Securities & Investment Regulation
OTHER PFR AGENCIES
|
Enforcement Administrative Orders - Arranged by Date
| May 10, 2024 |
Bankers Life and Casualty Company and BLC Financial Services, Inc. No. 11-7365-02 |
|
| January 18, 2024 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Docket No. 23-19359 Respondents |
|
| January 12, 2024 |
TradeStation Crypto, Inc., Docket No. 23-19652 |
|
| October 30, 2023 |
James P. O'Connell Docket No. 21-17664 |
|
| September 13, 2023 |
James P. O'Connell Docket No. 21-17664 |
|
| September 13, 2023 |
James P. O'Connell Docket No. 21-17664 |
|
| August 29, 2023 |
Educational Empowerment Corporation ("EEC") (Legal Name: Educator of Truth and His or Her Successors, a Corporation Sole) and Mark Laurence Donald Emerson, Chief Executive Officer, EEC Docket No. 23-19169 |
|
| August 16, 2023 |
Pensionmark Securities LLC Case No. 23-19355 |
|
| July 5, 2023 |
Educational Empowerment Corporation ("EEC") (Legal Name: Educator of Truth and His or Her Successors, a corporation Sole) and Mark Laurence Donald Emerson, Chief Executive Officer, EEC Docket No. 23-19169 |
|
| July 5, 2023 |
Educational Empowerment Corporation ("EEC") (Legal Name: Educator of Truth and His or Her Successors, a corporation Sole) and Mark Laurence Donald Emerson, Chief Executive Officer, EEC Docket No. 23-19169 |
|
| June 8, 2023 |
Educational Empowerment Corporation ("EEC") (Legal Name: Educator of Truth and His or Her Successors, a Corporation Sole) and Mark Laurence Donald Emerson, Chief Executive Officer, EEC Docket No. 23-19169 |
|
| June 1, 2023 |
James P. O'Connell Docket No. 21-17664 |
|
| May 30, 2023 |
Robinhood Financial LLC Docket No. 23-19074 |
|
| May 2, 2023 |
IBN Financial Services Inc. Case No. 23-19090 |
|
| February 8, 2023 |
NEXO Capital Inc. Docket No. 23-18903 |
|
| June 27, 2022 |
BlockFi Lending LLC |
|
| March 15, 2022 |
Odias Bachelder II Case No. 22-18053 |
|
| October 22, 2021 |
Lindon Stevens Brown II Docket No. 20-17085 |
|
| August 17, 2021 |
Peter J. Borrello Docket No. 19-15374 |
|
| August 10, 2021 |
John D. Duffy Docket No. 19-16075 |
|
| June 8, 2021 |
Peter J. Borrello Docket No. 19-15374 |
|
| June 8, 2021 |
Peter J. Borrello Docket No. 19-15374 |
|
| April 21, 2021 |
Park O. Johnson, Docket No. 19-15269 |
|
| February 17, 2021 |
Shane Belanger Docket No. 20-16320 |
|
| November 30, 2020 |
Thatcher M. Adams, Jr. and The Voice Project, Inc. Docket No. 20-16749 |
|
| November 2, 2020 |
Edmund J. Quirion II and Family Wealth Management & Retirement Planning Solutions, LLC Docket No. 17-12858 |
|
| January 27, 2020 |
Solium Financial Services LLC Docket No. 19-15848 |
|
| January 14, 2020 |
Matthew K. Arbo Docket No. 18-15047-1 |
|
| January 13, 2020 |
Edmund J. Quirion II and Family Wealth Management & Retirement Planning Solutions, LLC Docket No. 20-16315 |
|
| January 13, 2020 |
Edmund J. Quirion II and Family Wealth Management & Retirement Planning Solutions, LLC Docket No. 20-16315 |
|
| December 10, 2019 |
Dwayne Varney Docket No. 19-15962 |
|
| November 1, 2019 |
Ronald Allen Howse and From the Sea to You Inc. (a/k/a "C2U") |
|
| June 14, 2019 |
