DEPARTMENT OF FINANCIAL INSTITUTIONS

Securities Enforcement Actions

DISCLAIMER: Please note that licenses or registrations which are denoted as "revoked," "denied" or "suspended" within the past 30 days are subject to appeal and may be in the process of being appealed.

Click on the link below to view enforcement actions by year.

Securities Enforcement Actions

2025

William Edward "Bill" Breagy III, 2025AH0004

Agreed Order

03/10/2025

2024

Edward D. Jones & Co., L.P. 2023AH0022

Consent Order

12/27/2024

Michael David Prater, Independent Capital LLC 2024AH0012

Agreed Order

11/15/2024

Miso Robotics, Inc. 2024AH0020

Agreed Order

10/31/2024

Breezy Point Energy Corp. 2024AH0018

Agreed Order

09/04/2024

Rite Financial Group, LLC 2019AH00026

Agreed Order

08/19/2024

Plutus Financial Inc. DBA Abra, William John Barhydt 2023AH0012

Consent Order

06/12/2024

LQD Assets, LLC, Morgan Salsman 2024AH0005

Agreed Order

05/13/2024

Celsius Network Inc. 2021AH0024

Consent Order

05/13/2024

Marvin David Warren, D's Jerky LLC 2023AH0024

Agreed Order

04/22/2024

Scott Christopher Mann, Mann Capital Management LLC 2023AH0026

Agreed Order

03/27/2024

TradeStation Crypto, INC 2024AH0002

Consent Order

02/02/2024

True Bullion LLC dba GSI Exchange, Anthony Allen Anderson 2023AH0030

Consent Order

01/02/2024

2023

GS Partners, Josip Heit 2023AH0027

Administrative Complaint

11/16/2023

Safeguard Metals LLC, Jeffrey Ikahn (aka Jeffrey S. Santulan), Jeff Hill

Order for Permanent Bar

10/24/2023

Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. 2023AH0014

Consent Order

10/03/2023

Robinhood Financial LLC 2023-AH-0007

Administrative Action

08/31/2023

Typhon Energy LLC and Jeremiah Decker 2023AH0005

Final Order of Default

07/20/2023

Horatiu Charlie Caragaceanu, Hedge4.AI, and the Shark of Wall Street 2023AH00009

Final Order of Default

06/28/2023

Plutus Financial INC. dba Abra and William John Barhydt 2023-AH-00012

Administrative Action

06/16/2023

Coinbase Global, INC. and Coinbase, INC. 2023-AH-0011

Administrative Complaint

06/06/2023

Curtis Jaynes and Firs Financial Independence and Retirement Security Investment LLC 2023AH0008

