Securities Division
Matthew J. Neubert - Director

1300 W. Washington St. 3rd Floor
Phoenix, AZ 85007
(602) 542-4242
(866) 837-4399
 

Enforcement Orders
2008 - Present
 
To search for specific companies or individuals on this page, use Edit/Find (Ctrl F).  
 
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To access all of the public documents in a case, go to the Enforcement Actions page, find the case and click on the case name. You can also click on the eDocket icon at the bottom of this page and search for the case there. 

For older Orders, click on archive 
2004-2007  or  1999-2003
Date FiledCompany/IndividualDecision #
September 15, 2014Shane F. Krauser; Janelle Krauser; Krauser Investment Group, L.L.C.74751
September 15, 2014Patrick Leonard Shudak74743
August 12, 2014Neoteric Energy, Inc.;  Kevin D. Grace; and Madelynn R. Jones (CRD #4482773)74696
June 20, 2014Craig Randal Munsey; Marketing Reliability Consulting, L.L.C.; Denver Energy Exploration, L.L.C.; Michael Lee Christopher74565
June 20, 2014Monika Catlin (individually and as Trustee of the MLC Living Trust Dated 3-17-99); Damopa Investments, L.L.C.; Monika Catlin, L.L.C.74553
June 2, 2014Catharon Software Corporation; Betsy A. Feinberg; Michael A. Feinbergn/a
May 23, 2014Nordstrom Nordstrom I, Inc.;  Nordstrom Imports, Inc.74496
March 24, 2014Neoteric Energy, Inc.; Kevin D. Grace; Madelynn R. Jones (CRD #4482773)n/a
March 13, 2014Todd R. Nuttall; Magdalena Homes, L.L.C.; Rotall Marketing Group L.L.C. d.b.a. Direct Rev Millionaire; Todd Robert Homes, Inc.74405
February 27, 2014Nathaniel J. Wilson74375
February 26, 2014Catharon Software Corporation; Betsy A. Feinberg; Michael A. Feinbergn/a
January 29, 2014Jon Joseph Bauman (CRD #5007841)74303
January 29, 2014James F. Liebes (CRD #2332174); Lanesborough Financial Group, L.L.C.74302
January 7, 2014Nicole Kordosky74251
January 7, 2014Thomas Laurence Hampton (CRD #2470192); Stephanie Yager; Hampton Capital Markets, L.L.C. 74240
January 7, 2014Britt M. Lachemann (CRD #4375135)74239
November 5, 2013James F. Liebes (CRD #2332174); Lanesborough Financial Group L.L.C.n/a
October 25, 2013Weldon Beall; Weldon L.L.C.74149
October 25, 2013Ride Hard and Pray, L.L.C.; Robert J. Dudek (a.k.a. Bobby D. and Bobby Dudek); Renita G. Dudek74148
October 25, 2013Brian N. Buckley; Cheryl Barrett Buckley74147
September 23, 2013TV Products L.L.C. f.k.a. US Loans Negotiation L.L.C.; Stephen Christopher Donovan74096
September 6, 2013Nathaniel J. Wilsonn/a
August 16, 2013Arizona Gold Processing, L.L.C.; AZGO, L.L.C.; Charles L. Robertson74044
July 30, 2013Patrick B. Hammons (CRD #1030468); Peri Ann Hammons (a.k.a. Peri Ann Brown); TF6 Advisors, L.L.C. d.b.a. TFG Advisors; Pacific Ventures and Trading L.L.C.74018
July 30, 2013Donna Kay Beers (CRD #1172038); James Beers74017
July 30, 2013Morrie S. Friedman; Judith Ann Friedman74016
July 30, 2013Promise Land Properties, L.L.C.74015
June 27, 2013Laverne J. Abe73924
June 27, 2013International Air Medical Services, Inc.; Thomas F. Kelley; Laura Kelley73920
June 27, 2013

Christopher Dean Dedmon (CRD #3015575); Kimberly Dedmon; SDC Montana Consulting, L.L.C. (a.k.a., d.b.a., a.b.n. SDC Montana and SDC Montana Oil & Gas Exploration)

