Paul Newman
Commissioner 		Gary Pierce
Commissioner 		Kristin K. Mayes
Chairman 		Sandra D. Kennedy
Commissioner 		Bob Stump
Commissioner

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Date FiledCompany/IndividualDecision #
November 13, 2009West Mining and Innovations, Inc.; Avison C. (AC) West; Barbara West 71336
November 13, 2009Thomas Anthony Labry d.b.a. Iron Horse Petroleum, Inc.71335
November 13, 2009Robert Franklin Hockensmith Jr., CRD #179861471334
November 13, 2009Credit Suisse Securities (USA) LLC71333
November 13, 2009Frank Caspare 71332
November 13, 2009Helmut Weber (d.b.a. Weber Capital Management); Vera Weber71331
October 21, 2009Bill L. Walters; Jacquelyn Walters71305
October 21, 2009Jordan Crossing Properties, LLC; Chris Blackford; Nicole Blackford71304
October 21, 2009Jolleen K. Hansen; Nathan E. Hansen; Thomas S. Blackwell (CRD # 4370822); Kimberly Blackwell; Deluxe Designs International, LLC; Deluxe Live Productions71303
October 21, 2009Thomas S. Blackwell (CRD # 4370822); Kimberly Blackwell; Team Heat, LLC 71302
October 21, 2009Phil Vigarino71301
October 21, 2009Mark Kesler 71300
October 21, 2009Lamont C. Patterson II a/k/a Folo Patterson dba Olof Enterprises; Eletrea L. Patterson; Olof Enterprises, LLC 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. Csampai 71280
September 17, 2009Nicholas S. Ballard; Oasis of Wealth, Inc.71279
September 17, 2009JP Morgan Chase & Co.71278
August 20, 2009Jordan Crossing Properties, LLC; Chris Blackford; Nicole Blackfordn/a
August 20, 2009Dona Kuryanowicz71251
August 20, 2009Jeffrie Harper (CRD #2863910)(aka Jeff Harper); Kathleen Janice Harper 71250
August 20, 2009Deutsche Bank Securities, Inc.71249
August 20, 2009Rick McCullough dba McCullough Insured Investments; The Kodiak Investment Group, LLC; Anita Geneva McCullough aka Anita G. Maestas 71248
July 16, 2009RBC Capital Markets Corporation71216
July 16, 2009Dustin J. Lunt (CRD# 4705919); Kami E. Lunt; DJL & Associates, LLC         71215
June 16, 2009Wolfepack Transportation, Inc.; Michael L. Hairston, Sr.; Sheila Hairston  71165
June 16, 2009Owen A. Vilan; Lucina Vilan aka Lucy Vilan; Saguaro Investments, Inc. fka Vilan Enterprises, Inc.  71164
June 16, 2009Gerald Edwin Patchen II 71163
June 16, 2009Merrill Lynch, Pierce, Fenner & Smith Incorporated 71162
June 16, 2009Jerome William Carter dba Good Only Done Productions, LLC; The Greatest Only Divine Productions, LLC71161
June 16, 2009 Leonard Francis Alcaro aka Lenny Alcaro; Mary Brigid Lavin Alcaro71160
May 21, 2009Banc of America Securities LLC; Banc of America Investment Services, Inc.71071
May 21, 2009Michael V. Bradley (CRD #4605220); Wealth Enhancement & Preservation, LLC (CRD # 131808)71070
May 21, 2009Donald Robert Mattson a/k/a Rob Mattson71069
May 21, 2009Knuckleball Capital Management, LLC71068
May 21, 2009Dan Wise; Cynthia Wise; Whispering Winds Properties, LLC; LM Beagle Properties, LLC; 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, LLC; Mutual Financial Services, LLC; Dream Craft, LLC70967
April 21, 2009Trademark Capital Management, LLC; Blue Investments, LLC; Travis Richey; Melissa Boyd70966
March 27, 2009Sports Dimensions, Inc.; Marc Hubbard; Jane Doe Hubbardn/a
March 24, 2009Cosas Management Group, LLC; Gene Laurell Lines; Suzanne Lines70897
March 24, 2009Wachovia Securities, LLC; Wachovia Capital Markets, LLC70896
March 24, 2009Randie Balbas; Leila Balbas70895
March 24, 2009Southern Homes, LLC; 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, LLC70752
February 23, 2009James Jonathon Fraser Buchanan; Lori A. Buchanan70751
February 18, 2009Steve John Rogan; Carol Ann Richey; Dem Bonz Barbecue Restaurants, LLC; Pizazz, LLCn/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, LLC; Severns Capital, LLC; J. Dean, LLC70634
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, LLC70548
October 8, 2008Guillermo Ricardo De La Vara; Mortgage Notes, Inc.; MNI Properties, LLC; 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, LLC; Jane Doe Carter; The Greatest Only Divine Productions, LLCn/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, LLC; 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, LLC; Blue Investments, LLC; Travis Richey; Melissa Boydn/a
June 20, 2008 Lori Darlene Jordan a/k/a Lori Herndon70391
June 20, 2008Panama Capital Funding, LLC; 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, LLC70389
April 29, 2008Michael Andrew Dawes   70324 
April 29, 2008 Ryan James Herndon 70321 
April 29, 2008 Scott Renny Bogue, Sr. 70320 
April 29, 2008 G'ieber Financial, LLC; 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, LLC; 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, 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