Agreed Order

05/19/2023

Horatiu Charlie Caragaceanu, Hedge4.ai, and The Shark of Wall Street 2023AH0009

Administrative Complaint

05/03/2023

Michael H. Gross and Moneylife Partners, Inc. 2023AH0003

Agreed Order

02/16/2023

Nexo Capital Inc 2022AH0021

Consent Order

02/13/2023

Seven Hills Capital Advisors, LLC Joseph Daniel Fondacaro, Jr 2023AH0004

Agreed Order

02/08/2023

Wellings Income Fund IV, LLC 2022AH0025

Agreed Order

02/07/2023

Michael L. Scheel and Profolio Investments Inc 2023AH0001

Agreed Order

01/18/2023

2022

Nicholas Bures & Magna Bures Oil LLC 2022AH00013

Final Order of Default

12/22/2022

Paidemoyo Brian Charasika 2022AH0022

Agreed Order

12/02/2022

Cindy Maddox AO 2020AH00016

Agreed Order

11/16/2022

Slotie NFT 2022AH0023

Emergency Order to Cease and Desist

10/20/2022

Punch TV Studios Inc. and Joseph Edward Collins Jr 2022AH0010

Agreed Order

09/27/2022

Nexo Inc 2022AH0021

Emergency Order to Cease and Desist

09/26/2022

United Pentecostal Church Development Fund, Inc. Loan Fund 2022AH0020

Agreed Order

08/11/2022

J.D.T. INC dba INVEST INC John D. Thompson 2022AH0005

Agreed Order

07/12/2022

Garton and Associates Financial Advisors LLC 2022AH0011

Agreed Order

06/09/2022

NYPPEX, LLC

Final Order of Default

05/16/2022

Flamingo Casino Club

Emergency Order to Cease and Desist

05/11/2022

Cindy Maddox Final Order Default 2020AH0016

Final Order Default

04/26/2022

Typhon Energy LLC 2022AH00003

Emergency Order to Cease and Desist

04/26/2022

Sand Vegas Casino Club M.S. F.R.W 2022AH0012

Emergency Order to Cease and Desist

04/19/2022

Voyager Digital Ltd 2022AH0002

Emergency Order to Cease and Desist

03/29/2022

EG Hogan JT Brown and East Fork Energy Partners Inc 2018AH00036

Agreed Order

03/07/2022

BlockFi Inc Notice and Order Rescinding C D 2021AH0020

Notice and Order Rescinding Emergency Cease and Desist Order and Entering Consent Order