73919
June 27, 20133T Options, L.L.C.; Tyrone L. Brooks73918
May 8, 2013Casimer Polanchek73867
May 8, 2013Lynn R. Goldney (CRD #1325181); Valerie L. Goldney73866
May 8, 2013Robert R. Cottrell (a.k.a. Rob Cottrell);  RSC Adventures, L.L.C.73865
May 8, 2013Crystal Pistol Resources, L.L.C.; Crystal Pistol Management, L.L.C.; Liberty Bell Resources, L.L.C.; Peter Pocklington; John M. McNeil73864
March 21, 2013Parker Skylar & Associates, L.L.C.73784
March 21, 2013

David Shorey; Mary Jane Shorey; Westcap Energy, Inc. d.b.a. Westcap Solar

73775
March 21, 2013

Horizon Partners, L.L.C.; Tom Hirsch; Diane Rose Hirsch; Berta Freidman Walder a.k.a. Bunny Walder; Howard Evan Walder; Harish Pannalal Shah; Madhavi H. Shah

73768
February 20, 2013

Brian Patrick Langenbach; Sheri Lynn Barbara Langenbach; Earth Explorations, L.L.C.

73726
February 20, 2013

True North Business Ventures L.L.C.; Marvin Quinton; Krista Dianne Wilson

73725
February 7, 2013

Arizona Gold Processing, L.L.C.; AZGO, L.L.C.; Charles L. Robertson

n/a
February 6, 2013Tri-Core Mexico Land Development, L.L.C.73667 
February 6, 2013 Pangaea Investment Group, L.L.C. d.b.a. Arizona Investment Center73666
February 6, 2013Joshua Trent (CRD #3096291) d.b.a. PHXiNVEST; Derek Dahl d.b.a. PHXiNVEST; Tasha Trent Dahl; Real Estate Monster, L.L.C. 73665 
February 6, 2013Andrew C. Menichino; Innovative Construction, Inc.; Atlantic Lexus, Ltd.73664 
February 6, 2013Huel Cox (CRD #1638341)73663
February 6, 2013Thomas Brandon; Diane M. Brandon; Cell Wireless Corporation f.k.a. U.S. Social Scene; David Shorey; Mary Jane Shorey73656
December 12, 2012Ronnie Williams73624
December 12, 2012Edward L. Mazur73623
December 12, 2012

Maglev Wind Turbine Technologies, Inc.; Maglev Renewable Energy Resources, Inc.; Renewable Energy Development, Inc.; Renewable Energy Systems, Inc. 

73622 
December 12, 2012Deborah Cheryl Bennett (n.k.a. Deborah Cheryl Paura); A. James Bennett, M.D.73621
December 12, 2012Larry L. Goldman; MT Explorations, L.L.C.73609
October 24, 2012Joshua Trent (CRD #3096291) d.b.a. PHXiNVEST; Derek Dahl d.b.a. PHXiNVEST; Tasha Trent Dahl; Real Estate Monster, L.L.C.n/a
October 16, 2012Alonzo L. Russell; A.L. Russell & Associates L.L.C.; RE-STAR L.L.C.; RE-STAR Holdings L.L.C.73552
October 16, 2012Benjamin M. Cvetkovich; Sterling Investments Group International, L.L.C.; George A. Pruden; Janet F. Pruden73550
October 16, 2012Chazel Capital, Inc.; OFIR Mine Project, LP; Kyle K. Huskin73549
September 21, 2012Joshua Trent (CRD #3096291) d.b.a. PHXiNVEST; Derek Dahl d.b.a. PHXiNVEST; Tasha Trent Dahl; Real Estate Monster, L.L.C.n/a
August 21, 2012Morgan Financial, L.L.C.; Morgan Financial Lenders, L.L.C.; Jimmy Hartgraves, Jr.; Laurie Hartgraves73358
August 21, 2012Roger D. Woods; Jocelyn dela Cruz Clemente (a.k.a. Joy Clemente, Jocelyn Woods and Joy Woods); Phoenix Funding, L.L.C.73341
August 21, 2012Mountain State Power, Inc. d.b.a. Sovereign Energy Partners, Inc. and Sovereign Energy International73340
July 30, 2012Beverly Michele West; Ross West73280
July 30, 2012

Southwest Biofuels, L.L.C.; Rick J. Jimenez; Susan C. Jimenez

73279
June 26, 2012

David E. Walsh d.b.a. New York Networks, Inc. (f.k.a. Jubilee Acquisition Corporation and as Caliper Acquisition Corporation), the New York Network, Inc., and The New York Networks, Inc.; Lorene Walsh

