Enforcement Actions 
2004-2007
 
To search for specific companies or individuals on this page, use Edit/Find (Ctrl F).
 
To view a copy of the Notice in Adobe PDF format, click on the Date next to that Respondent's name.
 
To access the eDocket file containing all of the public documents filed in a case, click on the Respondent's name. EDocket also contains a schedule of all public events in a case, such as prehearings, hearings and Commission Open Meetings.  For other ways to find out about a case, click here.   
 
For other actions, click on 1999-2003 or 2008-Present. 

December 31, 2007       Rick McCullough; McCullough Insured Investments; The Kodiak Investment Group, LLC; Anita Geneva McCullough
December 28, 2007 Michael Andrew Dawes (CRD #62832); Linda Dawes
December 27, 2007     Ferenc (Frank) J. Csampai; Robert N. Neklewicz a.k.a. Robert Neil Stock; Global Aviatian Fuel Systems
November 20, 2007   Donald Anthony Tomasian a.k.a. Donald Anthony Tomasian, Jr.; Katherina Tomasian; Bella Funding, LLC
November 16,  2007 Ronald James Strayer; Jane Doe Strayer; Jeffrey Stanford Ryan; Lisa Scott; RJSR Land Developement CR
October 17, 2007 Cockrell Investment Resource Associates, LLC; David A.Cockrell; Jane Doe Cockrell
September 28, 2007   G'Ieber Financial, LLC; David A. Gotlieb; Stacey Scibelli-Gotlieb
September 13, 2007