03/07/2022

Mark Thomas Lamkin 2022 AO 2019AH0015

Agreed Order

03/07/2022

Blockfi Lending LLC Consent Order 2021AH00020

Consent Order

03/02/2022

BCA and Kevin Attkisson 2021AH0018

Agreed Order

01/25/2022

2021

Rik Saylor Financial Inc 2021AH0029

Agreed Order

12/27/2021

Jerry Fuqua 2021AH0028

Agreed Order

11/22/2021

Equity Advisors of KY Inc B.A.Guilliom and F.Rogers III 2021AH0027

Agreed Order

11/15/2021

Fame Route LLC Gilbert Peter and Bradley C. Tilford 2019AH00043

Agreed Order

10/26/2021

Celsius Network LLC 2021AH00024

Emergency Order to Cease and Desist

09/23/2021

Mark Fallon Kregor 2021AH0011

Agreed Order

09/15/2021

Trophy Point Financial Planning LLC and Derek Merkler 2021AH0022

Agreed Order

09/13/2021

Witter Westlake Investments INC and Rodney Westlake 2021AH0014

Agreed Order

08/10/2021

Encompass Financial Advisors LLC and George M Perros 2020AH00017

Agreed Order

08/03/2021

Blockfi Inc Blockfi Lending LLC and Blockfi Trading LLC 2021AH00020

Emergency Cease and Desist Order

07/29/2021

John S Gutermuth 2021AH0017

Agreed Order

07/28/2021

Blacksummit Financial Group Inc and John Evriviadia Charalambakis 2021AH0015

Agreed Order

07/13/2021

Clearleaf Finance LLC and Louis Rudolph Kelmanson 2021AH0013

Agreed Order

06/24/2021

Mark Thomas Lamkin 2019AH00015

Commissioners Findings of Fact, Conclusions of Law and Final Order

06/01/2021

Lawrence Rosen 2021AH0005

Final Order of Default

05/13/2021

John Wright and Remote Mowers LLC 2021AH0002

Final Order of Default

05/13/2021

Tashari Lee Berry and Tashari Financial Group LLC 2020AH00029

Agreed Order

04/28/2021

Matthew Doyle Trimingham Financial LLC 2021AH0004

Agreed Order

03/30/2021

Jarvis Global Investments Inc Arthur Jarvis 2021AH0001

Agreed Order

03/02/2021

John Wright Remote Mowers LLC 2021AH0002

Emergency Cease and Desist Order

02/09/2021

Lead Point Wealth Mgnt. LLC Darrell Scott Pope 2020AH00032

Agreed Order

02/04/2021

Joseph Peter Moss dba Wealth Beyond LLC 2020AH0033

Agreed Order

01/11/2021

2020

Tactical Wealth Management LLC and Scott Tyler Sullivan 2019-AH-00067

Final Order of Default

12/03/2020

Bruce Wayne Hanks and Wealth Management of KY Inc 2020-AH-00024

Agreed Order

10/27/2020

Green Square Capital Louisville LLC 2020-AH-004

Agreed Order

10/04/2020

Richard A Finch 2020-AH-0005

Agreed Order

10/04/2020

Crossroad Community Church Inc Brian Tome 2020-AH-0026

Agreed Order

09/17/2020

Jeffrey Kyle Sheppard 2019-AH-00066

Partial Agreed Order

09/13/2020

Solium Financial Services LLC 2020-AH-00020

Consent Order

09/13/2020

Dan Short Paige Short and Ionx Capital Holdings Inc 2016-AH-0109

Commissioner's Findings of Fact, Conclusions of Law, and Final Order

08/19/2020

Justinfo LLC David Weddle 2020-AH-0001

Agreed Order

07/13/2020

Bankers Life and Casualty Co. and BLC Financial Services Inc July 13 2020

Amended Consent Order

07/13/2020

The Wright Legacy Group LLC Steven Wright 2020-AH-0008

Agreed Order

07/13/2020

Typhon Energy LLC and Jeremiah Decker 2019-AH-00030

Final Order of Default

06/28/2020

Kelcas Corp. Kelcas Ohio River Oil LLC and Wilhelm Lilliehook 2019-AH-00057

Agreed Order

06/28/2020

Benjamin Mencer, Russell Carter, Treadstone LLC dba Morgan County Dual Offset 2018-AH 00037

Agreed Order

04/30/2020

Donald Eugene Bentley 2019-AH-00066

Partial Agreed Order

04/30/2020

Robert S. Clarke 2019-AH-00031B

Amended Agreed Order

04/30/2020

FWG INVESTMENTS LLC 2019-AH-00066

Partial Agreed Order

04/30/2020

Joseph Durbin, Game Designs LLC, Blue Whale Gaming LLC 2019-AH-00028

Final Order

04/30/2020

JP Morgan Securities 2019-AH-00073

Agreed Order

03/09/2020

ROBERT S CLARKE 2019-AH-00031B

Agreed Order

02/27/2020

Justin David Ross 2019-AH-00041

Agreed Order

02/18/2020

Sunset Capital Assets Inc 2018AH00098

Final Order

01/09/2020

2019

National Alliance Securities LLC 2019AH00031

Agreed Order

01/15/2020

Central Financial Services Inc and Jack Choate 2019AH00047

Agreed Order

10/28/2019

Mutual Entertainment, LLC, and Tevin Buffin 2019AH00060

Final Order

10/01/2019

The Wealth Advisory Team LLC dba Mackey Advisors 2018AH00057

Agreed Order

09/19/2019

TMTE Inc aka Metals.com 2019AH00055

Emergency Cease and Desist Order

09/06/2019

Anabaptist Financial 2019AH00052

Agreed Order

09/03/2019

Leif Clarke Wealth Management 2019AH00051

Agreed Order

08/30/2019

Robert Jerome Bouhl 2019AH00044

Agreed Order

08/30/2019

Stanley Rosenthal 2019AH00038

Agreed Order

07/19/2019

Wesleyan Investment Foundation Inc 2019AH00042

Agreed Order

07/03/2019

Trident Partners LTD 2019AH00027

Agreed Order

06/26/2019

Independent Capital LLC and Michael David Prater 2018AH00046

Agreed Order

05/29/2019

D.Bolton, BoltonTotal Wealth Management and Spirited Funds LLC 2019AH00006

Commissioner's Findings of Fact, Conclusions of Law and Final Order

05/13/2019

MAH Investment Managment Michael Wiesemann 2019AH00007

Agreed Order

05/09/2019

Christina K. Knight and Ploutos Oil LLC 17AH00017

Commissioners Findings of Fact Conclusions of Law and Final Order

04/12/2019

Shaneal Patel 18AH00053

Final Order

03/13/2019

J.J.B. Hilliard, W.L. Lyons LLC 19AH00005

Agreed Order

02/27/2019

Secure Solutions LLC and David Ferguson 18AH00060

Agreed Order

02/27/2019

Mackhouse Capital LLC 19-AH-00003

Agreed Order

02/06/2019

2018

LPL Financial LLC 18AH00040

Administrative Consent Order

09/13/2018

Thomas Hatton and Private Asset Management LLC 18AH00033

Agreed Order

09/05/2018

Encore Energy Inc. 18AH00018

Agreed Order

09/04/2018

Mann Capital Management LLC and Scott C Mann 18AH00035

Agreed Order

08/21/2018

Clifford C Vatter III 18AH00010

Notice of Resolution and Agreed Order

08/07/2018

Mark Jude Ketner 18AH00024

Notice of Resolution and Amended Order Accepting Withdrawal of Application for Agent Registration

