Securities Division
Matthew J. Neubert - Director
1300 W. Washington St. 3rd Floor
Phoenix, AZ 85007
(602) 542-4242
(866) 837-4399
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Enforcement Actions
2008-Present
To search for specific companies or individuals on this page, use Edit/Find (Ctrl F).
 
To view a copy of the Notice in Adobe PDF format, click on the Date next to that Respondent's name.  You may obtain the Adobe PDF viewer at http://www.adobe.com.
 
To access the eDocket file containing all of the public documents filed in a case, click on the Respondent's name.  
 
For older Actions, click on archive 1999-2003 or 2004-2007.   
 
DateRespondent
January 30, 2012SouthWest BioFuels, LLC; Rick J. Jimenez; Susan C. Jimenez
January 27, 2012G4i Capital Partners, Inc. a.k.a. GCFI Group
January 12, 2012Mountain State Power, Inc. d.b.a. Sovereign Energy Partners, Inc. and Sovereign Energy International
January 11, 2012Roger D. Woods; Jocelyn Dela Cruz Clemente (a.k.a. Joy Clemente, Jocelyn Woods, and Joy Woods); Phoenix Funding, LLC
December 20, 2011Thomas Laurence Hampton (CRD# 2470192); Stephanie Yager; Hampton Capital Markets, LLC
December 20, 2011Richard M. Schmerman (CRD# 1302988) d.b.a. Diversified Financial and/or Diversified Financial Planners; Amy Schmerman
November 10, 2011Thomas Laurence Hampton; CRD# 2470192; Jane Doe Hampton; Hampton Capital Markets, LLC
October 20, 2011David 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)
July 18, 2011Terry L. Samuels; Elizabeth Samuels; James F. Curcio; Jill L. Curcio; 3-CG, LLC; Choice Property Group, LLC; Azin Investor Group, LLC; Azin Investor Group II, LLC; Azin Investor Group III, LLC; Azin Investor Group IV, LLC; Combined Holdings IV, LLC; Combined Holdings V, LLC
June 14, 2011Gary Patrick Duffy (CRD #1779786); The Investment Advisory Group, L.L.C.
June 8, 2011Rodolfo Alvarez (CRD No. 4375595); Laura Gonzalez
June 6, 2011Beverly Michele West; Ross West
May 23, 2011Craig Randal Munsey; Jane Doe Munsey; Marketing Reliablity Consulting, LLC d.b.a. MRC LLC; Denver Energy Exploration, LLC
May 2, 2011Kent M. Axtell, d.b.a. Sherlock Homes and Finding Homes for Investors; Janis C. Axtell; Executive Real Estate Solutions, L.L.C.
April 6, 2011Fred Otto Bohn; Marsha Bohn; Capital Oil & Gas, Limited (a.k.a. Capital Oil & Gas, Ltd. f.k.a. Omni Petroleum Limited)
March 16, 2011Weldon Beall; Weldon LLC
March 11, 2011David Shorey; Mary Jane Shorey; Westcap Energy Inc. d.b.a. Westcap Solar
March 8, 2011David Shorey; Mary Jane Shorey; Westcap Energy Inc. d.b.a. Westcap Solar
March 1, 2011Maglev Wind Turbine Technologies, Inc.; Maglev Renewable Energy Resources, Inc.; Renewable Energy Development, Inc.; Renewable Energy Systems, Inc.; Edward L. Mazur; Jane Doe Mazur; Ronnie Williams; Jane Doe Williams; Mag T Inc.; RLgman Corp.; Stable, LLC; Richard L. Green; Donald Andrew Rothman
February 2, 2011Edward Joseph Barsano a.k.a. Ed Barsano; Jeanne Barsano; Robert Coleman Stephens a.k.a. Bob Stephens; Jane Doe Stephens; CoolTrade, Inc.