NYLIFE SECURITIES LLC - DOCKET NO. 2019-13 |
|
| May 7, 2019 |
Woodbridge Group Of Companies, LLC (D/B/A Woodbridge Wealth), Docket No. 17-12858-2 |
|
| April 8, 2019 |
LPL Financial LLC, Respondent. |
|
| March 26, 2019 |
Robert H. Shapiro - Docket No. 17-12858-COR-3 |
|
| December 10, 2018 |
Ronald Allen Howse and From the Sea to You Inc. (a/k/a "C2U") |
|
| December 10, 2018 |
Ronald Allen Howse and From the Sea to You Inc. (a/k/a "C2U") |
|
| November 19, 2018 |
Real Estate Man LLC and Gregory Paul Violette |
|
| June 27, 2018 |
Saltwater Harbor Financial, LLC and Eric Simonds |
|
| June 5, 2018 |
Salem Advisory Group, LLC and Kevin J. Colley |
|
| May 25, 2018 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. |
|
| May 23, 2018 |
H. Beck, Inc. |
|
| April 19, 2018 |
Option Mint, Kensington I.P. Limited, David Pearlman and Walter Johnson |
|
| April 11, 2018 |
Warren G. Berger III |
|
| April 4, 2018 |
Real Estate Man, LLC and Gregory P. Violette |
|
| April 4, 2018 |
Real Estate Man, LLC and Gregory P. Violette |
|
| April 3, 2018 |
Option Mint, Kensington I.P. Limited, David Pearlman and Walter Johnson |
|
| February 28, 2018 |
Option Mint, Kensington I.P. Limited, David Pearlman and Walter Johnson |
|
| February 28, 2018 |
Option Mint, Kensington I.P. Limited, David Pearlman and Walter Johnson |
|
| June 8, 2017 |
SF Investments, Inc. |
|
| June 5, 2017 |
Endeavor Management Solutions, LLC and James Ward Doyle |
|
| April 27, 2017 |
Freedom Wealth Advisors, LLC and Laurie Bachelder |
|
| April 27, 2017 |
Endeavor Management Solutions, LLC and James Ward Doyle |
|
| April 26, 2017 |
LPL Financial LLC, Respondent. |
|
| March 24, 2017 |
Endeavor Management Solutions, LLC and James Ward Doyle |
|
| March 24, 2017 |
Endeavor Management Solutions, LLC and James Ward Doyle |
|
| March 21, 2017 |
CIT Investments, Ltd., Citrades and Josh Howard |
|
| March 16, 2017 |
Richard A. Foley |
|
| February 28, 2017 |
CIT Investments, LTD., Citrades, and Josh Howard |
|
| February 9, 2017 |
Nichols Investment Management & James W. Nichols |
|
| December 22, 2016 |
CIT Investments, Ltd., Citrades and Josh Howard |
|
| December 22, 2016 |
CIT Investments, Ltd., Citrades and Josh Howard |
|
| December 16, 2016 |
Joseph R. Daigneault |
|
| December 13, 2016 |
Dominique D. Pinault |
|
| December 12, 2016 |
Dominique D. Pinault |
|
| September 23, 2016 |
Dominique D. Pinault |
|
| September 23, 2016 |
Dominique D. Pinault |
|
| July 29, 2016 |
SMI Management & Research & Mark E. Andrews |
|
| June 22, 2016 |
SMI Management & Research, LLC & Mark E. Andrews |
|
| February 12, 2016 |
Citigroup Global Markets Inc. |
|
| December 22, 2015 |
Halliday Financial, LLC |
|
| December 17, 2015 |
Thomas H. Saliba and Spar Cove Associates, Inc., DBA Saliba Managed Funds |
|
| June 22, 2015 |
SMI Management & Research, LLC & Mark E. Andrews |
|
| June 8, 2015 |
James M. Clingensmith |
|
| March 10, 2015 |
James M. Clingensmith |
|
| March 10, 2015 |
James M. Clingensmith |
|
| February 2, 2015 |
Lucian D. Hodgman |
|
| January 15, 2015 |
Nichols Investment Management & James W. Nichols |
|