07/11/2018

Ryan Sanford Lawson 18AH00025

Agreed Order

07/11/2018

Michael Faurest 18AH00014

Agreed Order (Same set of facts covered by 17AH00052 on 10/30/2017)

07/02/2018

M Holdings Securities Inc 18AH00003

Agreed Order

06/06/2018

Edward Joseph Bosch Sr 17AH00059

Final Order

03/08/2018

2017

Todd K Meador and TKM Financial Services LLC 17AH00079

Agreed Order

12/05/2017

Donald Eugene Bentley 17AH00016

Agreed Order

11/16/2017

Majestic Management Corporation and Joseph J Roy 17AH00058

Final Order

11/01/2017

Michael C Faurest 17AH00052

Notice of Resolution and Amended Order Accepting Withdrawal of Application for IAR Registration

10/30/2017

Cornerstone Benefit Advisors LLC and Derek Burcham 16AH00023 Final Order

Final Order

10/17/2017

Derek Burcham and Cornerstone Benefit Advisors LLC 16CI00835

Findings of Fact, Conclusions of Law and Final Order Granting Permanent Injunctive Relief and Ordering Restitution and Disgorgement

10/11/2017

Phillip John Matheney and High Payout Poker LLC et al 17AH00047

Final Order

07/25/2017

RushMarkets Joshua Hartwell John Henry and Tony Robbins 16AH00024

Final Order to Cease and Desist

06/29/2017

Lifetime Wealth Design LLC and Kevin Roberts 17AH00019

Agreed Order

06/16/2017

Atel 15 LLC 17AH00042

Agreed Order

05/30/2017

Cashel Financial Advisors LLC 17AH00028

Agreed Order

05/12/2017

Jewell Jackson Oil and Gas LLC 17AH00036

Agreed Order to Cease and Desist

05/12/2017

Michael Winkler dba Michael Winkler Inc 16AH00017

Final Order to Cease and Desist and Assessing Civil Penalties

04/19/2017

Encompass Wealth Management LLC 17AH00014

Agreed Order

03/24/2017

YS Soli TFF LLC 17AH00010

Agreed Order

03/07/2017

Young Oil Corporation et al 07CI01930

Final Judgment of Permanent Injunction and Other Relief

03/01/2017

Home Investment Fund II LP 16AH00119

Agreed Order

02/14/2017

Grant Talbert 16AH00102

Agreed Order

01/09/2017

2016

Bruce Wayne Hanks and Wealth Management of Kentucky Inc. 16AH00112

Agreed Order

12/28/2016

William Todd Emerick and Emerick And Company LLC 16AH00050

Final Order Denying Application for Investment Adviser Representative Registration and Investment Advisor Registration

12/15/2016

RTAG Inc and Richard Hampton Scurlock III 15AH00148

Agreed Order

09/09/2016

Cornerstone Benefit Advisors LLC and Derek Burcham 16AH00023

Summary Order Suspending Registrations

08/08/2016

Garrett Financial Management LLC and Kenneth E. Garrett 16AH00057

Agreed Order

08/03/2016

Newbridge Securities Corporation 15AH0021

Agreed Order

06/07/2016

LPL Finanical LLC Admin Consent Order 2016AH00010

Administrative Consent Order

02/29/2016

David P Rankin Jr 15AH00105 final

Final Order

02/09/2016

Robert Lincoln Williamson II 15AH00132

Final Order

01/04/2016

2015

David P Rankin Jr 15AH00105 agreed

Agreed Order

12/15/2015

J-Thaddeus Peter McGaffey 15AH00157

Final Order Denying Application for Investment Adviser Representative Registration

