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Administrative and Criminal Proceedings 2004 All Archives

Monthly Income Associates and Bernard D. Glannon: Final Order Monthly Income Associates and Bernard D. Glannon: Final Order
Rockwell Resources LLC, Rockwell Partners 03-C, Bradley Kirk Turner and Rob Freedman: Order of Sanc Rockwell Resources LLC, Rockwell Partners 03-C, Bradley Kirk Turner and Rob Freedman: Order of Sanc
James A. Hall and Hall Asset Consultants, Inc.: Order of Dismissal James A. Hall and Hall Asset Consultants, Inc.: Order of Dismissal
Casino Development.com, Inc. Vegascity.com, LLP Bet Pony, LLP Venture Capital Funding Donald D. Lab Casino Development.com, Inc. Vegascity.com, LLP Bet Pony, LLP Venture Capital Funding Donald D. Lab
Rosewood Energy, LLC; The Treadwell 3-D Prospect; The Nettie Murl Cade 3-D / Horizontal Re-Entry; Rosewood Energy, LLC; The Treadwell 3-D Prospect; The Nettie Murl Cade 3-D / Horizontal Re-Entry;
David C. Owen: Consent Order David C. Owen: Consent Order
Robert W. Bowers: Consent Order Robert W. Bowers: Consent Order
Al Pereyda: Consent Order Al Pereyda: Consent Order
Powys Enterprises, LLC, Alan P. Jones, and Their Representatives or Agents: Consent Order Powys Enterprises, LLC, Alan P. Jones, and Their Representatives or Agents: Consent Order
XMARK Incorporated and Respondents : Order to Invoke Sanctions XMARK Incorporated and Respondents : Order to Invoke Sanctions
Chapman Securities : Notice of Intent to Suspend Registration as a Broker-Dealer Chapman Securities : Notice of Intent to Suspend Registration as a Broker-Dealer
Martin Valentine Banuelos: Sentencing Martin Valentine Banuelos: Sentencing
SII Investments, Inc., Michael C. Tuma: Consent Order SII Investments, Inc., Michael C. Tuma: Consent Order
Carl Long: Notice of Intent to Invoke Administrative Sanctions Carl Long: Notice of Intent to Invoke Administrative Sanctions
Gerald D. Rice: Plea Agreement Gerald D. Rice: Plea Agreement
Casino Development.com, Inc., Vegascity.com, LLP, Bet Pony, LLP, Venture Capital Funding Casino Development.com, Inc., Vegascity.com, LLP, Bet Pony, LLP, Venture Capital Funding
XMARK Incorporated and Respondents : Notice of Intent to to Invoke Administrative Sanctions and Eme XMARK Incorporated and Respondents : Notice of Intent to to Invoke Administrative Sanctions and Eme
Rodney Flott: Diversion Agreement Rodney Flott: Diversion Agreement
Martin Valentine Banuelos: Consent Order Martin Valentine Banuelos: Consent Order
Midwest Hedge Fund, L.P., and James J. Brumm: Stipulation for Consent Order Nunc Pro Tunc Midwest Hedge Fund, L.P., and James J. Brumm: Stipulation for Consent Order Nunc Pro Tunc
Frederick J. Van Winkle: Notice of Intent to Invoke Administrative Sanctions and Emergency Cease an Frederick J. Van Winkle: Notice of Intent to Invoke Administrative Sanctions and Emergency Cease an
Martin Valentine Banuelos: Plea Agreement Martin Valentine Banuelos: Plea Agreement
Greta Ann Commerford: Sentencing Greta Ann Commerford: Sentencing
Rob Freedman: Order of Sanction Rob Freedman: Order of Sanction
Patrick L. Schmidtberger: First Apperance Patrick L. Schmidtberger: First Apperance
Darin Bahm: Order of Dismissal Darin Bahm: Order of Dismissal
Darin Bahm: Memorandum of Understanding Darin Bahm: Memorandum of Understanding
Financial World Corporation and Brad Bervert: Order of Dismissal Financial World Corporation and Brad Bervert: Order of Dismissal
Financial World Corporation and Brad Bervert: Memorandum of Understanding Financial World Corporation and Brad Bervert: Memorandum of Understanding
Crotts Financial Advisory Network, Inc.; Larry Crotts; and Elizabeth Crotts: Consent Order Crotts Financial Advisory Network, Inc.; Larry Crotts; and Elizabeth Crotts: Consent Order
Midwest Hedge Fund, L.P., and James J. Brumm: Consent Order Midwest Hedge Fund, L.P., and James J. Brumm: Consent Order
Rodney Flott: Arrest Rodney Flott: Arrest
Midwest Hedge Fund, L.P., and James J. Brumm: Notice of Intent to Invoke Administrative Sanctions Midwest Hedge Fund, L.P., and James J. Brumm: Notice of Intent to Invoke Administrative Sanctions
Greta Ann Commerford: Plea Greta Ann Commerford: Plea