February 2, 2011Jerry Martin Tolle, Sr.; Jane Doe Tolle; Cashflow Investment Properties, LLC; Jason Mendoza (CRD# 5528287); Jane Doe Mendoza
January 18, 2011Attila G. Toth (CRD# 2565633); Erin M. Hall
December 30, 2010Scott Ryan Tischler (CRD #3248953) d.b.a. Jericho Capital Group; Jane Doe Tischler; Jericho Oil & Gas, LLC; Lake Valley Petroleum, LLC
December 23, 2010
Edwin A. Sanchez; Melissa Sanchez; Gregory Rigby; Jane Doe Rigby; New Rise Investments, L.L.C. f.k.a. New Egg Investments, L.L.C.; AZ Real Estate Group, L.L.C.
December 16, 2010King Solomon Mining, L.L.C.; Daniel F. Thompson, Sr.; Robin Ann Thompson; Lisa A. Shackley
December 16, 2010Mark Steven Moroney; Linda Sue Moroney
December 15, 2010Kenneth Joseph Plein; Mary Kathryn Plein (a.k.a. Mary Kay Plein); Kenneth Joseph Plein and Mary Kathryn Plein (a.k.a. Mary Kay Plein), Co-Trustees of the Plein Family Trust u.t.a. dated December 1, 1993; Plein Enterprises Incorporated (d.b.a. Tri-Star Realty)
December 10, 2010Arthur Brent Payne; Carolyn L. Payne; Michael Richard Olson; Jane Doe Olson; Steeple Rock Funding, L.L.C.; Granite Loan Fund, L.L.C.
December 8, 2010Rob Thomas Hitchcock (CRD# 2946739) d.b.a. Pillar Investment Services; Shelly Hitchcok
November 15, 2010Joseph Mack d.b.a. Secure Retirement Solutions; Helen Marie Mack; Mack Financial Group, L.L.C.; Darin Whittington, CRD #2569037; Gina Whittington
October 21, 2010Joseph Cosenza; Andrea Benson; U.S. Media Team, L.L.C.; Thomas Brandon; Diane M. Brandon; Cell Wireless Corporation f.k.a. U.S. Social Scene; David Shorey; Mary Jane Shorey
October 14, 2010Ulf Olof Holgersson and Laverne J. Abe d.b.a. Viking Asset Management
October 7, 2010Jere Parkhurst and Michelle Parkhurst d.b.a. C-Street Financial Group and C-Street Development, L.L.C.; C-Street Holdings, L.L.C.; Phoenix Financial Holdings, L.L.C. 
September 23, 2010Norstreet Portfolio, L.L.C.; Nathan Nordstrom; Lorrie Beckham (f.k.a. Lorrie Nordstrom); Wayne Scott Clague; Karen Stensler (f.k.a. Karen Clague)
September 21, 2010Brian Patrick Langenbach d.b.a. "Land-Corp of Arizona, Inc."; Sheri Lynn Barbara Langenbach
September 9, 2010Richard M. Schmerman d.b.a. Diversified Financial and/or Diversified Financial Planners; Amy Schmerman
August 17, 2010Five Star Capital Markets, LLC; James Piccolo; Mary Elizabeth Piccolo; Craig Cottrell, CRD# 4552833; Andrea Cottrell; Charlevoix Homes, LLC;  Michael Roberts
August 2, 2010Steven Dale Morrey d.b.a. Mayet, Inc.; Jennifer Morrey; Mayet Holdings, L.L.C. d.b.a. Mayet Holdings, Ltd. 
July 21, 2010Ethan Sturgis Day; Theresa Day; Silversprings Real Estate Development & Investments, L.L.C. f.k.a. Silverleaf Real Estate Development & Investments, L.L.C.; Desert Oasis Condominium, L.L.C.; The Mayan Resort & Casino, L.L.C.