12/09/2015

Roy Myers and Phillips J Ash 15AH00150

Agreed Order

11/19/2015

Content Checked Holdings Inc 15AH00147

Agreed Order

11/17/2015

Billy Ray Hodge 15AH00046

Final Order

09/09/2015

Willis-Stafford Corporation 15AH0090

Final Order

09/09/2015

Meridian Wealth Management LLC 15AH0084

Agreed Order

06/24/2015

Tatro Capital LLC 15AH0088

Agreed Order

06/24/2015

Robert M Walker and Associates Inc 15AH0072

Agreed Order

06/04/2015

Ohio Equity Fund for Housing Limited Partnership XXIV 15AH00031

Agreed Order

02/25/2015

2014

JMack Energy LLC and Mark Cornell 14AH0021B

Agreed Order

11/10/2014

JP Morgan Securities LLC 14AH078

Administrative Consent Order

10/13/2014

Lighthouse Capital Management 14AH000131

Agreed Order

10/06/2014

Swendiman Wealth Strategies 14AH109

Agreed Order

09/12/2014

Three Star Leasing, Liberty Oil Leasing, Clementsville Oil and Gas Leasing 13CI939

Final Order Granting Permanent Injunctive Relief and Ordering Restitution and Disgorgement

08/18/2014

RBC Capital Markets LLC 14AH0021

Administrative Consent Order

04/21/2014

Bernhard Financial LLC and Brandon Lee Bernhard 13AH0230

Final Order Denying Application for Investment Adviser and Investment Adviser Representative Registration

03/31/2014

Newton Barnett John Burse aka John Chapin and JamesJeffries 11AH0076

Commissioner's Findings of Fact, Conclusions of Law and Final Order

03/14/2014

UBS Financial Services Inc 13AH0227

Consent Order

01/24/2014

2013

Newton Barnett John Burse aka John Chapin and James Jeffries 11AH 0076 2

Findings of Fact, Conculsions of Law & Recommended Order

12/20/2013

Three Star Leasing Inc Liberty Oil Leasing Clementsville Oil Gas Leasing Et Al

Temporary Restraining Order

11/12/2013

Remington Wealth Management, LLC and Richard Shu, Individually 13AH0198

Agreed Order

10/31/2013

Don Howard DBA Clementsville, Liberty, Three Star 13CI939

Temporary Restraining Order

08/07/2013

Ross Sinclaire and Associates LLC 13AH0105

Agreed Order

06/11/2013

Roman Novak Radoslav Novak and Inter Reef LTD dba Profitable Sunrise 13AH0039

Emergency Order to Cease and Desist

03/14/2013

2012

Berry Resources Inc.10AH011

Final Order

09/13/2012

Lawrence Rosen 11AH0154C

Corrected Final Order

09/12/2012

Lawrence Rosen 11AH0154

Final Order

09/10/2012

Kentucky Capital and Wealth Advisors LLC and Gary Ryan Rhoades 12AH0109

Agreed Order

06/27/2012

Hornet Oil and Gas Corporation 12AH0036

Final Order Denying Application for Investment Adviser Registration

05/31/2012

Titan Investment Group LLC Archie Searp and Jodi Funke 12AH0095

Agreed Order

04/20/2012

US Energy Partners Inc and Clay Shelton 11AH0155

Agreed Order

04/20/2012

US Energy Partners Inc and Clay Shelton 12AH0031

Agreed Order

04/20/2012

Sterne, Agee and Leach Inc 12AH0024

Agreed Order

03/13/2012

Angel Rose Energy LLC, Cody C Heer and Susana Lojan Heer 12AH0020

Agreed Order

03/07/2012

2011

Sunbelt Securities Inc 113011

Agreed Order

11/30/2011

Morgan Asset Managment Inc Et Al 101411

Final Order of Dismissal

10/14/2011

Pruco Securities LLC 092111

Agreed Order

09/21/2011

Global Network Partners BCI Inc and Charles S. Hanson 10AH1127

Agreed Order

08/19/2011

Geo-Sensors - Re-Con Drilling and Exploration Inc and Wolfgang B Bernhardt 072011

