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Phoenix, AZ 85007-2996

 

 

Main: (602) 542-4242

Email: SecuritiesDiv@azcc.gov

Enforcement Actions

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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.

2021:

DateRespondent
July 9, 2021Patrick D. Nilles (CRD #4435443)
June 24, 2021Charles O’Dowd; Paula M. O’Dowd
May 28, 2021Automata FX Ltd.; Joseph T. Nemeth
May 19, 2021MSM Financial L.L.C. (CRD #284781); Michael Sean Murphy (CRD #1315103)
May 13, 2021 David L. Shorey; Mary Jane Shorey; ABCO Energy, Inc. (f.k.a. Energy Conservation Technologies, Inc.); ABCO Solar, Inc. (f.k.a.  Westcap Energy, Inc.)
April 23, 2021Global Capital and Equity  L.L.C.; Bret Butler Reiss; Migranade, Inc.; Charles Hensley
April 1, 2021Guilford Nergard
March 22, 2021Family Tree Estate Planning, LLC; Sean N. Cagle; Brad Gerald Mason; Jason Wooten
February 24, 2021Cornerstone Wealth Management, L.L.C.; Nathaniel S. Barnhart (CRD #1898299); Lisa Renee Wilson Barnhart; AE Wealth Management, L.L.C. (CRD #282580); David James Callanan (CRD #4237166); Christopher Spence Cox (CRD #5639015); Beth Cox; William Andrew Smith (CRD #5638821); Kimberly Ann Smith; Smith & Cox, L.L.C. (CRD #149088)
January 29, 2021Tony Roland Spooner a.k.a. Anthony R. Spooner (CRD #2187069); Wendy Spooner; First Federal Security, Inc.

 

2020:

DateRespondent
December 31, 2020Richard J. Daratony (d.b.a. High Desert Naturals, High Desert Natural, and Dr. Richard’s High Desert Naturals)
December 28, 2020Ronald F. Stevenson (CRD #6716692); Successor in Interest of Barbara Clark Stevenson (a.k.a. Successor in Interest of Barbara E. Stevenson); American Financial Security, L.L.C.; American Financial Investments, L.L.C. (CRD #285559)
December 15, 2020Scott Wayne Reed (CRD #3007033); Sarah Reed; Pebblekick, Inc.; Don K. Shiroishi
November 18, 2020Sync Title Agency, L.L.C.; Rosicella Joplin; Sean Joplin; Christopher Olson 
November 13, 2020Patrick Jon Runninger (CRD #5223934); The Financial Group, L.L.C.
November 4, 2020Robert Francis Alexander
October 23, 2020Abuchi Okoye; Coininvest
October 22, 2020Todd Regan Elliott (CRD #5563784); Carla M. Elliott; Elliott Financial Group
October 20, 2020Donald Harris; Don’s Painter Stuff, L.L.C.
October 2, 2020AuroraTek Incorporated; William Alek; Aurora Ellegion (a.k.a. Aurora Light)
October 1, 2020Abuchi Okoye; Coininvest
September 30, 2020Alfred Baca; Chrysology Capital Group, L.L.C.
September 28, 2020Meroe Capital Group Ltd., Castle International, Inc.; Castle International, L.L.C.; Castle Air Holdings, L.L.C.; David Miller; Jayson R. Papa
September 24, 2020Seth Jardine; Caroline Jardine; EcoVista Development, L.L.C.; EcoVista Avondale, L.L.C.
September 17, 2020Roman Alejandro Corona (CRD #6347429)
August 19, 2020Jeffrey Francis Thompson (CRD #2732245); Leyenda Capital Partners, L.L.C. (d.b.a. JFThompson Wealth Management, IARD #282751)
August 6, 2020Adrian Ortega (CRD #5591481)
July 27, 2020Richard A. Smart; Smart Acquisitions, L.L.C.; Smart Enterprises, L.L.C.; Simply Smart Homes, L.L.C.
July 9, 2020Jeffrey Scott Peterson (CRD #2365060); Michael D. Silberman (CRD #2468726); Stacey Silberman; Justin C. Billingsley; Mobile Corporation (f.k.a. Mobile Pro Corporation); Quepasa Corporation; Wilson Sonsini Goodrich & Rosati, P.C.
June 29, 2020Ronald F. Stevenson (CRD #6716692); Barbara Clark Stevenson; American Financial Security, L.L.C.; American Financial Investments L.L.C. (CRD #285559) 
June 26, 2020Resa Wearables, Inc.; Glen D. Hinshaw
June 18, 2020My Trader Coin (a.k.a. MTCoin a.k.a. mytradercoin.com); Now Mining, L.L.C.; Jonathon Sifuentes Saucedo; Mario E. Magana Sosa; Alejandra Sosa (a.k.a. Juliet Alejandra Rozo); Moises Herrera, Sr.; Yolanda Herrera; Carlos Parra; Noahmi Parra 
June 17, 2020Edward Eugene Engel (a.k.a. Eddy Engel a.k.a. Ed Engel); Shara Engel; Rose Member Capital Group, L.L.C.; Biomed iNet L.L.C.
June 2, 2020Richard D. Saba Jr.; Saba Tooth Tiger, L.L.C. (d.b.a. Saba Investments)
May 1, 2020David Paul French; Sun State Property Preservation, L.L.C.; Wattenberg, L.L.C.; Wattenberg 1, L.L.C.
April 29, 2020Cornerstone Wealth Management, L.L.C.; Nathaniel S. Barnhart (CRD #1898299); Lisa Renee Wilson Barnhart; AE Wealth Management, L.L.C. (CRD #282580); Christopher Spence Cox (CRD #5639015); Beth Cox; William Andrew Smith (CRD #5638821); Kimberly Ann Smith; Smith & Cox, L.L.C. (CRD #149088)
April 24, 2020Conrad Coggeshall (CRD # 44383687); Business Owners Tax Relief L.L.C.
April 2, 2020OwnZones Media Network, Inc.; Daniel Goman; Alina Goman
April 1, 2020Bear Fruit Films, L.L.C. a.k.a. Bearfruit Films; James Simmons; Casey Simmons; Mark Smith
March 31, 2020LendingClub Corporation
March 20, 2020Luxury Management Group, L.L.C.; MTE 2013 Trust, Michael Barry Eckerman and Tonya Eckerman, Trustees; Michael Barry Eckerman; Tonya Eckerman
March 11, 2020NVSG702, L.L.C.; NVSG702 L.L.C.; SilverState702, L.L.C.; John R. Uranga
February 10, 2020Priority Wealth Advisers, Inc.; Joseph Donti

