Arizona Corporation
Commission

Securities Division

Orders

Orders

• 2024

Date FiledCompany/IndividualDecision #
October 21, 2024Luke M. Johnson (CRD #3257008); Alicia Johnson; Legend Capital Group, Inc.79572
October 18, 2024MaryAnne Chisholm (d.b.a. Lighthouse Crypto & Asset Recovery); Mark F. Chisholm (a.k.a. Mark D. Mackenzie)n/a
September 13, 2024Voya Financial Advisors, Inc. (CRD #002882)79543
September 13, 2024CIBC World Markets, Inc.79542
September 13, 2024Christopher J. Lopez (CRD #4314767); Holly Lopez79541
August 15, 2024Christopher Spence Cox; Beth Cox79487
July 18, 2024

United Planners Financial Services of America

79413
June 20, 2024Platinum Universal Trades79370
June 20, 2024David Todd Phillips (CRD #3094195); Camille Phillips; David Thomas Phillips (CRD #362511); Jane Taylor Phillips; Phillips Financial Services, L.L.C., Estate Planning Specialists, L.L.C.79369
June 20, 2024Kingdom Financial Group, L.L.C. (CRD #155676)79368
June 20, 2024ISA Industries, Inc.; Hunter Bjork; Grace Bjork79367
June 20, 2024IG US L.L.C.79366
June 13, 2024Arizona Golden Assets IV, L.L.C.; Donald William Jones (CRD #724793); Sheryl Elaine Jonesn/a
May 13, 2024Anthony Rohlik; RRE Investments, L.L.C.; ECB Real Estate L.L.C.79349
May 13, 2024Hilary Shaw Riposo79348
May 13, 2024Theodore Francis Dinges; Gary Lee Dinges; Amazon Gold, L.L.C.79347
April 18, 2024TradeStation Crypto, Inc. 79323
April 18, 2024Warren C. Nagler (CRD #3233469); Sunnyslope Capital Advisers, L.L.C.79322
April 18, 2024David Russel Dales (CRD #1493498)79321
April 8, 2024Cellebration Life Sciences, Inc.; Timothy Kopatich; Jane Doe Kopatich; William M. Deegan (CRD #2098524); Anand Srivastava; Deven Pateln/a
March 15, 2024David L. Shorey; Mary Jane Shorey; ABCO Energy, Inc. (f.k.a Energy Conservation Technologies, Inc.); ABCO Solar, Inc. (f.k.a. Westcap Energy, Inc.)79315
March 15, 2024Integrated Advisors Network L.L.C. (CRD #171991)79314
January 24, 2024

Elevated Automations L.L.C.; Ecomelevation L.L.C.; Antonio Romero; Brandon Wasoski

79247
January 23, 2024Platinum Universal Tradesn/a

 

• 2023

Date FiledCompany/IndividualDecision #
December 12, 2023Family Tree Estate Planning, L.L.C.; Sean N. Cagle; Brad Gerald Mason; Jason Wootten79184
December 12, 2023Bridge Advisory L.L.C. (CRD #148282)79183
December 12, 2023Blue Owl Technology Income Corp. (f.k.a. Owl Rock Technology Income Corp.)79182
November 21, 2023Lucio George Martinez; Lisa K. Martinezn/a
November 17, 2023Swiss Valorem Bank Ltd.; GSB Gold Standard Corporation AG; GSB Gold Standard Pay Ltd. (acting under the brand GSDEFI); Josip Heit; Tannisha Glaspien/a
November 3, 2023PIPS TRAILEXCH79170
November 3, 2023Susan M. Koe (CRD #4819343)79169
October 27, 2023Operation Influence L.L.C. (d.b.a. WIFI Wealth); Jerrika Cox (a.k.a. Jerrika Wilkstrom); Bryce Cox (a.k.a. Brycen Cox)n/a
October 4, 2023RRIM Asset Strategies, L.L.C. (CRD #117297);  Robert A. Ritter (CRD #1985776); Tamara Ritter (a.k.a. Tamara Swinton)79112
October 4, 2023

Q Financial Design, L.L.C. (CRD #152066); David F. Evans (CRD #2056137)