James A. Hall and Hall Asset Consultants, Inc.: Notice of Intent to Invoke Administrative Sanctions James A. Hall and Hall Asset Consultants, Inc.: Notice of Intent to Invoke Administrative Sanctions
David Wetzel: Consent Order David Wetzel: Consent Order
Zheng Lu AKA Louis Lu AKA Zheng Louis AKA Zheng Louie: Zheng Lu AKA Louis Lu AKA Zheng Louis AKA Zheng Louie:
American General Equity Services Corporation and Ronald Hanson: Consent Order American General Equity Services Corporation and Ronald Hanson: Consent Order
Beverly Hawks and Roger Hawks: Consent Order Beverly Hawks and Roger Hawks: Consent Order
Rosewood Energy, LLC; The Treadwell 3-D Prospect; The Nettie Murl Cade 3-D / Horizontal Re-Entry Rosewood Energy, LLC; The Treadwell 3-D Prospect; The Nettie Murl Cade 3-D / Horizontal Re-Entry
Beverly Sassoon International, LLC and Beverly Sassoon: Order for Sanctions Beverly Sassoon International, LLC and Beverly Sassoon: Order for Sanctions
Monthly Income Associates and Bernard D. Glannon: Emergency Cease and Desist Order Monthly Income Associates and Bernard D. Glannon: Emergency Cease and Desist Order
Clubsevenfifty.com; Easytobecomerich.com; Carlton Group; James Carlton, AKA Raymond J. Carlton Clubsevenfifty.com; Easytobecomerich.com; Carlton Group; James Carlton, AKA Raymond J. Carlton
Alfred H. Wipperman and Janice L. Wipperman: Consent Order Alfred H. Wipperman and Janice L. Wipperman: Consent Order
Scandinavian Broker’s House Scandinavian Broker’s House
Goodall Gas Company; Giddings 1 LLC; and Jon G. Symon Goodall Gas Company; Giddings 1 LLC; and Jon G. Symon
Life Line Credit Services and Rakesh Joshi: Emergency Cease and Desist Order Life Line Credit Services and Rakesh Joshi: Emergency Cease and Desist Order
First United Drilling, Inc. Jennifer J. Maher James H. Palmer Notice of Intent First United Drilling, Inc. Jennifer J. Maher James H. Palmer Notice of Intent
Alpine Fence, Deck and Landscape and Daniel J. Whitson: Emergency Cease and Desist Order Alpine Fence, Deck and Landscape and Daniel J. Whitson: Emergency Cease and Desist Order
Crotts Financial Advisory Network, Inc.; Larry Crotts; and Elizabeth Crotts: Notice to Invoke Admin Crotts Financial Advisory Network, Inc.; Larry Crotts; and Elizabeth Crotts: Notice to Invoke Admin
Greta Ann Commerford: Arrest Greta Ann Commerford: Arrest
Dennis V. Edwards: Order to Impose Administrative Sanctions Dennis V. Edwards: Order to Impose Administrative Sanctions
Darcie Oursler: Stipulation for Consent Order and Consent Order: Kansas Loan Broker Act Darcie Oursler: Stipulation for Consent Order and Consent Order: Kansas Loan Broker Act
Carey Financial Consultants, Incorporated and Jerald R. Carey: Order to Impose Administrative Sanct Carey Financial Consultants, Incorporated and Jerald R. Carey: Order to Impose Administrative Sanct
Anthony M. Montana: Sentencing Anthony M. Montana: Sentencing
SII Investments, Inc., Richard S. Wood, and Michael C. Tuma: Notice of Intent to Invoke Administrat SII Investments, Inc., Richard S. Wood, and Michael C. Tuma: Notice of Intent to Invoke Administrat
Franz E. Bader: Order to Vacate Franz E. Bader: Order to Vacate
Beverly Sassoon International, LLC and Beverly Sassoon: Notice of Intent to Invoke Administrative S Beverly Sassoon International, LLC and Beverly Sassoon: Notice of Intent to Invoke Administrative S
Montecarlo Development, LLC Montecarlo Development, LLC
Dennis V. Edwards: Notice of Intent to Invoke Administrative Sanctions Dennis V. Edwards: Notice of Intent to Invoke Administrative Sanctions
Carey Financial Consultants, Incorporated and Jerald R. Carey: Notice to Invoke Administrative Sanc Carey Financial Consultants, Incorporated and Jerald R. Carey: Notice to Invoke Administrative Sanc
Kirk McNab: Sentencing Kirk McNab: Sentencing
Van E. Brighton (Kings Real Estate Investment Trust): Arrest Van E. Brighton (Kings Real Estate Investment Trust): Arrest
Tuscany Water, Inc., David C. Owen, Al Pereyda, Beverly Hawks, Roger Hawks: Notice of Intent to Inv Tuscany Water, Inc., David C. Owen, Al Pereyda, Beverly Hawks, Roger Hawks: Notice of Intent to Inv
Carl Long: Consent Order Carl Long: Consent Order