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, LLC; CAG Financial Services, LLC; Leigh & Associates, LLC70188
February 28, 2008Kuypow, Inc.; Mo's Properties & Investment Group; Morris Clyde Kuykendall; Mo Kuykendall; Judy E. Powersn/a
February 27, 2008Asset Salvation Group, LLC; Jack Robert Erickson, Sr; Jane Doe Erickson; JRE Holdings Trust; Dust to Dream Development Group, LLCn/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, LLC; Raymond Javier Duran; Jane Doe Duran; Richard B. Cuen; Jane Doe Cuenn/a
December 27, 2007Ferenc (Frank) J. Csampai; Robert N. Neklewicz a/k/a Robert Neil Stock; Global Aviation Fuel Systems   n/a
December 6, 2007   David A. Cockrell; Cockrell Investment Resource Associates, LLC70066 
December 6, 2007Donald P. Shoemaker; Michael J. Sagnelli70065
December 6, 2007  Leonard Clark Rhodes, Jr.; Margaret Rhodes70064
November 20, 2007Donald Anthony Tomasian a/k/a/ Donald Anthony Tomasian, Jr.; Katherina Tomasian; Bella Funding, LLCn/a
November 16,2007Ronald James Strayer; Jane Doe Strayer; Jeffrey Stanford Ryan; Lisa Scott; RJSR Land Development CR   n/a
October 18, 2007Cockrell Investment Resource Associates, LLC; David A. Cockrell; Jane Doe Cockrell n/a 
 October 16, 2007Interactive Technologies West, Inc.; Louis F. Conant, III; Kyle E. Gillman69943 
 October 16, 2007Agra-Technologies, Inc., a/k/a ATI; William Jay Pierson a/k/a Bill Pierson; Sandra Lee Pierson a/k/a Sandy Pierson; William H. Baker, Jr., a/k/a Bill Baker; Patricia M. Baker69942 
October 16, 2007  RYM Technology Holdings, LLC; Felix L. Daniel, Sr. 69941
September 6, 2007

Leonard Francis Alcaro a/k/a Lenny Alcaro

69900

September 6, 2007

Jerry Johnston Hodges; Lawrence Kevin Paille a/k/a Larry Paille

69899
August 13, 2007
John Edward Tencza; Christine M. Tencza; American Elder Group, LLC; American Elder Group, Inc.
69777
August 13, 2007