73246
April 25, 2012Chazel Capital, Inc.; OFIR Mine Project, LP; Kyle K. Huskinn/a
April 17, 2012G4i Capital Partners, Inc. a.k.a. GCFI Group73119
April 17, 2012James F. Curcio; Jill L. Curcio; AZIN Investor Group, L.L.C.; AZIN Investor Group II, L.L.C.; AZIN Investor Group III, L.L.C.; AZIN Investor Group IV, L.L.C.; Combined Holdings IV, L.L.C.; Combined Holdings V, L.L.C.73118
April 17, 2012Arthur Fried73117
April 17, 2012Robert Coleman Stephens a.k.a. Bob Stephens73116
April 17, 2012Kent M. Axtell d.b.a. Sherlock Homes and Finding Homes for Investors; Janis C. Axtell; Executive Real Estate Solutions, L.L.C.73115
April 6, 2012Arizona Gold Processing, L.L.C.; AZGO, L.L.C.; Charles L. Robertsonn/a
March 16, 2012Steven M. Netzel (CRD #2863170)73061
March 16, 2012E*TRADE Securities L.L.C.73060
March 16, 2012Comprehensive Cash Flow Funding, Inc.; WeBuyHomesInAZ, L.L.C.; My Bargain Gift Bag, L.L.C. f.k.a. Brooklyn Boys Ventures, L.L.C.; Loan Mod Shrink, L.L.C. f.k.a. Escalade Ventures, L.L.C.73059
February 24, 2012MAG T Inc.; RLGMAN Corp.; Stable, L.L.C.; Richard L. Green; Donald Andrew Rothman72901
February 24, 2012Brian Matthew Borakowski (CRD #4093679); Natalya Borakowski, Echo Canyon L.L.C.72900
February 24, 2012George Alexander Kardaras (CRD #3184384)72899
February 22, 2012Out of the Blue Processors, L.L.C. d.b.a. Out of the Blue Processors II, L.L.C.; Mark Steiner (CRD #1834102); Shelly Steinern/a
February 2, 2012Edward Joseph Barsano a.k.a. Ed Barsano; Jeanne Barsano; CoolTrade, Inc.72804
February 2, 2012Terry L. Samuels; Elisabeth Samuels; 3-CG, L.L.C.; Choice Property Group, L.L.C.72803
January 30, 2012SouthWest BioFuels, L.L.C.; Rick J. Jimenez; Susan C. Jimenezn/a
January 12, 2012Mountain State Power, Inc. d.b.a. Sovereign Energy Partners, Inc. and Sovereign Energy Internationaln/a
January 11, 2012Roger D. Woods; Jocelyn Dela Cruz Clemente (a.k.a. Joy Clemente, Jocelyn Woods, and Joy Woods); Phoenix Funding, L.L.C.n/a
December 20, 2011Thomas Laurence Hampton (CRD #2470192); Stephanie Yager; Hampton Capital Markets, L.L.C.n/a
November 10, 2011Thomas Laurence Hampton (CRD #2470192); Jane Doe Hampton; Hampton Capital Markets, L.L.C.n/a
October 14, 2011Fred Otto Bohn; Marsha Bohn; Capital Oil & Gas, Limited (a.k.a. Capital Oil & Gas, Ltd, f.k.a. Omni Petroleum Limited)72623
September 15, 2011Ulf Olof Holgersson d.b.a. Viking Asset Management72588
September 15, 2011Jere Parkhurst d.b.a. C-Street Financial Group and C-Street Development, L.L.C.; Michelle Parkhurst; C-Street Holdings, L.L.C.; Phoenix Financial Holdings, L.L.C.72583
August 17, 2011Gary Patrick Duffy (CRD #1779786); The Investment Advisory Group, L.L.C.72526
August 17, 2011Joseph Cosenza; U.S. Media Team, L.L.C.72525
August 17, 2011Rodolfo Alvarez (CRD #4375595); Laura Gonzalez72524
August 3, 2011Attila G. Toth (CRD #2565633); Erin M. Hall72507
June 22, 2011Arthur Brent Payne; Michael Richard Olson; Granite Loan Fund, L.L.C.; Carolyn L. Payne; Jane Doe Olson; Steeple Rock Funding, L.L.C.72427
June 22, 2011Scott Ryan Tischler (CRD #3248953), individually and d.b.a. Jericho Capital Group; Jericho Oil & Gas L.L.C.; Lake Valley Petroleum L.L.C.72426
June 22, 2011Jerry Martin Tolle, Sr.; Cashflow Investment Properties, L.L.C.; Jason Mendoza (CRD #5528287)72425
June 22, 2011Christopher A. Jensen; Julie Shayne Jensen; Rodolfo Preciado; Linda Marie Preciado72424
May 23, 2011Craig Randal Munsey; Jane Doe Munsey; Marketing Reliablity Consulting, L.L.C. d.b.a. MRC L.L.C.; Denver Energy Exploration, L.L.C.n/a
May 4, 2011Joseph Mack; Helen Marie Mack; Mack Financial Group, L.L.C.; Darin Whittington (CRD #2569037); Gina Whittington72284
April 15, 2011Energetics, Inc.; Steven P. Giuffrida; Michelle Giuffrida72266
April 15, 2011Ethan 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.72265
April 15, 2011Rob Thomas Hitchcock (CRD #2946739); d.b.a. Pillar Investment Services; Shelly Hitchcock72264
April 15, 2011Robert Preston Ingram; Cruzita A. Ingram a.k.a. Cruzita A. Carrillo72263
April 15, 2011Mark Steven Moroney; Linda Sue Moroney72262
March 21, 2011Kenneth Joseph Plein; Mary Kathryn Plein; Kenneth Joseph Plein and Mary Kathryn Plein, Co-Trustees of The Plein Family Trust U/T/A dated December 1, 1993; Plein Enterprises Incorporated72238