July 9, 2010Lamel G. Young a.k.a. Mel Young d.b.a. Powerball Records & Entertainment; Jane Doe Young
May 26, 2010La Bella Investments, LLC; James Mitchell; Deseree T. Mitchell
May 21, 2010Kenneth Williams d.b.a. KWD Commercial Construction Services; Jane Doe Williams
April 20, 2010Global Trading Partners, L.L.C.; Michael Eugene Gowens; Jane Doe Gowens
April 19, 2010Todd Allan Hoss individually and d.b.a. Sellman Weis Mortgage & Investment Corporation and Chesterfield Mortgage Investment Corporation; Jane Doe Hoss; Rick Sellman individually and d.b.a. Sellman Weis Mortgage & Investment Corporation and Chesterfield Mortgage Investment Corporation; Jane Doe Sellman; Sellman Weis Mortgage & Investment Corporation
February 19, 2010David E. Walsh and Lorene Walsh d.b.a. New York Networks, Inc. f.k.a. Jubilee Acquisition Corporation and as Caliper Acquisition Corporation; The New York Network, Inc.; The New York Networks, Inc.; Christopher A. Jensen; Julie Shayne Jensen; Rodolfo Preciado; Jane Doe Preciado
February 4, 2010Carol Dee Aubrey; John Doe Aubrey; Progressive Energy Partners, L.L.C.; Progressive Energy Partners, L.L.C. #1; Progressive Energy Partners, L.L.C. #2; Progressive Energy Partners, L.L.C. #3; Progressive Energy Partners, L.L.C. #4
January 5, 2010Barron Wilson Thomas; Barron Thomas Scottsdale, L.L.C.; Barron Thomas Aviation, Inc.; Barron Thomas Aviation Holdings, Inc.; Barron Thomas Southwest, Inc.
December 30, 2009Morgan Financial, L.L.C.; Jimmy Hartgraves Jr.; Laurie Hartgraves
December 23, 2009Miko D. Wady; Jennifer L. Savage (f.k.a. Jennifer L. Wady); Nato Enterprises, L.L.C.; Malika S. Smith; Kory C. Smith; Bobby G. Goodson; Pamela D. Goodson; CAA General Partnership; Mario K. Reed; Phoenician Entertainment, L.L.C.; Thurston Smith; Shavone Smith; B.Y.B. Entertainment, L.L.C.
December 17, 2009Five Star Tree Service and Landscaping, L.L.C.; Richard McCullum, Jr.; Leah Atwood
December 8, 2009Theodore J. Hogan & Associates, LLC a.k.a. Ted Hogan and Associates; Theodore J. Hogan a.k.a. Ted Kills in the Fog; Christina L. Damitio a.k.a. Christina Hogan
November 16, 2009MJG Enterprises, Inc. d.b.a. Mike's Lock Club; Anthony Boscarino (a.k.a. Mike Brown and Anthony Kokas); Marguerite Jeane Gerhart (a.k.a. Marguerite Boscarino) 
October 20, 2009Larry Wayne Ziegler (a.k.a. Zig Ziegler); Troy Dee Truvillion; Jenia Dimitrova; Motion DNA, Inc.
October 20, 2009Michael T. Bell; Shawn R. Salazar; Adamas Investments, L.L.C. 
October 9, 2009Rex G. Wheeler, Jr. 
September 24, 2009Sir Mortgage & Finance of Arizona, Inc.; Gregory M. Sir a.k.a. Greg Sir; Erin M. Sir
September 23, 2009Richard Miles Dorman; Rebecca Dorman; Michael Vincent Ring; Kelly Ring; Elysium Capital Group, L.L.C.
