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Administrative and Criminal Proceedings 2007 All Archives

Sara Sue Foland, dba Foland Trading Company: Petition and Consent Order Sara Sue Foland, dba Foland Trading Company: Petition and Consent Order
Barnes’ Global Ministries, Inc., and Billy Anthony Jack Barnes: Cease and Desist Order Barnes’ Global Ministries, Inc., and Billy Anthony Jack Barnes: Cease and Desist Order
Galaxy Holdings, LLC of Pleasant Hill, CA, David Alan Licht of Pleasant Hill, CA: Default Order Galaxy Holdings, LLC of Pleasant Hill, CA, David Alan Licht of Pleasant Hill, CA: Default Order
James A. Freese: Johnson County Investment Adviser sentenced James A. Freese: Johnson County Investment Adviser sentenced
Galaxy Holdings, LLC of Pleasant Hill, CA, David Alan Licht of Pleasant Hill, CA: Notice of Intent Galaxy Holdings, LLC of Pleasant Hill, CA, David Alan Licht of Pleasant Hill, CA: Notice of Intent
4ECOMM Holding, LLC, Jimmie D. Maish, Jr., and Ismael Ruiz: Consent Order as to Respondent Ruiz 4ECOMM Holding, LLC, Jimmie D. Maish, Jr., and Ismael Ruiz: Consent Order as to Respondent Ruiz
Kim R. Shaffer: Consent Order Kim R. Shaffer: Consent Order
James A. Freese: Johnson County Investment Adviser Pleads Guilty James A. Freese: Johnson County Investment Adviser Pleads Guilty
David W. Stewart : Cease and Desist Order David W. Stewart : Cease and Desist Order
Howard F. Bascom : Consent Order Howard F. Bascom : Consent Order
Donald G. Atteberry: Shawnee County Veterinarian, Donald Atteberry, Sentenced for Securities Fraud Donald G. Atteberry: Shawnee County Veterinarian, Donald Atteberry, Sentenced for Securities Fraud
Donald G. Atteberry: Shawnee County Veterinarian, Donald Atteberry, Guilty of Securities Fraud Donald G. Atteberry: Shawnee County Veterinarian, Donald Atteberry, Guilty of Securities Fraud
Intermountain Marketing Associates, LLC: Stipulation for Consent Order and Consent Order Intermountain Marketing Associates, LLC: Stipulation for Consent Order and Consent Order
4ECOMM Holding, LLC: Notice of Intent to Invoke Administrative Sanctions 4ECOMM Holding, LLC: Notice of Intent to Invoke Administrative Sanctions
TAP Oil and Gas, LLC: Stipulation for Consent Order TAP Oil and Gas, LLC: Stipulation for Consent Order
TAP Oil and Gas, LLC: Consent Order TAP Oil and Gas, LLC: Consent Order
William Herndon Notice of Intent to Invoke Administrative Sanctions William Herndon Notice of Intent to Invoke Administrative Sanctions
Jonathan Jay Parker:Cease and Desist Order and Notice of Intent to Impose Additional Sanctions Jonathan Jay Parker:Cease and Desist Order and Notice of Intent to Impose Additional Sanctions
James A. Freese: Johnson County Investment Adviser Arrested James A. Freese: Johnson County Investment Adviser Arrested
Eric Rabicoff: Sentenced to 32 Months in Prison for Securities Violations and Theft Eric Rabicoff: Sentenced to 32 Months in Prison for Securities Violations and Theft
Kim R. Shaffer: Notice of Intent to Invoke Administrative Sanctions Kim R. Shaffer: Notice of Intent to Invoke Administrative Sanctions