Final Order

07/20/2011

Rick-Rod Oil Company Inc Rickey Rodgers and Ron Rodgers 071511

Temporary Restraining Order and Joint Asnwer of Defendants

07/15/2011

Morgan Asset Management and Morgan Keegan 062811

Administrative Consent Order

06/28/2011

IL Bridge Fund LLC 060611

Agreed Order

06/06/2011

Private Client Services LLC 031411

Agreed Order

03/14/2011

Marshall Wealth Management 011111

Agreed Order

01/11/2011

Envit Capital Holdings - Envit Holdings Inc - Envit Capital LLC and Phil Gargano 010411

Final Order

01/04/2011

Statnet Corporation - Dr Steven Becker and Wesley Jaynes 010411

Final Order

01/04/2011

2010

Robert M Elmore 110210

Final Order Denying Application for Agent Registration

11/02/2010

Bruce Paige dba Destiny Oil Services Inc et al 10AH041

Final Order to Cease and Desist

10/14/2010

Bryan Scott Hurt 092310

Final Order Denying Application for Agent Registration

09/23/2010

Guy Setzer 090810

Agreed Order

09/08/2010

Silver Oak Securities Inc 062810

Agreed Order

06/28/2010

DandD Oil and Gas LLC and Dale Lowe 062510

Summary Order to Cease and Desist

06/25/2010

Allied Energy Inc 052810

Agreed Order

05/28/2010

The IL Bridge Fund LLC 050410

Stop Order Suspending the Sale of Securities

05/04/2010

Stifle-Nicolaus and Company Inc 042710

Administrative Consent Order

04/27/2010

UBS Securities LLC and UBS Financial Services Inc 042710

Administrative Consent Order

04/27/2010

Morgan Asset Management Inc -Morgan Keegan and Company - Others 040610

Joint Notice of Intent to Revoke Registration and Impose Administrative Penalty

04/06/2010

LPL Financial Corporation 031010

Settlement Agreement and Order

03/10/2010

East Fork Energy Partners Inc - E Gary Hogan - John T Brown - Andrew Bowles 09AH114