| November 7, 2014 |
The Integrity Funds |
|
| September 11, 2014 |
J. P. Morgan Securities, LLC |
|
| September 4, 2014 |
Intelicloud Holdings, Inc., Tech Financial Group, Jeffrey W. Friederichs, Justin E. Ackerman (aka Justin Edwards), Chris Johnson, and Jason Fox |
|
| July 28, 2014 |
Tonge Investment Services and Richard Smith Tonge |
|
| July 14, 2014 |
Revere Securities LLC |
|
| July 7, 2014 |
InteliCloud Holdings, Inc., Tech Financial Group, Jeffrey W. Friederichs, Justin E. Ackerman (aka Justin Edwards), Chris Johnson, and Jason Fox |
|
| June 4, 2014 |
Lucian D. Hodgman |
|
| June 4, 2014 |
Lucian D. Hodgman |
|
| May 15, 2014 |
North Atlantic Securities, L.L.C., Michael J. Dell'Olio and Associates, L.L.C. and Michael J. Dell'Olio |
|
| April 22, 2014 |
InteliCloud Holdings, Inc., Tech Financial Group, Jeffrey W. Freiderichs, Justin E. Ackerman (aka Justin Edwards) and Chris Johnson |
|
| April 22, 2014 |
InteliCloud Holdings, Inc., Tech Financial Group, Jeffrey W. Friederichs, Justin E. Ackerman (aka Justin Edwards), Chris Johnson and Jason Fox |
|
| March 31, 2014 |
Paul A. Ligor, Jr. |
|
| March 3, 2014 |
Odias A. Bachelder II |
|
| February 20, 2014 |
Harold Walter ("DJ") Maney III, d/b/a Maney Enterprises, Inc. |
|
| February 19, 2014 |
RBC Capital Markets, LLC |
|
| January 23, 2014 |
UBS Financial Services, Inc. |
|
| December 31, 2013 |
VC Direct Solutions, Carlos Palomo and Victoria L. Adenusi |
|
| December 20, 2013 |
Gregory E. Strong |
|
| December 5, 2013 |
LendingClub Corporation and Renaud Laplanche |
|
| December 2, 2013 |
Harold Walter ("DJ") Maney III, d/b/a/ Maney Enterprises, Inc. |
|
| April 22, 2013 |
Robert Kenneth Lindell Jr. |
|
| January 28, 2013 |
Richard W. Preston |
|
| November 5, 2012 |
Peter C. Bishop |
|
| October 22, 2012 |
Thomas D. Renison |
|
| September 24, 2012 |
Lindon S. Brown II |
|
| August 27, 2012 |
E*Trade Securities LLC |
|
| July 20, 2012 |
Kevin J. Nainiger |
|
| June 18, 2012 |
Aggressive Advertising Associates, LLC and Raymon Oxuzidis |
|
| May 22, 2012 |
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 |
|
| April 4, 2012 |
UVEST Financial, Inc. |
|
| April 1, 2012 |
ProEquities, Inc. |
|
| March 29, 2012 |
Bankers Life and Casualty Company and BLC Financial Services, Inc. |
|
| March 15, 2012 |
Nitro Web Hosting Services, Inc., d/b/a Compassionate Clicks, and Lawrence B. Marcus |
|
| March 14, 2012 |
Douglas G. Bezio |
|
| March 12, 2012 |
Nitro Web Hosting Services, Inc., d/b/a Compassionate Clicks, and Lawrence B. Marcus |
|
| February 8, 2012 |
Van Ness Investments, LLC / Linda G. Van Ness |
|
| February 2, 2012 |
North Atlantic Securities, L.L.C., Michael J. Dell'Olio and Associates, L.L.C. and Michael J. Dell'Olio |
|
| February 1, 2012 |
Keith Seltzer, d/b/a KDS Funding |
|
| January 17, 2012 |
Douglas G. Bezio |
|
| January 17, 2012 |
Stephen D. Pate |
|
| December 14, 2011 |
Nitro Web Hosting Services, Inc., d/b/a Compassionate Clicks, and Lawrence B. Marcus |
|
| December 14, 2011 |
Nitro Web Hosting Services, Inc., d/b/a Compassionate Clicks, and Lawrence B. Marcus |
|
| December 9, 2011 |
Prosper Marketplace, Inc. |
