1300 W. Washington Street

Phoenix, AZ 85007-2996



Main: (602) 542-4242

Email: SecuritiesDiv@azcc.gov

Enforcement Orders

To search for specific companies or individuals on this page, use Edit/Find (Ctrl F). To view a copy of the Order in Adobe PDF format, click on the Date next to that Respondent's name. You may obtain the Adobe PDF viewer at http://www.adobe.com..

To access all of the public documents in a case, go to the Enforcement Actions page, find the case and click on the case name. You can also click on the eDocket icon at the bottom of this page and search for the case there. 

For recent Commission court decisions go here.


Date FiledCompany/IndividualDecision #
June 30, 2020Maximo Natural Products, Inc.; Ismael Villalobos (a.k.a. Ismael Villalobos Garcia); Blanca Villalobos77643
May 14, 2020Anthony Eladio Ramos; Western Gateway Region Rural Broadband Company, Inc.77619
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)n/a
April 22, 2020Marvin Robby Richards77595
March 31, 2020LendingClub Corporation77576
March 31, 2020Forex & Bitcoin Trader77575
February 10, 2020Robert J. Moss; Jennifer L. Moss;  The Fortitude Foundation; Ventures 7000, L.L.C.; Jeffrey D. McHatton; Starla T. McHatton; Robert B. Sproat; Kevin Krause; Vernon R. Twyman, Jr.77547
February 10, 2020Priority Wealth Advisors, Inc.; Joseph Donti77545
February 6, 2020William Austin Bailey (CRD #1085215); Associated Professional Investments, L.L.C. (CRD #148986)77542
January 15, 2020Kerease Gillman (a.k.a. Kerease Margita) d.b.a. Southwest Bookkeeping Service; Timothy Gillman77533



Date FiledCompany/IndividualDecision #
December 17, 2019Venessa R. Sandoval; Ashley Abbema 77502
December 17, 2019Wagner Capital Management, L.L.C.; Zachary S. Wagner (CRD #6694074)77497
December 17, 2019Robert Charles High II (CRD #4568165)77496
December 17, 2019American Realty Partners, L.L.C.; Corix Bioscience, Inc. (f.k.a. American Housing Income Trust, Inc.)77495
December 17, 2019Jack Combs; Nancy Combs77494
November 6, 2019Teodoro M. Medellin; Silvia Medellin77446
November 1, 2019Forex & Bitcoin Tradern/a
October 24, 2019Theodore W. Fowler; Shana C. Fowler; Whispering Creek Investments, L.L.C.77427
October 24, 2019

The Credit Engineers, Inc.; David R. Kosack; Bryn Kosack; Ernie Barrueta (a.k.a. Ernest A. Barrueta and Ernesto Barrueta); David J. Varrone

