Securities Enforcement Actions
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2008 |
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5/2/08 James M. Jones and Brookstone Capital Management LLC
Settlement Agreement and Order [PDF 463KB]
4/24/08 Justin Thad Tinsley
Agreed Order to Cease and Desist [PDF 267KB]
4/22/08 Voice, Video & Data Services Inc., Russell E. Preston, president
Agreed Administrative Order [PDF 556KB]
3/31/08 Multiple One Group Inc. and Swainson Hawke
Final Order to Cease and Desist [PDF 253KB]
3/11/08 Paul Kellogg and Paul Kellogg and Associates Inc.
Final Order to Cease and Desist [PDF 98KB]
2/8/08 Paul Kellogg and Paul Kellogg and Associates Inc.
Order to Cease and Desist [PDF 615KB]
2/4/08 Questar Capital Corporation
Settlement Agreement and Order [PDF 231KB]
1/28/08 Mid-America Energy Inc. and Gary M. Milby
Default Order [PDF 143KB]
1/16/08 Mid-America Energy Inc., Gary M. Milby and James E. Simpson
Agreed Order Dismissing James E. Simpson and Ordering Him to Cease and Desist [PDF 103KB]
1/14/08 Kingdom Oil Inc. and Ernest Cadick
Order [PDF 70KB]
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2007 |
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11/1/07 Anthony Prichard
Temporary Restraining Order [PDF 99KB]
11/1/07 First Advantage Securities Corp and Kenneth G. Mueller
Settlement Agreement and Final Order [PDF 317KB]
8/23/07 Target Oil and Gas, Michael Smith
Order [PDF 52KB]
8/16/07 Jim Fisher
Agreed Order of Permanent Injunction [PDF 225KB]
8/13/07 Kingdom Oil Inc., Ernest Cadick
Order [PDF 53KB]
8/6/07 Jupiter Energy LLC, Jupiter 2005-6 LLP, Brian C. Rose, Jason T. Rose, Thomas N. Nelson, Dawn R. Nelson
Final Order [PDF 286KB]
6/20/07 Target Oil and Gas Corp., Michael Smith
Order on Motion for Contempt [PDF 80KB]
6/13/07 Dolomite Energy LLC, Jerry P. Finzel, Dave R. Hall
Order to Enforce Subpoena [PDF 43KB]
5/10/07 Jewell Robbins, et. al.
Order [PDF 275KB]
5/10/07 Target Oil and Gas, Michael Smith
Order to Produce Documents [PDF 141KB]
4/30/07 First Advantage, Kenneth G. Mueller
Final Order [PDF 36KB]
4/18/07 Mammoth Resource Partners Inc., Mammoth Resource Partners LLC and Roger Cory
Agreed Order [PDF 388KB]
4/10/07 Amerihome Investment Corp., Ronald R. Johnson
Agreed Order [PDF 381KB]
4/9/07 Allied Syndications Inc. dba Allied Energy Group, Richard Underwood, Steve S. Stengill, C. Shane Dolson, County Line Prospect
Final Order [PDF 141KB]
3/9/07 Photizo Group LLC
Order of Registration Exemption [PDF 190KB]
2/9/07 Berry Resources Inc.
Final Order [PDF 233KB]
1/30/07 Equity Advisors of Kentucky Inc. and Brian A. Guilliom
Final Order [PDF 126KB]
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2006 |
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10/23/06 John Patrick Anderson
Default Order [PDF 89.7KB]
10/11/06 Kingdom Oil Inc. and Ernest Cadick
Final Order [PDF 296KB]
10/10/06 Berry Resources Inc. and Ralph O. Berry III
Settlement Agreement [PDF 123KB]
10/5/06 Eastern Energy Corporation, Mark Kroman, William L. Champion, Donald Bradley Shultz
Order Approving Settlement Agreement [PDF 82.1KB]
10/2/06 Anthony Prichard dba Genuine Investment Opportunity (eBay site) and its agents, employees and control persons
Agreed Order [PDF 310KB]
9/11/06 Wachovia Capital Markets
Consent Order [PDF 1.8MB]
8/15/06 Michael Helms, Personally and Berkshire Capital LLC
Final Order [PDF 575KB]
8/8/06 First Financial Equity Corp.
Agreed Order [PDF 331KB]
6/15/06 Jewell Robbins, aka Jewell A. Burgin, and B.D. & J Enterprises Inc. and William P. Burgin, president of B.D. & J. Enterprises Inc.
Voluntary Permanent Injunction [PDF 107KB]
6/14/06 Basin Oil & Gas Corporation, Matrix Petroleum Inc. and Thomas R. Watkins
Order of Contempt [PDF 133KB]
6/12/06 Jupiter Energy LLC, Brian Rose, Jason Rose, Thomas Nelson and Dawn Nelson from the sale and offering of securities
Restraining Order [PDF 101KB]
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2005 |
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11/17/05 Clear Creek Oil and Gas Inc. (a Tennessee Corporation), Clear Creek Oil & Gas Inc. (a Nevada Corporation), W. Scott Thompson (Individually), W.A. Silvey Jr. (Individually), Stan Napper (Individually)
Administrative Agreed Order of Settlement [PDF 313KB]
8/23/05 Jewell Robbins, aka Jewell A. Burgin, B.D. & J. Enterprises Inc. and William P. Burgin, president of B.D. & J. Enterprises Inc.