|
| December 1, 2011 |
Douglas G. Bezio |
|
| December 1, 2011 |
Douglas G. Bezio |
|
| November 9, 2011 |
Aleksei Kiselev |
|
| October 28, 2011 |
Raymond James & Associates, Inc., and Raymond James Financial Services, Inc., |
|
| September 30, 2011 |
Douglas G. Bezio |
|
| May 9, 2011 |
Odias A. Bachelder II |
|
| May 3, 2011 |
Aleksei Kiselev |
|
| May 2, 2011 |
Jesse Bean |
|
| March 10, 2011 |
Jesse Bean |
|
| March 9, 2011 |
Douglas G. Bezio |
|
| October 28, 2010 |
Edward D. Jones & Co., L.P. |
|
| October 7, 2010 |
Wise Financial Marketing Solutions, LLC and iBridge Equity, LLC |
|
| October 7, 2010 |
Blue Chip Marketing Group Incorporated, Cashing in on Auctions, Victor Griffin and Nancy Miller |
|
| September 24, 2010 |
Stifel, Nicolaus & Company, Incorporated, CRD #793, 501 North Broadway, St. Louis, Missouri 63102 |
|
| September 17, 2010 |
Wells Fargo Investments LLC |
|
| September 13, 2010 |
TD Ameritrade, Inc. |
|
| August 27, 2010 |
Wise Financial Marketing Solutions, LLC and iBridge Equity, LLC |
|
| August 27, 2010 |
Blue Chip Marketing Group Incorporated, Cashing in on Auctions, Victor Griffin and Nancy Miller |
|
| August 24, 2010 |
Ronald S. Snow |
|
| July 8, 2010 |
UBS Securities, LLC and UBS Financial Services Inc. |
|
| July 8, 2010 |
Credit Suisse Securities (USA) LLC. 1 Madison Avenue, 9th Floor, New York, New York 10010 |
|
| June 28, 2010 |
Ronald S. Snow |
|
| June 21, 2010 |
Goldman, Sachs & Co., |
|
| May 12, 2010 |
Warren C. Spencer |
|
| May 5, 2010 |
Imperia Invest IBC, Werner Jahnsen and Steve Baker |
|
| May 3, 2010 |
Morgan Stanley & Co. Incorporated (CRD #8209) |
|
| March 5, 2010 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
|
| February 23, 2010 |
Warren C. Spencer |
|
| January 12, 2010 |
Deutsche Bank Securities Inc. CRD #2525 |
|
| September 2, 2009 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
|
| August 17, 2009 |
JPMorgan Chase & Co. |
|
| August 6, 2009 |
RBC Capital Markets Corporation |
|
| July 23, 2009 |
Banc of America Securities LLC and Banc of America Investment Services, Inc. |
|
| June 12, 2009 |
Prosper Marketplace, Inc. |
|
| April 16, 2009 |
Citigroup Global Markets Inc. |
|
| April 7, 2009 |
Roy E. Allen |
|
| March 25, 2009 |
Wachovia Securities, LLC and Wachovia Capital Markets, LLC |
|
| March 5, 2009 |
Roy E. Allen |
|
| December 15, 2008 |
Paul A. Dyer |
|
| November 14, 2008 |
Morgan Stanley & Co. Incorporated |
|
| September 25, 2008 |
James A. Rivera, Apostles, Inc., Almighty Wind, Inc., and all affiliated companies |
|
| June 23, 2008 |
Nicholas J. Slabbert |
|
| May 23, 2008 |
Paul A. Dyer |
|
| February 22, 2008 |
Malory Investments LLC Ronald Stein and Sylvia Gorohoff |
|
| January 2, 2008 |
David J. Deschaine and David J. Deschaine Installations, Inc. |
|
| January 2, 2008 |
Malory Investments LLC Ronald Stein and Sylvia Gorohoff |
|
| December 13, 2007 |
James L. Clifford |
|
| August 6, 2007 |
Rosewood Energy, LLC, d/b/a Rosewood Energy, Inc., and Clement I. Ejedawe |
|
| August 6, 2007 |
Garden State Securities, Inc. |
|
| June 8, 2007 |
Startup Essentials, LLC |
|
| May 14, 2007 |