October 21, 2019Marvin Robby Richardsn/a
September 13, 2019Robert S. Smith (CRD #1145094); Janice Smith77411
September 11, 2019Trager L.L.C.77400
September 11, 2019John Walter; Janis Walter77399
September 11, 2019Jason Walter; Samantha Walter77398
September 11, 2019Randy Rondberg; Katherine Rondberg77397
September 11, 2019Daniel Rondberg; Jennifer Rondberg77396
September 11, 2019Ronald Horn77395
August 19, 2019 Roland B. Woolsey 77370 
August 19, 2019Skytrace, Inc.77369
July 19, 2019AZ Investment Property Experts, L.L.C.; Sandy Beach Esmeralda Development, L.L.C.; Daniel C. Butterfield77293 
July 10, 2019Jaime A. Verdugo 77271
June 13, 2019 Adam W. Child; Erin M. Child77256 
June 13, 2019 David 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) 77255 
June 13, 2019 Fox First Services, L.L.C.; Carlton Lamont Fox; Soy Mora (a.k.a. Soy Fox)77254 
May 29, 2019 Kyusun Kim (CRD #2864085) 77197 
May 29, 2019 AZ Investment Property Experts, L.L.C.; Sandy Beach Esmeralda Development, L.L.C.; Daniel C. Butterfield 77196 
May 15, 2019 Jeremy Vincent Diaz (CRD #4735164); IDIAZ, L.L.C.; Wealth Creator Private Equity, L.L.C.77172 
April 26, 2019Roderick R. Rickert 77160 
April 26, 2019 Titan Capital Real Estate Fund I, L.L.C. 77159 
April 26, 2019 Partisan Alliance Corporation; Joseph J. Carillo; Azucena Carrillo77158
April 26, 2019JG Enterprise, L.L.C.; Jennifer Jean Gutschke 77157 
April 26, 2019BAIC, Inc.; SoBell Corp.; Andrew Gamber77156 
March 13, 2019Pacific Capital Enterprises L.L.C.; Superior Diamond Management L.L.C.; Michael Barry Eckerman; Tonya Eckerman77117
March 13, 2019Thomas P. Madden; Leslie Madden77116
February 20, 2019 Concordia Financing Company, Ltd. (a.k.a. Concordia Finance); ER Financial & Advisory Services, L.L.C.; Lance Michael Bersch; David John Wanzek; Linda Wanzek 77088 
February 7, 2019Real Estate Finance Corporation; WIN Opportunity, L.L.C.; Adam W. Child; Erin M. Child; WIN Management, L.L.C.77069
February 7, 2019Titan Funding Group I, L.L.C.; Titan Capital Holdings L.L.C.77068
February 7, 2019Coverlugg L.L.C.; Birdie Media L.L.C.; Gregory J. Sanchez; Jill K. Sanchez77067
January 16, 2019Darrell G. Knoch; Imagine Enterprises, L.L.C.77046
January 11, 2019LPL Financial L.L.C. (CRD #6413)77024



Date FiledCompany/IndividualDecision #
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. Varronen/a
December 14, 2018Anthony Eladio Ramos; Western Gateway Region Rural Broadband Company, Inc.n/a
November 27, 2018Robert H. Shapiro76962
November 27, 2018WMF Management, L.L.C.; Woodbridge Group of Companies, L.L.C.; Woodbridge Mortgage Investment Fund 1, L.L.C.; Woodbridge Mortgage Investment Fund 2, L.L.C.; Woodbridge Mortgage Investment Fund 3, L.L.C., and Woodbridge Mortgage Investment Fund 3A, L.L.C.76961
November 2, 2018JG Enterprise, L.L.C.; Fox First Services, L.L.C.; Jennifer Jean Gutschke; Carlton Lamont Foxn/a
September 17, 2018Wesleyan Investment Foundation, Inc.76875
September 17, 2018Stephen M. Thompson; Leland Energy, Inc.; Leland Kentucky Holdings, Inc.; Leland Colorado Holdings, Inc.; The Appalachian Drilling Fund II, L.L.P.; Knox Drilling Fund II, L.L.P.; Green County Energy Fund, L.L.P.; Joseph E. Finateri; Leland Tennessee Holdings, Inc.; 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.; Greeley Wattenberg Drilling Fund, L.L.P.; Opportunity Drilling & Acquisition Fund, L.L.P.; Presidents Fund, L.L.P.; Leland Energy Fund, L.L.P.; Leland Energy Fund II, L.L.P.; Extension Drilling & Revenue Fund, L.L.P.76874
September 17, 2018Advanced Planning Concepts, L.L.C. (CRD #164725); Thomas J. Crisman (CRD #851859)76873
August 22, 2018Cory R. Williams (CRD #4797256); Williams Advisory Group, L.L.C. (CRD #175402)76821
August 8, 2018Walter Jerome Clarke (CRD #2579982); Wealth Index Advisors, L.L.C. (CRD #281750)76789
June 25, 2018Michael Smoot d.b.a. GSI Global TV, Inc.; Black Platinum Holdings, L.L.C.; GSI Global, Inc.76752
June 25, 2018Kirtan S. Khalsa76751
May 22, 2018Bruce Guercio76686
May 22, 2018DrHorsepower, Inc.; Steven Scholl; Sandra Jones76685
May 22, 2018Timothy John  Wales; Stacey Wales76683
May 22, 2018Lawson Financial Corporation (CRD #15261); Robert Warren Lawson (CD # 501167)76677
March 29, 2018Howard Price Wealth Management L.L.C.; Howard M. Price III (CRD #4650960)76621
March 29, 2018Eugene D. Anderson (CRD #1127707); Jeannie S. Anderson76620
March 27, 2018AZ Investment Property Experts, L.L.C.; Daniel C. Butterfieldn/a
January 19, 2018