Kenneth Howard Fraleigh and Linda Jean Fraleigh

July 20, 2007 Kelly J. Waters and Daniel B. Waters; Kelly's Mobile Home Sales, Inc
June 28, 2007 Leonard Clark Rhodes, Jr. and Margaret Rhodes
April 17,
 2007
Estate Protection Consultants, LLC d.b.a. Estate Protection Consultants; Ramon Conrado Villa Vasquez a.k.a. Ray C. Villa and Jane Doe Villa
March 28, 2007 Veronica Alexander Leigh f.k.a. Candice Anna Gill; Charles William Gill III; Charles Gill and Chuck Gill; CAG Financial, LLC; CAG Financial Services, LLC; and Leigh & Associates, LLC
March 20, 2007 Leonard Francis Alcaro f.k.a. Lenny Alcaro; and Mary Brigid Lavin Alcaro
March 20, 2007 Owen A. Vilan and Lucina Vilan (a.k.a. Lucy Vilan); Saguaro Investments, Inc. f.k.a. Vilan Enterprises, Inc.
March 13, 2007 Alonzo Russell; Guardian Angel Advisers; Linda Russell
January 22, 2007 Perry and Terry Penny; Penny Financial, Inc.; Penny Properties, Inc.; RYM Technology Holdings, LLC; and Felix L. Daniel Sr. and Jane Doe Daniel
December 8, 2006 David J. Leyshon d.b.a. Leyshon Capital d.b.a Leshon Capital Management d.b.a. Leyshon Capital Management, LLC and Denise Leyshon
October 18, 2006 AGRA-Technologies, Inc. a.k.a. ATI; William Jay Pierson a.k.a. Bill Pierson and Sandra Lee Pierson a.k.a. Sandy Pierson; Richard Allen Campbell a.k.a. Dick Campbell and Sondra Jane Campbell; William H. Baker, Jr. a.k.a. Bill Baker and Patricia M. Baker; Jerry J. Hodges and Jane Doe Hodges; Lawrence Kevin Paille a.k.a. Larry Paille and Jane Doe Paille
October 17, 2006 John Edward Tencza and Christine M. Tencza; American Elder Group, LLC; American Elder Group, Inc.; Phillip Robert Ohst and Mary Elizabeth Ohst; Gregory Grant Groh and Gail A. Groh
October 03, 2006 Edward A. Purvis and Maureen H. Purvis; Gregg L. Wolfe and Allison A. Wolfe; Nakami Chi Group Ministries International a.k.a. NCGMI; James W. Keaton, Jr and Jennifer Keaton; ACI Holdings, Inc.
September 22, 2006 Janalee Ranney Sneva d.b.a. Sneva Alliance
September 7, 2006 Believing In Jesus Investments, LLC; Phoebus Vincent Smith a.k.a. Vince Smith and/or Mr. Vince; and Sharon Elizabeth Govan a.k.a. Sharron E. Govan-Smith, Sharon Smith, and/or Ms. Sharon
September 5, 2006 Trend Management Group, Inc.; Scott Renny Bogue, Sr. (CRD# 1588216) and Arlene Jane Bogue; Ryan James Herndon and Lori Darlene Herndon a.k.a. Lori J. Herndon a.k.a. Lori Jordan; Trend Capital, LLC; Linda Bryant Jordan a.k.a. Linda Van Vranken a.k.a. Linda Jordan-Van Vranken d.b.a. The Trend Group, Inc.; Russell Langdon Van Vranken; Easy Street Financial Group, Inc.; Christopher Ellis Marx (CRD# 2186523) and Jane Doe Marx; Scot Alan Oglesby And Lori Ann Oglesby
August 28, 2006 The 12 Percent Fund I, LLC; Coyote Growth Management, LLC; Michael Joseph Hannan and Jane Doe Hannan; Sam Ahdoot a.k.a. Sam Ahdout and Jane Doe Ahdoot
August 1, 2006 Gary Wayne Hardy (CRD #1298371) d.b.a. Hardy Asset Management (CRD #116821)
April 5, 2006 David Lee McMillan and Polly P. McMillan (CRD #1808333)
February 28, 2006 Mid America Energy, Inc.; Mid America Oil & Gas; Gary M. Milby a.k.a. Gary Moss Milby a.k.a. Gary M. Milley and Jane Doe Milby; Jim and Jane Doe Whatcott; and John and Jane Doe Blitz
February 10, 2006 Lori Lee Spranger a.k.a. Lori Moriarty and/or Lori Lee Levandowski and/or Lori Gessell d.b.a. Vector 90 Debt Purchasing; Martin Otto Spranger a.k.a. Martin Otto Spranger III); Michael ("Mike") Moriarty and Jane Doe Moriarty d.b.a. Vector 90 Debt Purchasing
February 2, 2006 Michael Eugene Kelly; Yucatan Resorts, Inc.; Yucatan Resorts, S.A.; Resort Holdings International, Inc.; Resort Holding International, S.A.
December 30, 2005 Reserve Oil & Gas, Inc.; llen and Jane Doe Stout, Sr.; Allen and Jane Doe Stout, Jr.
December 13, 2005 Michael Giannantonio a.k.a. Michael David Turley d.b.a. Nitefire Entertainment; Karen Lynn Turley; John Voight and Jane Doe Voight; Nitefire Entertainment; SummitSTAR Entertainment L.P. d.b.a. SummitStar Films and/or SummitSTAR Films & Entertainment
November 14, 2005 Bruce R. Goldman, d.b.a. Opulent Management Group, Bravura Management Group, Zanadu Construction and/or The Opulent Group; Linda L. Goldman a.k.a. Linda Mull and/or Linda Sanger; Natasha Mull a.k.a. Natasha Goldman; Opulent Properties LLC; d.b.a. Opulent Properties; Mill Direct Flooring, LLC; d.b.a. Mill Direct Flooring; The Loan Xperts, LLC
October 27, 2005 Gary Wayne Hardy d.b.a. Hardy Asset Management; Sherry Hardy
August 9, 2005 Brixon Group Ltd.; Joseph Wayne McCool a.k.a. Joe McCool and Jane Doe McCool; Donald John Manning a.k.a. Don Manning and Jane Doe Manning; Cameron Guy Campbell and Nanette Campbell
August 3, 2005 Greg McCracken a.k.a. K.G. McCracken a.k.a. Kenneth McCracken
July 20,2005 Thomas C. Messina a.k.a. Thomas Campbell Messina and Tom C. Messina and Donna M. Messina
June 15, 2005 Arkad Investment Services, Inc. d.b.a. Arkad Investment Services
May 24, 2005 David John Palen (CRD #2321162)
April 26, 2005 Christopher D. Dedmon (CRD#3015575) and Kimberly Dedmon; Omni Horizon Group, LLP
April 15, 2005 Mark J. Sheehy (CRD# 2224709) and Jane Doe Sheehy
March 10, 2005 Listo, Inc., a Nevada corporation; Robert Smart and Jane Doe Smart; Kevin Krause
February 17, 2005 John S. Mendibles, MGN Enterprises, LTD
February 15, 2005 M.A.C Investments, Inc.; M.A.C Investments Sales, Inc.; M.A.C Investment Sales, Inc.; Maricruz Alvarado a.k.a. Mariacruz Alvarado a.k.a. John doe Alvarado; Aldemaro Gonzales Gamez a.k.a. Aldemaro Gonzalez and Jane Doe Gonzales Gamez; Maria Elena Gonzalez and John Doe Gonzalez; Kevin Polardi and Jane Doe Polardi
February 1, 2005 Ronald Earl Pfingsten; and Sharlene N. Pfingsten
January 20, 2005 Centenarios Gold Inc.; Tim Watt; and Jane Doe Watt
December 28, 2004 John E. Shannon and Rebecca F. Shannon; and Gary R. Shannon
December 22, 2004 Scott Erick Langfitt (CRD# 1695817)
December 15, 2004 David Duane Nutter and Jane Doe Nutterfe; North American Insurance Services, LLC
December 15, 2004 Arthur B. Cooper (CRD# 1856331); Linda Ebinger-Cooper (CRD# 1353173)
November 5, 2004 Pristine Property & Investments, Inc.; Deborah Lee Brugliera
November 3, 2004 WSK Energy, LLC; Kevin H. and Jane Doe Krause
October 4, 2004 Retirement Planning Center; John F. Klatt; and Marilyn A. Klatt
September 30, 2004 Noel Eugene Cullison and Barbara Cullison; Solutions, Sources, & Consulting, LLC; Energy Savings Solution, Inc.
September 28, 2004 James L. Oppenheimer and Sydney J. Oppenheimer
July 22, 2004 Parklane International Corporation; Syndicated Gold Depository S.A.
May 25, 2004
May 24, 2004 H. Jon Kunowski; Precision Model and Design, Inc.; Air Lase, Inc.; American Innovative Research, Inc.; John Does I-V; Jane Does I-V; White Corporations I-V; Black Partnerships I-V; and XYZ Limited Liability Companies I-V
May 24, 2004 H. Jon Kunowski; Precision Model and Design, Inc.; Air Lase, Inc.; American Innovative Research, Inc.; John Does I-V; Jane Does I-V; White Corporations I-V; Black Partnerships I-V; and XYZ Limited Liability Companies I-V
May 24, 2004 H. Jon Kunowski; Precision Model and Design, Inc.; Air Lase, Inc.; American Innovative Research, Inc.; John Does I-V; Jane Does I-V; White Corporations I-V; Black Partnerships I-V; and XYZ Limited Liability Companies I-V
May 24, 2004 H. Jon Kunowski; Precision Model and Design, Inc.; Air Lase, Inc.; American Innovative Research, Inc.; John Does I-V; Jane Does I-V; White Corporations I-V; Black Partnerships I-V; and XYZ Limited Liability Companies I-V
May 17, 2004