March 21, 2011David Come Viens; Scott Andrew Klaschka; Assisted Living Development Company, Inc.; ALDCO Investment #2 L.L.C.; ALDCO Investment #3 L.L.C.; ALDCO Investment #4 L.L.C.; ALDCO Investment #5 L.L.C.; ALDCO Investment #6 L.L.C.; ALDCO Investment #10 L.L.C. 72236
March 21, 2011USDB Group Inc. a.k.a. US Deposit Brokers Group a.k.a. USDB; Hartawan Widayatmo72235
March 21, 2011Edwin A. Sanchez; Melissa Sanchez; Gregory Rigby; New Rise Investments, L.L.C. (f.k.a. New Egg Investments, L.L.C.); AZ Real Estate Group, L.L.C.72234
March 21, 2011King Solomon Mining, L.L.C.; Daniel F. Thompson, Sr.; Robin Ann Thompson; Lisa A. Shackley72233
March 3, 2011Charlevoix Homes L.L.C.; Michael Roberts72212
March 3, 2011Five Star Capital Markets L.L.C.; James Piccolo; Mary Elizabeth Piccolo72211
March 3, 2011Craig Cottrell; Andrea Cottrell72210
March 3, 2011Theodore J. Hogan & Associates, L.L.C. 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 Hogan72209
March 3, 2011Mario K. Reed; Phoenician Entertainment, L.L.C.72206
March 3, 2011Wayne Scott Clague; Karen Stensler f.k.a. Karen Clague72205
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.n/a
February 2, 2011Jerry Martin Tolle, Sr.; Jane Doe Tolle;  Cashflow Investment Properties, L.L.C.; Jason Mendoza (CRD #5528287); Jane Doe Mendozan/a
December 30, 2010Scott Ryan Tischler (CRD #3248953) d.b.a. Jericho Capital Group; Jane Doe Tischler; Jericho Oil & Gas, L.L.C.; Lake Valley Petroleum, L.L.C.n/a
December 22, 2010Edwin 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.n/a
December 16, 2010King Solomon Mining, L.L.C.; Daniel F. Thompson, Sr.; Robin Ann Thompson; Lisa A. Shackleyn/a
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.n/a
December 10, 2010Norstreet Portfolio, L.L.C.; Nathan Nordstrom; Lorrie Beckham (f.k.a. Lorrie Nordstrom)      72044
December 10, 2010Thurston Smith; B.Y.B. Entertainment, L.L.C.   72038
December 10, 2010Bobby G. Goodson72037
November 08, 2010Robert W. Mangold; Michelle M. Mangold; One Source Mortgage & Investments, Inc.; Strategic Equity Investments, L.L.C.71964 
November 08, 2010Barron Wilson Thomas; Barron Thomas Scottsdale, L.L.C.; Barron Thomas Aviation, Inc.; Barron Thomas Aviation Holdings, Inc.; Barron Thomas Southwest, Inc.71963
November 08, 2010Brian Patrick Langenbach; Sheri Lynn Barbara Langenbach71962
November 08, 2010Malika S. Smith; CAA General Partnership71961
October 12, 2010 Michael T. Bell; Shawn R. Salazar; Adamas Investments, L.L.C.71921
October 12, 2010 Carol Dee 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 71920
October 12, 2010Five Star Tree Service and Landscapes, L.L.C.; Richard McCullum Jr.; Leah Atwood 71919
October 12, 2010Rick Sellman; Sellman Weis Mortgage & Investment Corporation 71918
October 12, 2010 Lamel G. Young a.k.a. Mel Young individually and d.b.a. Powerball Records & Entertainment 71916
October 12, 2010Steven Dale Morrey; Jennifer Morrey; Mayet Holdings, L.L.C.71915
August 25, 2010Global Trading Partners, L.L.C.; Michael Eugene Gowens71852
August 25, 2010Grand Canyon Land Company, L.L.C.; Grand Canyon Theme Park Holdings, L.L.C.; Grand Canyon Theme Park Investments, L.L.C.; Jorge Adan Cordova; Cornelis Jan Buitenhuis; Wendy Buitenhuis71851
August 25, 2010Todd Allan Hoss71850
August 25, 2010La Bella Investments, L.L.C.; James Mitchell71849
August 25, 2010MJG Enterprises, Inc.; Anthony Boscarino; Marguerite Jeane Gerhart71848
August 3, 2010Five Star Tree Service and Landscapes, L.L.C. a.k.a. Five Star Tree Service; Richard McCullum, Jr.; Leah Atwoodn/a
August 2, 2010Steven Dale Morrey d.b.a. Mayet, Inc.; Jennifer Morrey; Mayet Holdings, L.L.C. d.b.a. Mayet Holdings, Ltd.n/a
July 12, 2010Kenneth Williams d.b.a. KWD Commercial Construction Services71775
July 12, 2010Kyle Schmierer d.b.a. Amadin71774
July 9, 2010Lamel G. Young a.k.a. Mel Young d.b.a. Powerball Records & Entertainment; Jane Doe Youngn/a
June 21, 2010Wells Fargo Investments, L.L.C.71773
June 21, 2010Sports Dimensions, Inc.; Marc Hubbard71772
May 26, 2010La Bella Investments, L.L.C.; James Mitchell; Deseree T. Mitchelln/a
May 21, 2010Kenneth Williams d.b.a. KWD Commercial Construction Services; Jane Doe Williamsn/a