Show Cause Order [PDF 186KB]
2005 KHB Management Corporation, Orange Funding Group LLC and Robert Thomas Stovall
Administrative Agreed Order [PDF 108KB]
8/11/05 Clear Creek Oil and Gas Inc. ( a Tennessee Corporation), Clear Creek Oil & Gas Inc. (a Nevada Corporation), W. Scott Thompson (Individually), W. A. Silvey Jr. Individually), Stan Napper (Individually)
Notice and Order of Hearing [PDF 122KB]
7/29/05 EnTerra Energy L.OL.C., EnTerra Energy, David G. Rose, Principal (named in his personal capacity), *Energy Associates, Firm of Westbrook & Lang, McKean County 3 Well L.L.P., Pennsylvania 3 Well Development L.L.P., Great Oklahoma Oil Deal L.L.P., Stan Billue, Gary Tarbis, Jim Jeffords, Bruce Fox, Scott Pamedis, Bob Malone, Debra Muldoon and Mark Kirk
Agreed Order of Permanent Injunction [PDF 709KB]
*The Energy Associates named in this order is NOT the same firm as Energy Associates Inc. located in Lexington, Ky.
7/6/05 Waddell and Reed Inc.
Consent Order [PDF 1.25MB]
6/20/05 Roger Jones
Agreed Order [PDF 202KB]
6/14/05 Cumberland Energy LLC, Michael Davidson, Personally
Order to Dismiss Administrative Complaint [PDF 42.1KB]
6/14/05 Burchett Oilco Inc., Steve Burchett, Personally
Order to Dismiss Administrative Complaint [PDF 404KB]
6/14/05 Stan Napper (Individually)
Agreed Order [PDF 369KB]
6/1/05 Cumberland Energy LLC and Michael Davidson, Personally
Dismiss Administrative Complaint [PDF 42.1KB]
6/1/05 Burchett Oilco Inc., Steve Burchett, Personally
Agreed Order [PDF 144KB]
5/20/05 Andy Tomijenovic, aka Drew Thomas
Order [PDF 268KB]
5/20/05 U.S. Petroleum LLC and Karla K. Sutton
Agreed Order of Dismissal [PDF 61.8KB]
5/18/05 Danny Joe Thomasson
Agreed Order to Cease and Desist [PDF 58.5KB]
3/31/05 Thomas Weisel Partners LLC
Administrative Consent Order [PDF 1.42KB]
3/22/05 Catholic United Investment Trust Market Neutral Fund
Order pursuant to KRS 292.415 Extension of Grant of Registration Exemption
[PDF 71KB]
3/21/05 Cobbler's Cafe LLC and Jayme S. Burden
Final Agreed Order [PDF 100KB]
3/15/05 Tax Lien Agents Inc. and Ned Majors
Agreed Order [PDF 469KB]
3/2/05 Deutsche Bank Securities Inc.
Administrative Consent [PDF 1.23MB]
3/1/05 Mammoth Resource Partners Inc. (formally known as Mammoth Resource Partners LLC) and Dr. Roger Cory, Principal (Named Individually)
Agreed Order [PDF 357KB]
2/14/05 Floco Management LLC and Steve A. Wallace, Personally
Agreed Order [PDF 142KB]
1/19/05 Consolidated Oil and Gas Corporation and Walter "Wally" Powell
Agreed Order [PDF 394KB]
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2004 |
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11/17/04 Agent Steven Condit
Agreed Order [PDF 291KB]
11/17/04 Morgan Stanley D.W. Inc. (related to Steven Condit)
Undertaking [PDF 459KB]
6/21/04 Mike Goetz and Team Victory Stables Elnadim LLC and Team Victory Stables Arch Madness LLC
Agreed Order [PDF 222KB]
5/7/04 Basin Oil and Gas Corporation
Order [PDF 133KB]
5/12/04 Rogpex Inc. and Gregory P. Rogers
Final Order [PDF 362KB]
5/3/04 Norman Lyle and Shefalor Oil Co. Incorporated
Settlement Agreement and Final Order [PDF 327KB]
4/23/04 William H. Borders II
Order [PDF 129KB]
4/20/04 Eastern Energy Corporation
Agreed Order of Settlement [PDF 2151KB]
4/7/04 Rockwell Resources LLC, Brad Kirk Turner (president and owner) Individually, Rob Freedman, Don Wagoner, Steve Brasfield, Darrell Hall, Richard Humes and John Fulchner, each individually
Agreed Order of Permanent Injunctions [PDF 430KB]
3/26/04 Rise Inc.
Final Order [PDF 116KB]
3/23/04 Russell Perry, Global Exploration LLC, The Pen Riese Company and The Pen Rose Company
Order to Cease and Desist [PDF 114KB]
1/7/04 Rise Inc. and Gregory Smith
Final Order [PDF 230KB]
1/6/04 Russell Perry, Global Exploration LLC, The Pen Riese Company and The Pen Rose Company
Order to Cease and Desist [PDF 114KB]
Office of Financial Institutions
1025 Capital Center Drive
Suite 200
Frankfort, KY 40601
Phone: 502-573-3390
Toll free: 800-223-2579
Fax: 502-573-0086
E-mail: kfi@ky.gov
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