Robert 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)

January 19, 2018GenTecnics, L.L.C.; iCorp L.L.C.; James E. Stroup76543
January 19, 2018Delta FX Trade76542
January 3, 2018Bart J. Ellis; Colleen Ellis; Oak Capital Partners, L.L.C.76541
January 3, 2018Kent Maerki; Norma Jean Coffin (a.k.a. Norma Jean Maerki and Norma Jean Maule); Dental Support Plus Franchise, L.L.C.76530
January 3, 2018USA Barcelona Realty Advisors, L.L.C.; USA Barcelona Hotel Land Company I, L.L.C.; Richard C. Harkins;  Robert J. Kerrigan (CRD #268516); George T. Simmons; Janet B. Simmons; Bruce Orr; Susan S. Orr76529
January 3, 2018Clear Energy Group, L.L.C.; Paul W. Ramirez76517
January 3, 2018Jacob Wohl; Matthew Johnson; Wohl Capital Investment Group, L.L.C.; NeX Capital Management, L.L.C.; Montgomery Assets, Inc.76516



Date FiledCompany/IndividualDecision #
December 29, 2017Pacific Capital Enterprises L.L.C.; Superior Diamond Management L.L.C.; Michael Barry Eckerman; Tonya Eckerman; Vanessa R. Sandovaln/a
November 22, 2017Howard Price Wealth Management, L.L.C.; Howard M. Price III (CRD #4650960)n/a
November 7, 2017Jason Todd Mogler; Tri-Core Companies, L.L.C.; Tri-Core Business Development, L.L.C.; ERC Compactors, L.L.C.; ERC Investments, L.L.C.; C&D Construction Services, Inc. 76452
November 7, 2017Jacob Wohl; Matthew Johnson; Wohl Capital Investment Group, L.L.C.; NeX Capital Management, L.L.C.; Montgomery Assets, Inc.76451
November 7, 2017 LoanGo Corporation; Justin C. Billingsley; Heather Billingsley; Jeffrey Peterson; John Keith Ayers; Jennifer Ann Brinkman Ayers76450
November 7, 2017Sharon Elizabeth Govan (a.k.a Sharon E. Govan-Smith, Sharon Smith, Ms. Sharon and Charron Govan)76449
November 7, 2017 Believing in Jesus Investments, L.L.C.; Phoebus Vincent Smith (a.k.a. Vince Smith and Mr. Vince)76447
November 7, 2017Anthony Waszolek (CRD #800403); Kathleen Waszolek76442
November 7, 2017Donna Kay Beers (CRD #1172038); James Beers; Caesar Investments, L.L.C.76441
August 23, 2017Michael A. Crowe (CRD #1057029); Lequita Crowe76321
July 13, 2017AIO Financial, L.L.C.; William M. Holliday (CRD #4930333); Guadalupe A. Holliday76198
July 13, 2017Lawrence M. Labine (CRD #1279935)76197
July 13, 2017Sam Ahdoot; Jane Doe Adhoot76196
July 11, 2017Real Estate Finance Corporation; WIN Opportunity Fund, L.L.C.; WIN Management, L.L.C.; Adam W. Child; Erin M. Chin/a
June 22, 2017Shadow Beverages and Snacks, L.L.C.; Lucio George Martinez; Lisa K. Martinez76155
May 22, 2017Hawkins Wealth Advisory L.L.C.; Robert Eric Hawkins76080
May 22, 2017Robert Eric Hawkins; Infinity Fuels, Inc.76079
May 22, 2017Visionary Business Works, Inc.76078
May 22, 2017Robert Brian Brauer; Melissa Brauer76077
April 11, 2017Tracy N. Wengert (CRD #3182678); Jeanette Wengert76074
April 11, 2017Ryan Miguel (CRD #4581157, a.k.a. Ryan Miguel Pina and Ryan Lee Oliver)76064
April 11, 2017Simply Smart Homes, L.L.C.; Smart Enterprises, L.L.C.; Richard A. Smart76063
March 22, 2017J. Randall Gladden (CRD #1789356)76031



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