)

Credit Suisse Securities (USA) LLC. 1 Madison Avenue, 9th Floor, New York, New York 10010

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Debt Free Organic Foundation and Penny Gabardi and Julie Jacobs

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David J. Deschaine and David J. Deschaine Installations, Inc.

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Deutsche Bank Securities, Inc.

- Consent Order - March 16, 2005 (PDF format)

- Addendum A (PDF format)

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Downeast Capital and Paul Newman

- Consent Order - November 15, 2002 (PDF format)

Paul A. Dyer

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E*Trade Securities LLC

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Edward D. Jones & Co., L.P.

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Garden State Securities, Inc.

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Goldman, Sachs & Co.

- Consent Order - August 27, 2003 (PDF format)

- Addendum A (PDF format)

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Michael L. Hancock

- Summary Order to Cease and Desist - September 13, 2000 (PDF format)

Gary L. Hobbs

- Notice of Intent to Revoke a Sales Representative License and Bar Him from Association and to Impose a Civil Penalty - January 27, 2004 (PDF format)

- Order Revoking a Sales Representative License and Barring Him from Association and Imposing a Civil Penalty - May 17, 2004 (PDF format)

Hurricane Katrina, Persons Displaced Due To

- Order Granting Temporary Exemptions- September 15, 2005 (PDF format)

Imperia Invest IBC, Werner Jahnsen and Steve Baker

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The Integrity Funds

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InteliCloud Holdings, Inc., Tech Financial Group, Jeffrey W. Friederichs, Justin E. Ackerman (aka Justin Edwards), Chris Johnson and Jason Fox

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J. P. Morgan Securities Inc.

- Consent Order - August 28, 2003 (PDF format)

- Addendum A (PDF format)

J. P. Morgan Securities, LLC

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Jesup & Lamont Securities Corp.

- Consent Order - September 20, 2005 (PDF format)

Aleksei Kiselev

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Knipping

- Cease and Desist Order - July 17, 2001 (PDF format)

LH Ross & Company, Inc. and Franklyn Ross Michelin

- Notice of Intent to Revoke a Broker-Dealer and Sales Representative License - February 4, 2005 (PDF format)

- Order Revoking a Broker-Dealer and Sales Representative License - March 8, 2005 (PDF format)

Lehman Brothers Inc.

- Consent Order - August 28, 2003 (PDF format)

- Addendum A (PDF format)

LendingClub Corporation and Renaud Laplanche

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Paul A. Ligor, Jr.

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Robert Kenneth Lindell, Jr.

- Notice of Intent to Revoke a Sales Representative License, to Bar from Association and to Impose a Civil Penalty - October 23, 2001 (PDF format)

- Consent Order - December 17, 2001 (PDF format)

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David R. Loeser and D.R. Loeser & Co., Inc.

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Chad M. Luce

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Steven K. Maidlow

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Malory Investments LLC Ronald Stein and Sylvia Gorohoff

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Harold Walter ("DJ") Maney III, d/b/a/ Maney Enterprises, Inc.

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Marketing Solutions International, Inc. and Consolidated Marketing Group, LC

- Notice of Intent to Issue Cease and Desist Order - August 18, 2005 (PDF format)

- Cease and Desist Order - September 20, 2005 (PDF format)

Matrix Petoleum, Inc., Thomas R. Watkins and Brock Watkins

- Notice of Intent to Issue a Cease and Desist Order and Impose a Civil Penalty - March 16, 2006 (PDF format)

- Order to Cease and Desist and Imposing a Civil Penalty - April 20, 2006 (PDF format)

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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Mid-Continent Oil and Gas Inc.

- Notice of Intent to Issue Cease and Desist Order - January 29, 2004 (PDF format)

- Cease and Desist Order - March 15, 2004 (PDF format)

- Consent Order with Casey Ladymon and Willis - December 22, 2004 (PDF format)

Mid-Ohio Securities Corp.

- Notice of Intent to Issue Cease and Desist Order - July 6, 2001 (PDF format)

- Notice of Intent to Issue Cease and Desist Order (Amended) - October 9, 2001 (PDF format)

- Cease and Desist Order - March 2, 2002 (PDF format)

Morgan Asset Management, Inc., at all relevant times a wholly owned subsidiary of MK Holdings, Inc., a wholly owned subsidiary of Regions Financial Corp.; and Morgan Keegan & Co., Inc., at all relevant times a wholly owned subsidiary of Regions Financial

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Morgan Stanley & Co., Inc.