79111
October 4, 2023Kelly Marie Ryan (a.k.a. Kelly Black Ryan, Kelly Black-White, and Kelly Black); Premier Media Services, Inc. (d.b.a. Premier Distributing Service and Lenis USA)79110
October 4, 2023William M. Deegan (CRD #2098524); Heartland Capital Partners, L.L.C.;  Heartland Income Properties L.L.C.79109
October 2, 2023Michael Alexander Candelario; REI Management L.L.C. (f.k.a. WLA Labs L.L.C.); REI House Buyers, L.L.C.n/a
September 11, 2023Patrick D. Nilles (CRD #4435443)79088
August 25, 2023Robinhood Financial L.L.C.79068
August 25, 2023Meta 1 Coin Trust; Robert Paul Dunlap79067
August 15, 2023Ryan Morgan; Stuart Simonsen; All Done Consulting, L.L.C.; Saddlebrook Investments, L.L.C.n/a
July 14, 2023Christine Lewis79039
July 14, 2023Marcus Lewis79022
June 28, 2023Antwon B. Day; FXPIPSESSION, L.L.C.78982
June 28, 2023Jad Morris; Financial Leverage L.L.C.; IQBiz Financial L.L.C.; IQBiz Funding, L.L.C.; Svitlana Kwee78981
June 28, 2023Bryan L. Little (CRD #6670927); Melisa Little78980
May 9, 2023PIPS TRAILEXCHn/a
April 18, 2023Agridime L.L.C.; Joshua Link; Tia Linkn/a
April 17, 2023Robert Brent Beane (CRD #5183037)78910
April 17, 2023Nexo Capital, Inc.78909
April 17, 2023Bear Fruit Films, L.L.C.; James Simmons; Mark Smith78908
March 23, 2023Robert Halverson 78887
March 16, 2023Automata FX Ltd.; Joseph T. Nemeth78864
February 27, 2023Theodore Francis Dinges;  Gary Lee Dinges; Amazon Gold, L.L.C.n/a
January 23, 2023Wilson Sonsini Goodrich & Rosati, P.C.78826
January 23, 2023James David Gray; Stephanie Gray; Seek Insurance Services, L.L.C.; Elite Benefits Group, L.L.C.78825
January 23, 2023Pamela Hopman (CRD #3023382); Paul Hopman; PGH Advisors L.L.C. (CRD #156415)78824

 

• 2022

Date FiledCompany/IndividualDecision #
December 15, 2022

Richard J. Daratony (d.b.a. High Desert Naturals, High Desert Natural, and Dr. Rlchard’s High Desert Naturals)

78798
November 21, 2022MaRico Tippett (CRD #4821428); Callie Tippett78753
October 24, 2022Wealthcorp L.L.C.; Christopher Walkup78732
October 22, 2022Jad Morris; Svitlana Kwee; Financial Leverage L.L.C.;  IQBiz Financial L.L.C.; IQBiz Funding, L.L.C.n/a
September 20, 2022Wenima Development. L.L.C.;  I Am America; Lenard Toye; Lori A. Toye78705
September 20, 2022Jonathon Sifuentes Saucedo78704
September 20, 2022James S. Miller (CRD #4875515); Biltmore Wealth Advisors, L.L.C. (CRD #165557)78703
September 1, 2022ISA Industries, Inc.; Hunter Bjork; Grace Bjorkn/a
August22, 2022Patrick Jon Runninger (CRD #5223934); The Financial Group, L.L.C.78651
August 22, 2022Jennifer Skidmore78650
August 22, 2022Jeffrey Allen Skidmore; Money Never Sleeps, L.L.C.78649
July 27, 2022Sync Title Agency, L.L.C.; Rosicella Joplin; Sean Joplin; Christopher Olson78642
July 27, 2022Premier Asset Management Group L.L.C.; Michael Barry Eckerman; Tonya Eckerman; Bernardine Ann Michalik; Sean P. Shields; Venessa Sandoval; Ashley Abbema78641
July 27, 2022Moises Herrera, Sr.; Yolanda Herrera78632
July 11, 2022John V. Feneck (CRD #2418741); Feneck Consulting Group, L.L.C. (a.k.a. Feneck Consulting)78607
July 11, 2022

Arthur Hoffman (CRD #3193754); ICA Financial Services, L.L.C. (d.b.a. Integrity Capital Advisors)

78606
July 11, 2022BlockFi Lending L.L.C.78605
July 11, 2022

Todd Regan Elliott (CRD #5563784); Elliott Financial Group, Inc.; Carla M. Elliott