Rosewood Energy, LLC, d/b/a Rosewood Energy, Inc., and Clement I. Ejedawe |
|
| April 13, 2007 |
Debt Free Organic Foundation and Penny Gabardi and Julie Jacobs |
|
| January 17, 2007 |
James L. Clifford |
|
| January 8, 2007 |
David R. Loeser and D.R. Loeser & Co., Inc. |
|
| December 6, 2006 |
Hope Scharf Tengonciang and Donald Poulin |
|
| November 29, 2006 |
Paul J. Pombriant |
|
| November 28, 2006 |
James L. Clifford |
|
| November 27, 2006 |
Startup Essentials, LLC |
|
| November 15, 2006 |
Rosewood Energy, LLC, d/b/a Rosewood Energy, Inc., and Clement I. Ejedawe |
|
| October 27, 2006 |
Chad M. Luce |
|
| October 12, 2006 |
Steven K. Maidlow |
|
| September 26, 2006 |
Chad M. Luce |
|
| August 31, 2006 |
Steven K. Maidlow |
|
| August 11, 2006 |
Wachovia Capital Markets, LLC |
|
| July 24, 2006 |
John S. Pettigrew |
|
| May 25, 2006 |
John S. Pettigrew |
|
| May 18, 2006 |
Paul J. Pombriant |
|
| May 5, 2006 |
Hope Scharf Tengonciang and Donald Poulin |
|
| April 20, 2006 |
Woso Energy Corporation, Osinmen E. Sunday, Oziengbe E. Williams, and Merricks J. Prudhomme, Sr. |
|
| April 20, 2006 |
Matrix Petroleum, Inc., Thomas R. Watkins, and Brock Watkins |
|
| March 16, 2006 |
Woso Energy Corporation, Osinmen E. Sunday, Oziengbe E. Williams, and Merricks J. Prudhomme, Sr. |
|
| March 16, 2006 |
Matrix Petroleum, Inc., Thomas R. Watkins, and Brock Watkins |
|
| March 2, 2006 |
CPFS, Inc., Pinnacle Support Systems Inc., Larry C. Nelson, Donna T. Nelson, Craig N. Salomon and Thomas Greene |
|
| February 21, 2006 |
Larry Robert Balliet |
|
| January 31, 2006 |
Hope Scharf Tengonciang and Donald Poulin |
|
| September 20, 2005 |
Jesup & Lamont Securities Corp. CRD #39056 |
|
| September 20, 2005 |
Marketing Solutions International, Inc. and Consolidated Marketing Group, LC |
|
| August 18, 2005 |
Marketing Solutions International, Inc. and Consolidated Marketing Group, LC |
|
| May 17, 2005 |
Bodell Overcash Anderson & Co., Inc. |
|
| March 29, 2005 |
Thomas Weisel Partners LLC, Respondent. |
|
| March 29, 2005 |
Thomas Weisel Partners LLC, Respondent. |
|
| March 16, 2005 |
Deutsche Bank Securities Inc., Respondent. |
|
| March 16, 2005 |
Deutsche Bank Securities Inc. |
|
| March 8, 2005 |
LH Ross & Company, Inc. and Franklyn Ross Michelin |
|
| February 4, 2005 |
LH Ross & Company, Inc. and Franklyn Ross Michelin |
|
| January 3, 2005 |
Aptus Technology Corporation, Hirak Biswas, Joseph Orlando and Apurba Mukherjee |
|
| December 22, 2004 |
Mid-Continent Oil and Gas, Inc., Steven Lee White, Casey Ladymon and Chad Willis |
|
| December 3, 2004 |
Ronald M. Nickerson |
|
| November 15, 2004 |
Aptus Technology Corporation, Hirak Biswas, Joseph Orlando and Apurba Mukherjee |
|
| October 22, 2004 |
Ronald M. Nickerson |
|
| October 10, 2004 |
Parasol Films II, Inc., Parasol Films II, LLC, Erik Baquero, Dean McDaniel, Daniel Duarte, Nicholas Melisse |
|
| August 25, 2004 |
Parasol Films II, Inc., Parasol Films II, LLC, Erik Baquero, Dean McDaniel, Daniel Duarte, Nicholas Melisse |
|
| March 25, 2004 |
Parasol Films II, Inc., Parasol Films II, LLC, Erik Baquero, Dean McDaniel, Daniel Duarte, Nicholas Melisse |