Gregory Grant Groh; Gail A. Groh

69776
August 13, 2007
Estate Protection Consultants, LLC; Ramon Conrado Villa Vasquez a/k/a Ray C. Villa a/k/a Ray Villa; Maria J. Villa
69775
August 13, 2007
Richard Allen Campbell a/k/a Dick Campbell; Sondra Jane Campbell
69774
July 20, 2007

Kelly J. Waters; Daniel B. Waters; Kelly’s Mobile Home Sales, Inc.

n/a 
July 18, 2007ACI Holdings, Inc.69701
July 18, 2007James W. Keaton, Jr.; Jennifer Keaton69702
July 18, 2007Denise Leyshon 69703
July 18, 2007Mutual Benefits Corporation69704
July 18, 2007Perry Penny; Terry Penny; Penny Financial, Inc.; Penny Properties, Inc.69705
July 18, 2007Alonzo Russell d/b/a Guardian Angel Advisers; Linda Russell69706
June 12, 2007Agra-Technologies, Inc. a/k/a ATI; William Jay Pierson a/k/a Bill Pierson; Sandra Lee Pierson a/k/a Sandy Pierson; Richard Allen Campbell a/k/a Dick Campbell; Sondra Jane Campbell; William H. Baker, Jr. a/k/a Bill Baker; Patricia M. Baker; Jerry Johnston Hodges; Lawrence Kevin Paille a/k/a Larry Paille n/a 
June 6, 2007Phillip Robert Ohst; Mary Elizabeth Ohst69641
June 6, 2007
Janalee Ranney Sneva d/b/a Sneva Alliance
69640
May 17, 2007Trend Management Group, Inc.; Trend Capital, LLC 69438
May 1, 2007
Easy Street Financial Group, Inc.; Scot Alan Oglesby; Lori Ann Oglesby; Christopher Ellis Marx