78604
May 27, 2022Nathaniel S. Barnhart (CRD #1898299); Lisa Renee Wilson Barnhart; Cornerstone Wealth Management , L.L.C.78562
May 18, 2022Timothy L. Wolf (CRD #1261588); Sharlene D. Wolf; Financial Concepts, Inc.n/a
April 28, 2022Ronald F. Stevenson (CRD #6716692 and Successor in Interest of Barbara Clark Stevenson); American Financial Security, L.L.C.; American Financial Investments, L.L.C.78528
April 28, 2022TreyTrades L.L.C. (Arizona L.L.C.); TreyTrades L.L.C. (Florida L.L.C.); Richard K. Hainsworth III78527
April 28, 2022Carlos Parra, Noahmi Parra78526
April 28, 2022My Trader Coin (a.k.a.  MTCoin and mytradercoin.com)78525
April 25, 2022William M. Deegan (CRD #2098524); Heartland Capital Partners, L.L.C.; Heartland Income Properties, L.L.C.n/a
March 24, 2022Marketing Dynamics, Inc.; Timothy La Duca (CRD #5223921); Sharon La Duca78514
March 24, 2022D2D Financial, L.L.C.; Rone Milton Dolph (CRD #3186460); Susan Dolph; Susan Jean Arcadia; Chad Arcadia; Super Commercial Loans, L.L.C.; Anthony Bellassai (a.k.a Tony Bellassai)78502
March 24, 2022Scott Wayne Reed (CRD #3007033); Sarah Reed78501
March 2, 2022AZ REl School, L.L.C.; SFG Real Estate Holdings, L.L.C.; Jeffrey Robert Simbric78480
March 2, 2022Archimedes Foundation Trust (a.k.a. Archimedes Foundation Trust Group); David Hart; Dwayne Louise Hart; Kirk Koskella (a.k.a. Kirk James); Christine Tucker; Harry Tucker; Conrad Defriese; Wolfgang Kovacek78479
March 2, 2022Global Capital and Equity L.L.C.; Brett Butler Reiss78478
January 31, 2022Luxury Management Group, L.L.C.; MTE 2013 Trust, Michael Barry Eckerman, and Tonya Eckerman, trustees; Michael Barry Eckerman; Tonya Eckerman 78419
January 31, 2022

Voice of Guo Media, Inc.; Lihong Wei Lafrenz a.k.a. Sara Wei 

78418
January 31, 2022

Tony Roland Spooner a.k.a. Anthony R. Spooner (CRD #2187069); Wendy Spooner; First Federal Security, Inc.; Rokay Unlimited, L.L.C. 

78417
January 31, 2022MSM Financial L.L.C. (CRD #284781); Michael Sean Murphy (CRD #1315103)78416

 

• 2021

Date FiledCompany/IndividualDecision #
December 28, 2021Now Mining, L.L.C.78355
December 28, 2021

Sean Zarinegar (a.k.a. Sean Zar and Bejahn Zarrinegar); Kori Zarinegar; Performance Realty Management, L.L.C.

78354
December 20, 2021D2D Financial, L.L.C.; Rone Milton Dolph (CRD #3186460); Susan Dolph; and Susan Jean Arcadia; Chad Arcadia; Super Commercial Loans L.L.C.; Anthony Bellassai a.k.a. Tony Bellassai n/a
November 19, 2021Meta 1 Coin Trust; Robert Paul Dunlapn/a
November 5, 2021Mario E. Magana Sosa; Alejandra Sosa78294
November 5, 2021Edward 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.78293
November 5, 2021William Melvin Hawkins a.k.a. Mel Hawkins (CRD #831356); Biomed Pharma Group, Inc.78292
September 29, 2021

Don Harris; Donna Harris; Don’s Painter Stuff, L.L.C.

78242
September 29, 2021NVSG702, L.L.C.; NVSG702 L.L.C.; Silverstate702, L.L.C.; John R. Uranga78241
September 1, 2021Migranade, Inc.; Charles Hensley78220
September 1, 2021AE Wealth Management, L.L.C. (CRD #282580); David James Callanan (CRD #4237166)78219
July 28, 2021Grand Oak Enterprises, L.L.C.; Tarleton J. Karry (CRD #2862611)78139
June 24, 2021OWNZONES Media Network, Inc.; Daniel Goman; Alina Goman78049
June 24, 2021Charles O’Dowd; Paula M. O’Dowd78048
May 28, 2021Automata FX Ltd.; Joseph T. Nemethn/a
May 18, 2021Meroe Capital Group Ldt.; Castle International, Inc.; Castle International, L.L.C.; Castle Air Holdings, L.L.C.; David Miller; Jayson R. Papa78001
May 18, 2021Resa Wearables, Inc.; Glen D. Hinshaw78000
May 5, 2021Jerry L. Guttman (CRD #1078383), Jerry L. Guttman as Trustee of the Guttman Family Trust DTD 12/4/2000; Serenity Cemeteries II, L.L.C.; Serenity Cemeteries IV, L.L.C.; Serenity Cemeteries VI, L.L.C.; Serenity Cemeteries VII, L.L.C.; Champion Entertainment Group, L.L.C.77980
May 5, 2021Abuchi Okoye; Coininvest77979
May 5, 2021Frederick Arias; The Joseph Project77978
May 5, 2021Troy Michael Bohlke; Arizona Acquisitions Group, L.L.C.77977
April 1, 2021Guilford Nergard77919
April 1, 2021Seth Jardine; EcoVista Development, L.L.C.; EcoVista Avondale, L.L.C.; Caroline Jardine77910
February 12, 2021Wattenberg 1, L.L.C.77908
February 12, 2021Robert Francis Alexander77907
February 12, 2021