May 17, 2010Troy Dee Truvillion; Jenia Demitrova71703
May 17, 2010World Group Securities, Inc., (CRD #114473); Terry E. Wengert (CRD #2569257)71700
May 17, 2010UBS Securities L.L.C.; UBS Financial Services Inc.71699
May 17, 2010Goldman, Sachs & Co.               71698
May 17, 2010Rodney Peterson; Virginia Peterson      71697
May 17, 2010Michael Vincent Ring; Kelly Ring; Elysium Capital Group, L.L.C.71696
May 17, 2010Cindy Bradford (a.k.a. Cindy White)71695
April 28, 2010Larry Wayne Ziegler; Motion DNA, Inc.71684
April 28, 2010Secure Resolutions, Inc.71683
April 28, 2010Radical Bunny, L.L.C.71682
April 28, 2010Richard Miles Dorman; Rebecca Dorman; Elysium Capital Group, L.L.C.71681
April 28, 2010American National Mortgage Partners, L.L.C.; Secura Innovative Investment, Inc.; Secura Mortgage Management, L.L.C.; Cash Flow University, Inc.; Secura Fund Arizona, L.L.C.; Larry William Dunning; Sheila Dunning; Phil Vigarino; Jane Doe Vigarino; Robert K. Rehm; Mark Kesler; Jane Doe Kesler; Frank Caspare; Gail Caspare71680
April 20, 2010Global Trading Partners, L.L.C.; Michael Eugene Gowens; Jane Doe Gowensn/a
April 8, 2010Douglas Cottle; Kyla Cottle71601
April 8, 2010Miko D. Wady; Jennifer L. Savage (f.k.a. Jennifer L. Wady); Nato Enterprises, L.L.C.71600
April 8, 2010John W. Pacheco; Angela Pacheco; Financial American Corporation; The Financial American Group, L.L.C.; American Apartment Fund XI, LP71598
February 23, 2010Erin M. Sir71497
February 23, 2010Stephen G. Van Campen; Diane V. Van Campen71496
February 23, 2010Sir Mortgage & Finance of Arizona, Inc.; Gregory M. Sir (a.k.a. Greg Sir) 71495
February 23, 2010Michael C. Reynolds; Cash 2 U, L.L.C.; Dos Ninas, L.L.C.; Par 3 Management, L.L.C.; Tanzia Reynolds71494
February 23, 2010Scot A. Oglesby and Lori Ann Oglesby71493
February 23, 2010Green Panel Corporation; Joseph Samuel Burton; Bonnie Eileen Burton; Panelized Building Systems of Prescott, L.L.C. (a.k.a. "Panelized Building Systems") 71492
February 23, 2010Rex G. Wheeler, Jr.71491
February 23, 2010Steve John Rogan; Carol Ann Richey; Dem Bonz Barbeque Restaurants, L.L.C.; Pizazz, L.L.C. 71490
December 17, 2009Five Star Tree Service and Landscaping, L.L.C.; Richard McCullum, Jr.; Leah Atwoodn/a
December 8, 2009Robert Bornholdt 71428
December 8, 2009Randy K. Ward; Sharon Ward71427
December 8, 2009Merrill Lynch, Pierce, Fenner & Smith Incorporated71426
December 8, 2009Morgan Stanley & Co. Incorporated 71425
November 13, 2009West Mining and Innovations, Inc.; Avison C. (AC) West; Barbara West71336
November 13, 2009Thomas Anthony Labry d.b.a. Iron Horse Petroleum, Inc.71335
November 13, 2009Robert Franklin Hockensmith Jr., (CRD #1798614)71334
November 13, 2009Credit Suisse Securities (USA) L.L.C.71333
November 13, 2009Frank Caspare71332
November 13, 2009Helmut Weber (d.b.a. Weber Capital Management); Vera Weber71331
October 21, 2009Bill L. Walters; Jacquelyn Walters71305
October 21, 2009Jordan Crossing Properties, L.L.C.; Chris Blackford; Nicole Blackford71304
October 21, 2009Jolleen K. Hansen; Nathan E. Hansen; Thomas S. Blackwell (CRD #4370822); Kimberly Blackwell; Deluxe Designs International, L.L.C.; Deluxe Live Productions71303
October 21, 2009Thomas S. Blackwell (CRD #4370822); Kimberly Blackwell; Team Heat, L.L.C. 71302
October 21, 2009Phil Vigarino71301
October 21, 2009Mark Kesler 71300
October 21, 2009Lamont C. Patterson II a.k.a. Folo Patterson d.b.a. Olof Enterprises; Eletrea L. Patterson; Olof Enterprises, L.L.C. 71299
September 24, 2009Sir Mortgage & Finance of Arizona, Inc.; Gregory M. Sir a.k.a. Greg Sir; Erin M. Sirn/a
September 17, 2009Ferenc ("Frank") J. Csampai71280
September 17, 2009Nicholas S. Ballard; Oasis of Wealth, Inc.71279
September 17, 2009JP Morgan Chase & Co.71278
August 20, 2009Jordan Crossing Properties, L.L.C.; Chris Blackford; Nicole Blackfordn/a
August 20, 2009Dona Kuryanowicz71251
August 20, 2009Jeffrie Harper (CRD #2863910); (a.k.a. Jeff Harper); Kathleen Janice Harper71250
August 20, 2009Deutsche Bank Securities, Inc.71249
August 20, 2009Rick McCullough d.b.a. McCullough Insured Investments; The Kodiak Investment Group, L.L.C.; Anita Geneva McCullough a.k.a. Anita G. Maestas71248