Agreed Order

02/19/2010

East Fork Energy Partners Inc - Others 021910

Order Setting Aside Summary Order to Cease and Desist

02/19/2010

TD Ameritrade Inc 012910

Administrative Consent Order

01/29/2010

Deutsche Bank Securities Inc 011110

Consent Order

01/11/2010

2009

Credit Suisse Securities USA LLC 120309

Administrative Consent Order

12/03/2009

Merrill Lynch Pierce Fenner and Smith Inc 120309

Administrative Consent Order

12/03/2009

Prosper Marketplace Inc 120309

Agreed Order

12/03/2009

JP Morgan Chase and Co 110409

Administrative Consent Order

11/04/2009

ValMark Securities Inc 110309

Agreed Order

11/03/2009

Ameriprise Financial Services Inc 102809

Agreed Order

10/28/2009

Prosper Marketplace Inc 100909

Administrative Consent Order

10/09/2009

RBC Capital Markets Corporation 100809

Administrative Consent Order

10/08/2009

Merrill Lynch - Pierce - Fenner and Smith Inc 120309

Administrative Consent Order

10/03/2009

David C Brown 092809

Agreed Order

09/28/2009

Kingdom Oil Inc and Ernest Cadick 091809

Order

09/18/2009

Robert M Elmore 082709

Order Denying Application for Agent Registration

08/27/2009

Young Oil Corp Et Al 081909

Finding of Fact, Conclusions of Law and Order

08/19/2009

Brian W Livingston and BWL Consulting 071009

Settlement Agreement and Agreed Order

07/10/2009

Virginia Hibbs and Hibbs Wealth Management Group Inc 070909

Agreed Administrative Order

07/09/2009

Merrill Lynch Pierce Fenner and Smith Inc 062209

Administrative Consent Order

06/22/2009

Young Oil Corporation 052209

Memorandum Opinion and Order

05/22/2009

Citigroup Global Markets Inc 051509

Administrative Consent Order

05/15/2009

Wachovia Securities LLC and Wachovia Capital Markets LLC 051409

Administrative Consent Order

05/14/2009

Questar Capital Corporation 042809

Settlement Agreement and Order

04/28/2009

Steve Bertram Moore Jr 043009

Agreed Order

04/28/2009

Highland Financial Management Inc 022009

Agreed Order

02/20/2009

Energy Exploration Inc - Jack Lee Markwell 021609

Stop Order Suspending the Sale of Securities

02/16/2009

Young Oil Corporation - Anthony Young - Ryan Stiles - Thomas Smith III 011609

Order Adding Relief Defendant

01/16/2009

2008

Young Oil Corporation - Anthony Young - Ryan Stiles - Thomas Smith III 122908

Order Appointing Receiver, Temprorary Restraining Order, Order Freezing Assets and Order for Accounting

12/29/2008

Ralph O Berry III 120308

Agreed Order of Dismissal

12/03/2008

Highland Financial Management Inc 112008

Agreed Order

11/20/2008

Paul Kellogg 111908

Agreed Administrative Banning Respondent from the Securities Industry in Kentucky