Verdugo Enterprise L.L.C. (d.b.a. Verdugo Gift Company); Isaias M. Verdugo; Maria G. Verdugo; Mario C. Verdugo, Jr.; Filemon G. Caballero

77902
January 22, 2021David Paul French; Sun State Property Preservation, L.L.C.; Wattenberg, L.L.C.77880
January 22, 2021Alfred Baca; Chrysology Capital Group, L.L.C.77879
January 22, 2021Bradley J. Tennison; Deborah Tennison77878

 

• 2020

Date FiledCompany/IndividualDecision #
December 31, 2020Richard J. Daratony (d.b.a. High Desert Naturals, High Desert Natural, and Dr. Richard’s High Desert Naturals)n/a
December 17, 2020Roman Alejando Corona (CRD #6347429)77832
December 17, 2020Jeffrey Francis Thompson (CRD # 2732245); Leyenda Capital Partners, L.L.C. (d.b.a. JFThompson Wealth Management (IARD #282751)77831
November 12, 2020Performance Arbitrage Company, Inc.; Michelle Plant; Financial Product Distributors, L.L.C.; Michael David Woodard (CRD #3270674); Deborah G. Woodard; Mark Corbett; Upstate Law Group, L.L.C.; Candy Kern-Fuller77806
November 12, 2020Justin C. Billinglsey77805
November 12, 2020Richard D. Saba Jr.; Saba Tooth Tiger, L.L.C. (d.b.a. Saba Investments)77800
November 4, 2020Robert Francis Alexandern/a
October 23, 2020Abuchi Okoye; Coininvestn/a
October 22, 2020Richard A. Smart; Smart Acquisitions, L.L.C.; Smart Enterprises, L.L.C.; Simply Smart Homes, L.L.C.77765
October 22, 2020Adrian Ortega (CRD #5591481)77764
October 20, 2020Donald Harris; Don’s Pinter Stuff, L.L.C.n/a
October 2, 2020Mark Corbett; Smith & Cox, L.L.C. (CRD #149088); William Andrew Smith (CRD #5638821); Kimberly Ann Smith; Christopher Spence Cox (CRD #5639015); Beth Cox77747
October 2, 2020Conrad Coggeshall (CRD #4383687); Business Owners Tax Relief L.L.C.77726
October 2, 2020AuroraTek Incorporated; William Alek; Aurora Ellegion (a.k.a. Aurora Light)77725
October 1, 2020Abuchi Okoye; Coininvestn/a
September 24, 2020Seth Jardine; Caroline Jardine; EcoVista Development, L.L.C.; EcoVista Avondale, L.L.C.n/a
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

 

• 2019

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

77426
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

 

• 2018

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)

76544
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

 

• 2017

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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Contact the Securities Division

Address:

1300 W. Washington St,
Phoenix, AZ 85007

Phone:

Main:
(602) 542-4242

Toll-Free in AZ:
1-(866) 837-4399

Email:

Securities Enforcement:
SecuritiesDiv@azcc.gov

Registration:
SEC-AOD@azcc.gov

 

Arizona Corporation Commission
Phoenix Office
1200 W. Washington Street
Phoenix, AZ 85007

> Commissioners
> Executive Director
> Legal
> Utilities
> Docket
> Hearings

Arizona Corporation Commission
Phoenix Office
1300 W. Washington Street
Phoenix, AZ 85007

> Administration
> Safety
> Corporations
> Securities

Arizona Corporation Commission
Tucson Office
400 W. Congress Street
Tucson, AZ 85701

> Corporations
> Hearings
> Utilities

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