July 16, 2009RBC Capital Markets Corporation71216
July 16, 2009Dustin J. Lunt (CRD #4705919); Kami E. Lunt; DJL & Associates, L.L.C.         71215
June 16, 2009Wolfepack Transportation, Inc.; Michael L. Hairston, Sr.; Sheila Hairston 71165
June 16, 2009Owen A. Vilan; Lucina Vilan a.k.a. Lucy Vilan; Saguaro Investments, Inc. f.k.a. Vilan Enterprises, Inc. 71164
June 16, 2009Gerald Edwin Patchen II71163
June 16, 2009Merrill Lynch, Pierce, Fenner & Smith Incorporated71162
June 16, 2009Jerome William Carter d.b.a. Good Only Done Productions, L.L.C.; The Greatest Only Divine Productions, L.L.C.71161
June 16, 2009Leonard Francis Alcaro a.k.a. Lenny Alcaro; Mary Brigid Lavin Alcaro71160
May 21, 2009Banc of America Securities L.L.C.; Banc of America Investment Services, Inc.71071
May 21, 2009Michael V. Bradley (CRD #4605220); Wealth Enhancement & Preservation, L.L.C., (CRD #131808)71070
May 21, 2009Donald Robert Mattson a.k.a. Rob Mattson71069
May 21, 2009Knuckleball Capital Management, L.L.C.71068
May 21, 2009Dan Wise; Cynthia Wise; Whispering Winds Properties, L.L.C.; LM Beagle Properties, L.L.C.; Karlena, Inc.; Axis International, Inc.71067
May 21, 2009Woodbury Financial Services, Inc., (CRD #36407)71066
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")n/a
April 21, 2009Citigroup Global Markets, Inc.70968
April 21, 2009David W. Cole; Siiri Cole; Highline Estates, L.L.C.; Mutual Financial Services, L.L.C.; Dream Craft, L.L.C.70967
April 21, 2009Trademark Capital Management, L.L.C.; Blue Investments, L.L.C.; Travis Richey; Melissa Boyd70966
March 27, 2009Sports Dimensions, Inc.; Marc Hubbard; Jane Doe Hubbardn/a
March 24, 2009Cosas Management Group, L.L.C.; Gene Laurell Lines; Suzanne Lines70897
March 24, 2009Wachovia Securities, L.L.C.; Wachovia Capital Markets, L.L.C.70896
March 24, 2009Randie Balbas; Leila Balbas70895
March 24, 2009Southern Homes, L.L.C.; Charles Bruce Ferguson70894
March 13, 2009West Mining and Innovations, Inc.; Avison C. (AC) West; Barbara M. Westn/a
February 23, 2009Mark A. Westerfield; Victoria H. Westerfield70755
February 23, 2009Scott Hutchinson; Marine 370754
February 23, 2009Mayra Jeanette Angulo (CRD #2221337); Mark Islas (CRD #1953882); d.b.a. International Financial Services Group70753
February 23, 2009Brett S. Kleese; Katherine D. Kleese; BSK Enterprises, L.L.C.70752
February 23, 2009James Jonathon Fraser Buchanan; Lori A. Buchanan70751
February 18, 2009Steve John Rogan; Carol Ann Richey; Dem Bonz Barbecue Restaurants, L.L.C.; Pizazz, L.L.C.n/a
January 29, 2009Kyle Schmierer d.b.a. Amadin; Jane Doe Schmierern/a
January 16, 2009Nicholas (Nick) S. Ballard d.b.a. Oasis of Wealth, Inc.; Oasis of Wealth; AZ Gold & Safaris, Inc.; Jane Doe Ballardn/a
December 22, 2008Gregg L. Wolfe; Allison A. Wolfe; Nakami Chi Group Ministries International70657
December 22, 2008Edward A. Purvis; Maureen H. Purvis70656
December 9, 2008Reserve Oil & Gas, Inc.; Allen C. Stout; Eugenia Stout70630
December 9, 2008Dean A. Severns; Cheryl E. Severns; Severns Properties, L.L.C.; Severns Capital, L.L.C.; J. Dean, L.L.C.70634
December 9, 2008Patrick Allen Roberts; Sheri L. Krouse; Motors De Amigos; Rock'n R Car Company Enterprises, Inc.70633
December 9, 2008James Leroy Costello; Linda S. Costello70632
December 9, 2008Stanley Lane Boblett70631
November 5, 2008Gerald Edwin Patchen II; Jane Doen/a
October 8, 2008Pacific Coast Holding Company; Hall of Fame Partners, L.L.C.70548
October 8, 2008Guillermo Ricardo De La Vara; Mortgage Notes, Inc.; MNI Properties, L.L.C.; Erlinda De La Vara70547
October 8, 2008CAG Capital, Inc.; Kim K. Collins70546
October 8, 2008Cindy Bradford a.k.a. Cindy White70544
October 8, 2008Richard Bradford (CRD #2706290)70545
October 8, 2008Property Quest DJE, Inc.; Donald J. Emmons III; Stacy S. Emmons70549
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.n/a
September 12, 2008Helmut Weber d.b.a. Weber Capital Management; Vera Webern/a
September 12, 2008Patrick Allen Roberts; Sheri L. Krouse; Motors De Amigos, Inc.; Rock'N R Car Company Enterprises, Inc. d.b.a. R&R Remarketingn/a
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, L.L.C.; Erlinda De La Vara a.k.a. Erlinda G. Lopezn/a
August 21, 2008