August 20, 2009Jordan Crossing Properties, LLC; Chris Blackford; Nicole Blackford 
August 6, 2009Thomas Anthony Labry d.b.a. Iron Horse Petroleum, Inc.; Jane Doe Labry 
August 4, 2009Energetics, Inc.; Steven P. Giuffrida; Michelle Giuffrida; Rodney Peterson; Jane Doe Peterson 
July 31, 2009Jolleen K. Hansen; Nathan E. Hansen; Thomas S. Blackwell (CRD # 4370822); Kimberly Blackwell; Deluxe Designs International, LLC; Deluxe Live Productions
July 27, 2009Michael C. Reynolds; Tanzia Reynolds; Cash 2 U, LLC; Dos Ninas, LLC; Par 3 Management, LLC
July 22, 2009Thomas Anthony Labry d.b.a. Iron Horse Petroleum, Inc.; Jane Doe Labry 
June 26, 2009John W. Pacheco; Angela Pacheco; Bill L. Walters; Jacquelyn Walters; Financial American Corporation; The Financial American Group, LLC; American Apartment Fund XI, LP 
May 21, 2009Secure Resolutions, Inc.; Douglas Cottle; Kyla Cottle
May 20, 2009Green Panel Corporation; Joseph Samuel Burton; Bonnie Eileen Burton; Panelized Building Systems of Prescott, L.L.C. (a.k.a. "Panelized Building Systems")
April 24, 2009Dustin J. Lunt (CRD #4705919); Kami E. Lunt; DJL & Associates, LLC
April 24, 2009Thomas S. Blackwell (CRD #4370822); Kimberly Blackwell; Team Heat, LLC
April 22, 2009Lamont C. Paterson II a.k.a. Folo Patterson d.b.a. Olof Enterprises; Eletrea L. Patterson; Olof Enterprises, LLC
April 21, 2009Robert W. Mangold; Michelle M. Mangold; One Source Mortgage & Investments, Inc.; Strategic Equity Investments, LLC
March 27, 2009Sports Dimensions, Inc.; Marc Hubbard; Jane Doe Hubbard
March 13, 2009West Mining and Innovations, Inc.; Avison C. (AC) West; Barbara M. West
March 12, 2009Radical Bunny, LLC; Horizon Partners, LLC; Tom Hirsch a.k.a. Tomas N. Hirsch; Diane Rose Hirsch; Berta Friedman Walder a.k.a. Bunny Walder; Howard Evan Walder; Harish Pannalal Shah; Madhavi H. Shah
March 4, 2009Dona Kuryanowicz
February 27, 2009Dan Wise; Cynthia Wise; Whispering Winds Properties, LLC; LM Beagle Properties, LLC; Karlena, Inc.; Axis International, Inc.
February 19, 2009David W. Cole; Siiri Cole; Highline Estates, LLC; Mutual Financial Services, LLC d.b.a. MFS Real Estate Division and MFS Investments; Dream Craft, LLC; Scot A. Oglesby d.b.a. Arizona Asset Management; Lori Ann Oglesby; Randy K. Ward (CRD # 4137944) d.b.a. Arizona Asset Management; Sharon Ward
February 18, 2009Steve John Rogan; Carol Ann Richey; Dem Bonz Barbecue Restaurants, LLC; Pizazz, LLC
January 29, 2009Kyle Schmierer d.b.a. Amadin; Jane Doe Schmierer
January 16, 2009Nicholas (Nick) S. Ballard d.b.a. Oasis of Wealth, Inc.; Oasis of Wealth; AZ Gold & Safaris, Inc.; Jane Doe Ballard
January 15, 2009Jeffrie Harper (CRD# 2863910) a.k.a. Jeff Harper; Kathleen Janice Harper; Donald Robert Mattson Jr a.k.a. Rob Mattson; Jane Doe Mattson; Knuckleball Capital Management, LLC
January 13, 2009James Jonathon Fraser Buchanan (CRD# 2452897); Lori A. Buchanan
January 12, 2009Energetics, Inc.; Steven P. Giuffrida; Michelle Giuffrida
December 23, 2008Mayra Jeanette Angulo (CRD# 2221337); Mark Islas (CRD# 1953882) d.b.a. IFS Group
November 5, 2008Gerald Edwin Patchen II; Jane Doe
October 10, 2008Mark A. Westerfield (CRD# 4234248); Victoria H. Westerfield
Ocotober 9, 2008Dean A. Severns; Cheryl E. Severns; Severns Properties, LLC; Severns Capital, LLC; J.Dean, LLC
September 30, 2008Robert Franklin Hockensmith Jr. (CRD# 1798614)
September 30, 2008Randie Balbas; Leila Balbas
September 29, 2008Wolfepack Transportation, Inc. a.k.a. Wolfpack Transportation, Inc.; Michael L. Hairston, Sr.; Sheila Hairston
September 23, 2008James Leroy Costello (CRD# 1501345) d.b.a. Costello & Associates Financial; Linda S. Costello
September 18, 2008Jerome William Carter d.b.a. Good Only Done Productions, L.L.C.; Jane Doe Carter; The Greatest Only Divine Productions, L.L.C.