|
| March 17, 2004 |
Gary L. Hobbs |
|
| March 15, 2004 |
Trinity Consulting Services, LLC; American Certificate & Title Company; Andres Calvo; David Todd Zussman; Kevin C. Grom; Andrew L. Warden |
|
| March 15, 2004 |
Mid-Continent Oil and Gas, Inc., Steven Lee White, Casey Ladymon and Chad Willis |
|
| February 18, 2004 |
Trinity Consulting Services, LLC; American Certificate & Title Company; Andres Calvo; David Todd Zussman; Kevin C. Grom; Andrew L. Warden |
|
| January 29, 2004 |
Mid-Continent Oil and Gas, Inc., Steven Lee White, Casey Ladymon and Chad Willis |
|
| January 27, 2004 |
Gary L. Hobbs |
|
| December 1, 2003 |
Trinity Consulting Services, LLC; American Certificate & Title Company; Andres Calvo; David Todd Zussman; Kevin C. Grom; Andrew L. Warden |
|
| November 24, 2003 |
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, Roberta Couri |
|
| November 7, 2003 |
AGM international Inc., a/k/a Money4U.net |
|
| September 23, 2003 |
AGM international Inc., a/k/a Money4U.net |
|
| September 23, 2003 |
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, Roberta Couri |
|
| September 22, 2003 |
Credit Suisse First Boston LLC f/k/a/ Credit Suisse First Boston Corporation, Respondent |
|
| September 22, 2003 |
Credit Suisse First Boston LLC f/k/a/ Credit Suisse First Boston Corporation |
|
| September 5, 2003 |
James L. Paris Financial Services, Inc. and Carmen G. Paris |
|
| September 5, 2003 |
Citigroup Global Markets Inc. (f/k/a/ Salomon Smith Barney Inc.) Respondent. |
|
| September 5, 2003 |
Citigroup Global Markets Inc. (f/k/a/ Salomon Smith Barney Inc.) |
|
| September 2, 2003 |
Morgan Stanley & Co., Inc. - Respondent. |
|
| September 2, 2003 |
Morgan Stanley & Co., Inc. |
|
| August 28, 2003 |
J.P. Morgan Securities Inc., 270 Park Avenue, New York, NY 10017 |
|
| August 28, 2003 |
J.P. Morgan Securities Inc., 270 Park Avenue, New York, NY 10017 |
|
| August 28, 2003 |
Bear, Stearns & Co. Inc., Respondent. |
|
| August 28, 2003 |
Bear, Stearns & Co. Inc., Respondent. |
|
| August 28, 2003 |
U.S. BANCORP PIPER JAFFRAY INC., 800 Nicollet Mall Suite 800, Minneapolis, MN 55402 - Respondent. |
|
| August 28, 2003 |
U.S. BANCORP PIPER JAFFRAY INC. 800 Nicollet Mall Suite 800 Minneapolis, MN 55402 - Respondent. |
|
| August 28, 2003 |
Lehman Brothers Inc. - Respondent |
|
| August 28, 2003 |
Lehman Brothers Inc. |
|
| August 27, 2003 |
Goldman, Sachs & Co., 85 Broad St., New York, NY 10004 CRD #361 |
|
| August 27, 2003 |
Goldman, Sachs & Co., 85 Broad St., New York, NY 10004 CRD #361 |
|
| August 25, 2003 |
UBS Warburg LLC, 677 Washington Boulevard, Stamford, Connecticut 06901 CRD #7654; UBS PainWebber Inc., 1285 Avenue of the Americas, New York, New York 10019 CRD #8174 |
|
| August 25, 2003 |
UBS Warburg LLC, 677 Washington Boulevard, Stamford, Connecticut 06901 CRD #7654; UBS PainWebber Inc., 1285 Avenue of the Americas, New York, New York 10019 CRD #8174 |
|
| August 18, 2003 |
Trinity Consulting Services, LLC; American Certificate & Title Company; Andres Calvo; David Todd Zussman; Kevin C. Grom; Andrew L. Warden |
|
| August 4, 2003 |