Robert N. Neklewicz a.k.a. Robert Neil Stock (CRD #8984776)

70467
August 21, 2008Eric Charles Zimmerman a.k.a. Eric Zimmerman; Penelope Zimmerman a.k.a. Penny Zimmerman70466
August 12, 2008Antonia Boblett a.k.a. Toni Boblett and/or Antonia Loera-Marksn/a
July 28, 2008Kuypow, Inc. d.b.a. Mo's Properties & Investment Group; Morris Clyde Kuykendall a.k.a. MO; Judy E. Powers70439
July 22, 2008Trademark Capital Management, L.L.C.; Blue Investments, L.L.C.; Travis Richey; Melissa Boydn/a
June 20, 2008 Lori Darlene Jordan a.k.a. Lori Herndon70391
June 20, 2008Panama Capital Funding, L.L.C.; Benjamin Ray O'Toole; Jarisa H. Garcia; Christopher Shane Strickland; Claudia J. Masters70390
June 20, 2008Donald Anthony Tomasian a.k.a. Donald Anthony Tomasian, Jr. and Bella Funding, L.L.C.70389
April 29, 2008Michael Andrew Dawes70324 
April 29, 2008 Ryan James Herndon 70321 
April 29, 2008 Scott Renny Bogue, Sr. 70320 
April 29, 2008 G'ieber Financial, L.L.C.; David A. Gotlieb; Stacey Scibelli-Gotlieb 70319 
April 29, 2008 Linda Dawes 70318 
April 29, 2008Cameron Guy Campbell; Nanette Campbell 70317 
April 24, 2008Leonard Clark Rhodes, Jr.CV2007-013805
March 27, 2008Kenneth Howard Fraleigh; Linda Jean Fraleigh70219
March 27, 2008Donna Marie Shurot70217
March 27, 2008Morgan Stanley & Co. Incorporated70216
March 27, 2008Lingerie Nights DVD Magazine, L.L.C.; Raymond Javier Duran; Richard B. Cuen70215
March 27, 2008Linda Bryant Jordan a.k.a. Linda Van Vranken a.k.a. Linda Jordan-Van Vranken  70214
March 20, 2008