Multi Media Technology Ventures, Ltd.; Biltmore Group, Inc.; Global Trek Xploration Corp.; Chris Corbett and Jane Doe Corbett; Graham Inch and Jane Doe Inch; C. Ronald Paxon and Jan Doe Paxon

May 7, 2004

Fountain Capital Management, LLC c/o David A. Fazio; Integrowth Financial Group c/o Roger Alvin Sande; Richard A. Fandrich; David A. and Deborah Fazio; Donald and Helen Abernathy; Stephen A. and Jane Doe Hiltbrand; Roger Alvin Sande

May 6, 2004 Lonzo Archer
April 29, 2004 HCH Enterprise, LLC; Helen C. Hartze; Mark Kesler
March 24, 2004 H. Jon Kunowski; Precision Model and Design, Inc.; Air Lase, Inc.; American Innovative Research, Inc.; John Does I-V; Jane Does I-V; White Corporations I-V; Black Partnerships I-V; and XYZ Limited Liability Companies I-V
March 24, 2004 Mee Diamond & Jewelry, Inc.; Christopher S. Mee
March 4, 2004 Multimedia Technology Ventures, LTD. a.k.a. MMTV, Ltd.; Biltmore Group, Inc.; Global Trek Xploration Corp.; Chris Corbett and Jane Doe Corbett; Graham Inch and Jane Doe Inch; C. Ronald Paxon and Jane Doe Paxon