11/19/2008

Jerald L Woods 111208

Order to Cease and Desist

11/12/2008

Kenneth Ray Prevett Jr 100108

Settlement Agreement and Order

10/01/2008

Brian W Livingston and BWL Consulting 082908

Summary Order and Cease and Desist and Show Cause Order

09/29/2008

Kingdom Oil and Ernest Cadick 092808

Order

09/28/2008

Global Energy Group LTD 091508

Order of Contempt and Order to Cease and Desist

09/15/2008

Next Financial Group Inc 090908

Settlement Agreement and Order

09/09/2008

Paul W Kellogg 090808

Temporary Restraining Order

09/08/2008

Dolomite Energy LLC - Jerry P Finzell and Dave Hall 090508

Opinion Affirming and Remanding

09/05/2008

Kingdom Oil Inc and Ernest Cadick 090208

Order Setting Show Cause Hearing

09/02/2008

Thomas J Gorter 082608

Settlement Agreement and Order of Dismissal

08/26/2008

Prime Solutions LLC and Thomas E Hatton Sr 081308

Final Order Imposing for Fialure to Make Required Disclosures

08/13/2008

Jewell Robbins Et Al 071608

Order

07/16/2008

Michael Ray Ecton 071008

Agreed Order

07/10/2008

Money Concepts Capital Corporation 070408

Settlement Agreement and Order

07/04/2008

Dallas Seagraves and Independent Advisory Services Inc 062008

Agreed Order of Dismissal

06/20/2008

Prosper Marketplace Inc 062008

Agreed Order

06/20/2008

Leon Jasper-Gary Jasper-LGL Partners LLC 061908

Agreed Order

06/19/2008

Charles E Amos 060908

Agreed Order

06/09/2008

James M Jones and Brookstone Capital Management LLC 050208

Settlement Agreement and Order

05/02/2008

Justin Thad Tinsley 042408

Agreed Order to Cease and Desist

04/24/2008

Voice Video and Data Services - Russell E Preston 042208

Agreed Administrative Order

04/22/2008

Multiple One Group Inc and Swainson Hawke 033108

Final Order to Cease and Desist

03/31/2008

Paul Kellogg and Paul Kellogg and Associates Inc 031108

Order to Cease and Desist

03/11/2008

Paul Chad Bay 022508

Agreed Order

02/25/2008

Paul Kellog and Paul Kellog and Associates Inc 020808

Order to Cease and Desist

02/08/2008

Questar Capital Corporation 020408

Settlement Agreement and Order

02/04/2008

Mid-America Energy Inc - Gary M Milby and James E Simpson 012808

Default Order

01/28/2008

Mid-America Energy Inc - Gary Milby and James Simpson 011608

Agreed Order Dismissing James Simpson and Ordering Him to Cease and Desist

01/16/2008

Kingdom Oil Inc and Ernest Cadick 011408

Order

01/14/2008

Kingdom Oil Inc and Ernest Cadick 011208

Order

01/12/2008

2007

Anthony Prichard 110107

Temporary Restraining Order

11/01/2007

First Advantage Securities Corp and Kenneth G Mueller 110107

Settlement Agreement and Final Order

11/01/2007

Target Oil and Gas -Michael Smith 082307

Order

08/23/2007

Jim Fisher 081607

Agreed Order of Permanent Injunction

08/16/2007

Kingdom Oil Inc - Ernest Cadick 081307

Order

08/13/2007

Jupiter Energy LLC - Brian C Rose - Jason T Rose - Thomas N Nelson - Dawn R Nelson 080607

Final Order

08/06/2007

Target Oil and Gas - Michael Smith 062007

Order on Motion for Contempt

06/20/2007

Dolomite Energy LLC - Jerry P Finzel - Dave R Hall 061307

Order to Enforce Subpoena

06/13/2007

Jewell Robbins Et Al 051007

Order

05/10/2007

Target Oil and Gas - Michael Smith 051007

Order to Produce Documents

05/10/2007

First Advantage - Kenneth Mueller 043007

Final Order

04/30/2007

Mammoth Resource Partners Inc - Mammoth Resource Partners LLC and Roger Cory 041807

Agreed Order

04/18/2007

Amerihome Investment Corp - Ronald R Johnson 041007

Agreed Order

04/10/2007

Allied Syndications Inc dba Allied Energy Group - Richard Underwood - Others 040907

Final Order

04/09/2007

Photizo Group LLC 030907

Order of Registration Exemption

03/09/2007

Berry Resources Inc 020907

Final Order

02/09/2007

Equity Advisors of Kentucky Inc - Brian A Guilliom 013007

Final Order

01/30/2007

2006

John Patrick Anderson 102306

Default Order

10/23/2006

Kingdom Oil Inc and Ernest Cadick 101106

Final Order

10/11/2006

Berry Resources Inc and Ralph O Berry III 101006

Settlement Agreement

10/10/2006

Eastern Energy Corporation - Mark Kroman - William Champion - Donald Shultz 100506

Order Approving Settlement Agreement

10/05/2006

Anthony Prichard dba Genuine Investment Opportunity 100206

Agreed Order

10/02/2006

Wachovia Capital Markets 091106

Consent Order

09/11/2006

Michael Helms - Personally and Berkshire Capital 081506

Final Order

08/15/2006

First Financial Equity Corp 080806

Agreed Order

08/08/2006

Jewell Robbins aka Jewell Burgin and BD and J Enterprises 061506

Voluntary Permanent Injunction

06/15/2006

Basin Oil and Gas Corporation - Matrix Petroleum and Thomas Watkins 061406

Order of Contempt

06/14/2006

Jupiter Energy LLC - Brian Rose - Jason Rose - Thomas Nelson and Dawn Nelson 061206

Restraining Order

06/12/2006

2005

Clear Creek Oil and Gas Inc - Scott Thompson - WA Silvey Jr - Stan Napper 110705

Administrative Agreed Order of Settlement

11/07/2005

Jewell Robbins - BD and J Enterprises - William Burgin 082305

Show Cause Order

08/23/2005

Cleark Creek Oil and Gas - Scott Thompson - WA Silvey - Stan Napper 081105

Notice of Order of Hearing

08/11/2005

EnTerra Energy - David Rose - Energy Associates - Firm of Westbrook and Lang - Others 072905

Agreed Order of Permanent Injunction (NOTE: The Energy Associates named in this order is NOT the same firm as Energy Associates Inc located in Lexington, KY)

07/29/2005

Waddell and Reed Inc 070605

Consent Order

07/06/2005

Roger Jones 062005

Agreed Order

06/20/2005

Cumberland Energy LLC - Michael Davidson 061405

Order to Dismiss Administrative Complaint

06/14/2005

Stan Napper 061405

Agreed Order