September 12, 2008 Mayra Jeanette Angulo (CRD# 2221337); Mark Islas (CRD# 1953882) d.b.a. IFS Group 
September 12, 2008Helmut Weber d.b.a. Weber Capital Management; Vera Weber
September 12, 2008Patrick Allen Roberts; Sheri L. Krouse; Motors De Amigos, Inc.; Rock'N R Car Company Enterprises, Inc. d.b.a. R&R Remarketing
September 11, 2008James Jonathon Fraser Buchanan (CRD# 2452897); Jane Doe Buchanan
August 28, 2008Guillermo Ricardo De La Vara a.k.a. William De La Vara and Bill De La Vera d.b.a. Mortgage Notes; MNI Properties, LLC; Erlinda De La Vara a.k.a. Erlinda G. Lopez
August 21, 2008Southern Homes, LLC; Charles Bruce Ferguson; Jane Doe Ferguson
August 12, 2008Antonia Boblett a.k.a. Toni Boblett and/or Antonia Loera-Marks
August 1, 2008Stanley Lane Boblett (CRD #2209980) a.k.a. Lane Boblett; Antonia Boblett a.k.a. Toni Boblett a.k.a. Antonia Loera-Marks; Pacific Coast Holding Company; Hall of Fame Partners, LLC
July 23, 2008CAG Capital, Inc. d.b.a. Glendale Car Connection; Kim K. Collins; Jane Doe Collins
July 23, 2008Richard Bradford (CRD# 2706290); Cindy Bradford a.k.a. Cindy White
July 22, 2008Trademark Capital Management, LLC; Blue Investments, LLC; Travis Richey; Melissa Boyd
July 22, 2008Robert Preston Ingram; Jane Doe Ingram
July 3, 2008Mark W. Bosworth; Lisa A. Bosworth; Stephen G. Van Campen; Diane V. Van Campen; Michael J. Sargent; Peggy L. Sargent; Robert Bornholdt; Jane Doe Bornholdt; Mark Bosworth & Associates, LLC; 3 Gringos Mexican Investments, LLC
April 17, 2008Deborah Cheryl Bennett; A. James Bennett, M.D.
March 20, 2008Panama Capital Funding, LLC; Benjamin Ray O'Toole; International Funding Network; Panagreen Bio Fuels, Inc.; Algaecake Technologies Corporation; Jane Doe O'Toole; Christopher Shane Strickland; Jane Doe Strickland
February 28, 2008Kuypow, Inc.; Mo's Properties & Investment Group; Morris Clyde Kuykendall; Mo Kuykendall; Judy E. Powers
February 27, 2008Asset Salvation Group, LLC; Jack Robert Erickson, Sr; Jane Doe Erickson; JRE Holdings Trust; Dust to Dream Development Group, LLC
January 10, 2008Donna Marie Shurot
January 25, 2008Scott Hutchinson; Jane Doe Hutchinson; Marine 3
January 15, 2008  Lingerie Nights DVD Magazine, LLC; Raymond Javier Duran; Jane Doe Duran; Richard B. Cuen; Jane Doe Cuen

 

 

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