Panama Capital Funding, L.L.C.; Benjamin Ray O'Toole; International Funding Network; Panagreen Bio Fuels, Inc.; Algaecake Technologies Corporation; Jane Doe O'Toole; Christopher Shane Strickland; Jane Doe Strickland

n/a
March 10, 2008

Diamond Bay Investments, Inc.; Jonathan Jordan Wirsz

70187
March 10, 2008Kelly J. Waters; Daniel B. Waters; Kelly's Mobile Homes Sales, Inc.70190
March 10, 2008Michael Joseph Hannan, a.k.a. Michael Hannan, Mike Hannan, Michael J. Hannan, II; Janice C. Hannan70189
March 10, 2008Veronica Alexandra Leigh f.k.a. Candice Anna Gill; Charles William Gill III; Charles Gill; Chuck Gill; CAG Financial, L.L.C.; CAG Financial Services, L.L.C.; Leigh & Associates, L.L.C.70188
February 28, 2008Kuypow, Inc.; Mo's Properties & Investment Group; Morris Clyde Kuykendall; Mo Kuykendall; Judy E. Powersn/a
February 27, 2008Asset Salvation Group, L.L.C.; Jack Robert Erickson, Sr; Jane Doe Erickson; JRE Holdings Trust; Dust to Dream Development Group, L.L.C.n/a
January 31, 2008Ronald J. Strayer a.k.a. RJ Strayer; Jeffrey Stanford Ryan; Lisa Scott; RJSR Land Development CR  70158
January 15, 2008Lingerie Nights DVD Magazine, L.L.C.; Raymond Javier Duran; Jane Doe Duran; Richard B. Cuen; Jane Doe Cuenn/a

 

 

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