James L. Paris Financial Services, Inc., James L. Paris and Carmen G. Paris |
|
| July 14, 2003 |
New Life Corporation of America d/b/a National Community Foundation and Paul E. Richard |
|
| April 16, 2003 |
Acument Securities, Inc., Robert T. Angle, Thomas F. White, and William M. McCarty |
|
| February 19, 2003 |
Pruco Securities Corporation |
|
| February 14, 2003 |
New Life Corporation of America d/b/a National Community Foundation and Paul E. Richard |
|
| January 28, 2003 |
OneShare.com |
|
| January 14, 2003 |
Web Booth Inc. a/k/a The Web Booth Corporation; Waterstones Ltd.; Future Communications Marketing Inc.; John E. Perry; Brian S. Wright; Timothy E. Grant, Sr.; Robert H. Edmunds, III |
|
| January 14, 2003 |
Alpha Tel-Com Inc.; American Telecommunications Company Inc.; SPA Marketing LLC; Strategic Partnership Alliance LLC; Paul S. Rubera, Jr.; Ross R. Rambach; Mark Kennison; Timothy E. Grant, Sr.; Maynard Weinberg |
|
| December 31, 2002 |
Pruco Securities Corporation |
|
| November 15, 2002 |
Downeast Capital, Inc. and Paul Newman |
|
| November 1, 2002 |
Web Booth Inc. a/k/a The Web Booth Corporation; Waterstones Ltd.; Future Communications Marketing Inc.; John E. Perry; Brian S. Wright; Timothy E. Grant, Sr.; Robert H. Edmunds, III |
|
| November 1, 2002 |
Alpha Tel-Com Inc.; American Telecommunications Company Inc.; SPA Marketing LLC; Strategic Partnership Alliance LLC; Paul S. Rubera, Jr.; Ross R. Rambach; Mark Kennison; Timothy E. Grant, Sr.; Maynard Weinberg |
|
| October 8, 2002 |
Acument Securities, Inc., Robert T. Angle, Thomas F. White, and William M. McCarty |
|
| June 24, 2002 |
Acument Securities, Inc. and William M. McCarty |
|
| March 2, 2002 |
Mid-Ohio Securities Corp., Richard Desich, Leonard J. Gibel, Thomas Gordon Cloud, Thomas Gordon Cloud, Jr.; Cloud & Associates Consulting Inc.; First Choice Management Servcies, Inc., and Gary Van Waeyenberghe |
|
| December 17, 2001 |
Robert Kenneth Lindell, Jr. |
|
| October 23, 2001 |
Robert Kenneth Lindell, Jr. |
|
| October 18, 2001 |
David Elliot L'Hoir, PayDay Today! U.S.A. Inc. and PayDay Today! U.S.A. Com, Inc. |
|
| October 9, 2001 |
Mid-Ohio Securities Corp.; Richard Desich, Leonard J. Gibel; Thomas Gordon Cloud, Thomas Gordon Cloud Jr.; Cloud & Associates Consulting, Inc.; First Choice Management Services, Inc.; and Gary Van Waeyenberghe |
|
| September 17, 2001 |
David Elliot L'Hoir, PayDay Today! U.S.A., Inc., and PayDay Today! U.S.A. Com, Inc. |
|
| July 17, 2001 |
Edward W. Kipping dba Time Traders, Time Traders Inv. Group, Time Traders Inv, Inc., "Time Traders" All Employees, Coordinators, Managers, Recruiters Daniel Costa, Jess R. Medina, Jr., Charles Tompson, John Thompson, Brian Lappan, David Rubright |
|
| July 6, 2001 |
Mid-Ohio Securities Corp., Richard Desich, Thomas Gordon Cloud, Thomas Gordon Cloud Jr., Cloud & Associates Consulting, Inc., First Choice Management Services, Inc., and Gary Van Waeyenberghe |
|
| September 13, 2000 |
Michael L. Hancock |
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Last Updated: May 23, 2024 2:54 PM
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