 

2019:

DateRespondent
December 31, 2019William Melvin Hawkins (a.k.a. Mel Hawkins); Biomed Pharma Group, Inc.
December 20, 2019Maximo Natural Products, Inc.; Ismael Villalobos a.k.a. Ismael Villalobos Garcia; Blanca Villalobos
November 18, 2019David J. Volpe (CRD #2543478); Amanda Volpe
November 1, 2019Forex & Bitcoin Trader
October 21, 2019Marvin Robby Richards
October 2, 2019Jerry L. Guttman (CRD #1078383); Lori Guttman
September 26, 2019Kerease Gillman a.k.a. Kerease Margita (d.b.a. Southwest Bookkeeping Service); Timothy Gillman 
September 3, 2019Robert Charles High II (CRD #4568165) 
June 28, 2019Frederick Arias; Bradley J. Tennison; Deborah Tennison; The Joseph Project
June 25, 2019 Tarleton J. Karry (CRD #2862611); Grand Oak Enterprise, L.L.C. 
May 20, 2019Theodore W. Fowler; Shana C. Fowler; Whispering Creek Investments L.L.C. 
March 29, 2019Sean Zarinegar (a.k.a. Sean Zar and Bejahn Zarrinnegar); Kori Zarinegar; Jack Combs; Nancy Combs; Performance Realty Management, L.L.C.; American Realty Partners, L.L.C.; Corix Bioscience, Inc. (f.k.a. Corix Bioscience, Inc. and American Housing Income Trust, Inc.)
March 26, 2019Wagner Capital Management, L.L.C.; Zachary S. Wagner (CRD #6694074); Jessica N. Wagner
February 21, 2019 Kyusun Kim (CRD #2864085)

 

2018:

DateRespondent
December 31, 2018Wealthcorp L.L.C.; Christopher Walkup
December 31, 2018The Credit Engineers, Inc.; David R. Kosack; Bryn Kosack; Ernie Barrueta (a.k.a. Ernest A. Barrueta and Ernesto A. Barrueta); David J. Varrone
December 31, 2018Kyusun Kim (CRD #2864085)
December 31, 2018Partisan Alliance Corporation; Joseph J. Carrillo; Azucena Carrillo
December 17, 2018Verdugo Enterprise L.L.C. d.b.a. Verdugo Gift Company; Isaias M. Verdugo; Jaime A. Verdugo; Maria G. Verdugo; Mario C. Verdugo Jr.; Teodoro M. Medellin; Sylvia Medellin; Filemon G. Caballero
December 14, 2018Anthony Eladio Ramos; Western Gateway Region Rural Broadband Company, Inc.
November 2, 2018JG Enterprise, L.L.C.; Fox First Services, L.L.C.; Jennifer Jean Gutschke; Carlton Lamont Fox
November 1, 2018Darrell G. Knoch; Imagine Enterprises, L.L.C.
September 18, 2018Skytrace, Inc.; Robert S. Smith (CRD #1145094); Janice Smith; Roland B. Woolsey
September 17, 2018Wesleyan Investment Foundation, Inc.
September 11, 2018Titan Funding Group I, L.L.C.; Titan Capital Real Estate Fund I, L.L.C.; Titan Capital Holdings L.L.C.; Adam W. Child; Erin M. Child; Roderick R. Rickert
June 29, 2018Performance Arbitrage Company, Inc.; Michelle Plant; Financial Product Distributors, L.L.C.; Michael David Woodard (CRD #3270674); Mark Corbett, Upstate Law Group, L.L.C.; Candy Kern-Fuller
June 25, 2018Michael Smoot d.b.a. GSI Global TV, Inc.; Black Platinum Holdings, L.L.C.; GSI Global, Inc.
June 15, 2018Cory R. Williams (CRD #4797256); Williams Advisory Group, L.L.C. (CRD #175402)
June 11, 2018David Paul Smoot; Marie Kathleen Smoot (a.k.a. Kathy Smoot); Native American Water, L.L.C. d.b.a. Natawa.; Natawa Corporation d.b.a. Natawa; American Indian Technologies International, L.L.C. (a.k.a. AITI)
May 8, 2018Advanced Planning Concepts, L.L.C. (CRD #164725); Thomas J. Crisman (CRD #851859)
March 30, 2018BAIC, Inc.; SoBell Corp.; Andrew Gamber; Mark Corbett; Upstate Law Group, L.L.C.; Candy Kern-Fuller; Smith & Cox, L.L.C. (CRD #149088); William Andrew Smith (CRD # 5638821); Kimberly Ann Smith; Christopher Spence Cox (CRD #5639015); Beth Cox
March 27, 2018AZ Investment Property Experts, L.L.C.; Daniel C. Butterfield
March 12, 2018Thomas P. Madden; Leslie Madden
January 29, 2018Ronald Horn; Daniel Rondberg; Jennifer Rondberg; Randolph Rondberg; Katherine Rondberg; Jason Walter; Samantha Walter; John Walter; Janis Walter; Trager, L.L.C.

 

2017:

DateRespondent
December 29, 2017Pacific Capital Enterprises L.L.C.; Superior Diamond Management L.L.C.; Michael Barry Eckerman; Tonya Eckerman; Vanessa R. Sandoval
November 29, 2017Lawson Financial Corporation (CRD #15261); Robert Warren Lawson (CRD #501167)
November 22, 2017Howard Price Wealth Management, L.L.C.; Howard M. Price III (CRD #4650960)
October 30, 2017Robert Nico Martinelli (f.k.a. Robert Apgar Zakian, CRD #2387821); Guardian Wealth Management, L.L.C. (f.k.a. AIM Investment Group, L.L.C., CRD #148536)
September 22, 2017Eugene D. Anderson (CRD #1127707); Jeannie S. Anderson
August 17, 2017William Austin Bailey (CRD #1085215); Associated Professional Investments. L.L.C. (CRD #148986)
July 11, 2017Real Estate Finance Corporation; WIN Opportunity Fund, L.L.C.; WIN Management, L.L.C.; Adam W. Child; Erin M. Child
June 29, 2017GenTecnics, L.L.C.; iCorp, L.L.C.; James E. Stroup
June 28, 2017DrHorsepower, Inc.; Steven Scholl; Sandra Jones; Bruce Guercio
June 9, 2017Stephen M. Thompson; Leland Energy, Inc.; Leland Kentucky Holdings, Inc.; Leland Colorado. Holdings, Inc.; Leland Tennessee Holdings, Inc.; The Appalachian Drilling Fund II, L.L.P.; Knox Drilling Fund II, L.L.P.; Green County Energy Fund, L.L.P.; Rodgers Production Revenue Fund, L.L.P.; Energy Production Revenue Fund, L.L.P.; Block City Drilling Fund, L.L.P.; Weld County Drilling Fund, L.L.P.; Wattenberg Drilling Fund, L.L.P.; Wattenberg Drilling Fund II, L.L.P.
June 1, 2017Donna Kay Beers (CRD #1172038); James Beers; Caesar Investments, L.L.C.
May 24, 2017Walter Jerome Clarke (CRD #2579982); Wealth Index Advisors, L.L.C. (CRD #281750)
May 22, 2017Hawkins Wealth Advisory L.L.C.; Robert Eric Hawkins
May 15, 2017Michael A. Crowe (CRD #1057029); Lequita Crowe
April 5, 2017Lawrence M. LaBine (CRD #1279935)
March 1, 2017Ryan Miguel (CRD #4581157, a.k.a. Ryan Miguel Pina and Ryan Lee Oliver); Robert Eric Hawkins; Infinity Fuels, Inc.
January 19, 2017Simply Smart Homes, L.L.C.; Smart Enterprises, L.L.C.; Richard A. Smart

 

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