- Consent Order - September 2, 2003 (PDF format)

- Addendum A (PDF format)

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Kevin J. Nainiger

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New Life Corporation of and Paul Richard

- Summary Cease and Desist Order - February 14, 2003 (PDF format)

- Consent Order - July 14, 2003 (PDF format)

Ronald M. Nickerson

- Notice of Intent to Issue a Cease and Desist Order and Impose a Civil Penalty - October 22, 2004 (PDF format)

- Order to Cease and Desist and Imposing a Civil Penalty - December 3, 2004 (PDF format)

Nitro Web Hosting Services, Inc., d/b/a Compassionate Clicks, and Lawrence B. Marcus

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North Atlantic Securities, L.L.C., Michael J. Dell'Olio and Associates, L.L.C. and Michael J. Dell'Olio

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OneShare.com

- Consent Order - January 28, 2003 (PDF format)

Parasol Films II, Inc., Parasol Films II, LLC, Erik Baquero, Dean McDaniel, Daniel Duarte, Nicholas Melisse

- Notice of Intent to Issue Cease and Desist Order - March 25, 2004 (PDF format)

- Cease and Desist Order - August 25, 2004 (PDF format)

- Consent Order - October 10, 2004 (PDF format)

James L. Paris Financial Services, Inc. and Carmen G. Paris

- Notice of Intent to Impose a Civil Penalty, Censure and Issue a Cease and Desist Order Against Respondents or to Bar James L. Paris - August 4, 2003 (PDF format)

- Order to Impose a Civil Penalty, Censure and Cease and Desist Against Respondents - September 5, 2003 (PDF format)

Stephen D. Pate

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PayDay

- Notice of Intent to Issue Cease and Desist Order - September 17, 2001 (PDF format)

- Cease and Desist Order - October 18, 2001 (PDF format)

John S. Pettigrew

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Paul J. Pombriant

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Richard W. Preston

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ProEquities, Inc.

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Prosper Marketplace, Inc.

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Pruco Securities Corporation

- Notice of Intent to Censure Broker-Dealer - December 31, 2002 (PDF format)

- Censure of Broker-Dealer - February 19, 2003 (PDF format)

Raymond James & Associates, Inc., and Raymond James Financial Services, Inc.,

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RBC Capital Markets Corporation

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RBC Capital Markets, LLC

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Thomas D. Renison

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Revere Securities LLC

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Rosewood Energy, LLC, d/b/a Rosewood Energy, Inc., and Clement I. Ejedawe

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Kristopher T. Saunders

- Complaint for Punitive and Remedial Sanctions for Contempt of Court - August 7, 2003 (PDF format)

- Order - September 25, 2003 (PDF format)

Keith Seltzer, d/b/a KDS Funding

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Ronald S. Snow

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Warren C. Spencer

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Startup Essentials, LLC

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Stifel, Nicolaus & Company, Incorporated, CRD #793, 501 North Broadway, St. Louis, Missouri 63102

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Gregory E. Strong

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TD Ameritrade, Inc.

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Hope Scharf Tengonciang and Donald Poulin

- Notice of Intent to Issue a Cease and Desist Order and Impose A Civil Penalty - January 31, 2006 (PDF format)

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Thomas Weisel Partners, LLC

- Consent Order - March 29, 2005 (PDF format)

- Addendum A (PDF format)

Tonge Investment Services and Richard Smith Tonge

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Trinity Consulting Services, LLC, et al.

- Notice of Intent to Issue Cease and Desist Order - August 18, 2003 (PDF format)

- Consent Order - December 1, 2003 (PDF format)

- Consent Order - February 18, 2004 (PDF format)

- Cease and Desist Order - March 15, 2004 (PDF format)

UBS Financial Services, Inc.

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UBS Warburg LLC

- Consent Order - August 25, 2003 (PDF format)

- Addendum A (PDF format)

U.S. Bancorp Piper Jaffray Inc.

- Consent Order - August 28, 2003 (PDF format)

- Addendum A (PDF format)

UVEST Financial, Inc.

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Van Ness Investments, LLC / Linda G. Van Ness

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VC Direct Solutions, Carlos Palomo and Victoria L. Adenusi

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Wachovia Capital Markets, LLC

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Wachovia Securities, LLC and Wachovia Capital Markets, LLC

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Web Booth Inc. et al.

- Notice of Intent to Issue Cease and Desist Order - November 4, 2002 (PDF format)

- Cease and Desist Order - January 14, 2003 (PDF format)

Wells Fargo Investments LLC

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Wise Financial Marketing Solutions, LLC and iBridge Equity, LLC

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Woso Energy Corporation, Osinmen E. Sunday, Oziengbe E. Williams and Merricks J. Purdhomme, Sr.

- Notice of Intent to Issue a Cease and Desist Order and Impose a Civil Penalty - March 16, 2006 (PDF format)

- Order to Cease and Desisit and Imposing a Civil Penalty April 20, 2006 (PDF format)

 

Last Updated: November 7, 2014 4:46 PM