69438

May 1, 2007
John S. Mendibles; MGN Enterprises, Ltd.
69439
March 20, 2007
Michael Eugene Kelly; Yucatan Resorts, Inc.; Yucatan Resorts, S.A.; Resort Holdings International, Inc.; Resort Holding International, S.A.; World Phantasy Tours, Inc. a/k/a Majesty Travel a/k/a Viajes Majesty
n/a 
March 20, 2007Owen A. Vilan; Lucina Vilan a.k.a. Lucy Vilan; Saguaro Investments, Inc. f/k/a Vilan Enterprises, Inc.n/a
March 2, 2007Gary Wayne Hardy d/b/a Hardy Asset Management; Hardy Asset Management69356
February 1, 2007Wachovia Capital Markets, LLC69294
February 1, 2007David J. Leyshon d/b/a Leyshon Capital Management d/b/a Leyshon Capital Management, LLC 69293
February 1, 2007Clinton Goff a/k/a Clint Goff; Warren Exploration, LLC69292
February 1, 2007William Melvin Hawkins; Meta Funding, LLC69291
January 22, 2007Perry Penny; Terry Penny; Penny Financial, Inc.; Penny Properties, Inc.; RYM Technology Holdings, LLC; Felix L. Daniel, Sr.n/a 
January 16, 2007Mid America Energy, Inc.; Mid-America Oil & Gas, LLC; Gary M. Milby a/k/a Gary Moss Milby a/k/a Gary M. Milley; Energy Marketing, Inc.69233
January 16, 2007James Whatcott; Rita Whatcott69236 
January 16, 2007Lucille Blitz69235
January 16,2007John Blitz69234
November 29, 2006Mathon Management Company, LLCn/a 
November 20, 2006Trend Management Group, Inc.; Trend Capital, LLCn/a 
November 14, 2006Christopher Ellis Marx 69126
November 14, 2006Scot Alan Oglesby; Lori Ann Oglesby 69125
November 14, 2006Easy Street Financial Group, Inc.69124
October 16, 2006
Agra-Technologies, Inc. a/k/a ATI; William Jay Pierson a/k/a Bill Pierson; Sandra Lee Pierson a/k/a Sandy Pierson; Richard Allen Campbell a/k/a Dick Campbell; Sondra Jane Campbell; William H. Baker, Jr. a/k/a Bill Baker; Patricia M. Baker; Jerry Johnston Hodges; Lawrence Kevin Paille a/k/a Larry Paille
69942
September 29, 2006Gary M. Milby a/k/a Gary Moss Milby a/k/a Gary M. Milley; Mid America Energy, Inc.; Mid America Oil & Gas, LLC; Energy Marketing, Inc.n/a 
September 12, 2006Thomas C. Messina a/k/a Thomas Campbell Messina a/k/a Tom C. Messina, and Donna M. Messina68942
September 12, 2006Lori Lee Spranger a/k/a Lori Moriarty a/k/a Lori Lee Levandowski a/k/a Lori Gessel d/b/a Vector 90 Debt Purchasing; Michael Moriarty d/b/a Vector 90 Debt Purchasing68941
September 12, 2006Kenneth Duane Feldhacker68940
September 12, 2006Ameriprise Financial Services, Inc.68939
September 8, 2006
Mid America Energy, Inc.; Mid America Oil and Gas, LLC; Energy Marketing Inc.; Warren Exploration, LLC; Clint Goff; Gary M. Milby a/k/a Gary Moss Milby a/k/a Gary M. Milley; Wanda Milby; Jim Whatcott; Rita Whatcott; John Blitz; Lucille Blitz
n/a 
September 7, 2006Believing In Jesus Investments, LLC; Phoebus Vincent Smith a/k/a Vince Smith; Sharon Elizabeth Govan a/k/a Sharron E. Govan-Smith a/k/a Sharon Smithn/a 
August 28, 2006The 12 Percent Fund I, LLC; Coyote Growth Management, LLC; Michael Joseph Hannan a/k/a Michael Hannan a/k/a Mike Hannan a/k/a Michael J. Hannan, II; Sam Ahdoot a/k/a Sam Ahdoutn/a 
August 7, 2006Syndicated Gold Depository, S.A.68873
August 7, 2006Parklane International Corporation68872
July 5, 2006Robert K. Rehmn/a 
June 30, 2006H. Jon Kunowski d/b/a Precision Model and Design, Inc. d/b/a Air Lase, Inc. d/b/a American Innovative Research, Inc.68790
June 26, 2006H. Jon Kunowski d/b/a Precision Model and Design, Inc. d/b/a Air Lase, Inc. d/b/a American Innovative Research, Inc.68790
June 19, 2006Paul J. Meka; Carol Mekan/a 
June 1, 2006Mark Alan Melkowski, Sr.; Eagle Communications, Inc.; Eagle One Financial & Tax, LLC; Ronald Lee Goble d/b/a Southwest Trust & Financial; Roger Lancette d/b/a National Estate Service and Planning and Senior Advisory Services; Gary L. Christian d/b/a Cornerstone Senior Planning; Hyland A. Stokes and Estate Planning Protection, Inc.; Wallace Butterworth d/b/a Butterworth Advisory Services and Senior Advisory Services; William E. Bergh d/b/a National Financial, Group; World Wide Business Opportunities, LLC68720
June 1, 2006David L. McMillan68717
June 1, 2006Robert K. Rehm68715
June 1, 2006Paul J. Meka; Carol Meka68714
March 6, 2006Arthur B. Cooper; Linda Ebinger-Cooper68511
March 6, 2006David John Palen68512
February 28, 2006
Mid America Energy, Inc.; Mid America Oil and Gas, LLC; Energy Marketing, Inc.; Warren Exploration, LLC; Clint Goff; Gary M. Milby a/k/a Gary Moss Milby a/k/a Gary M. Milley; Wanda Milby; Jim Whatcott; Rita Whatcott; John Blitz; Lucille Blitz
n/a 
February 21, 2006Michael Eugene Kelly; Yucatan Resorts, Inc.; Yucatan Resorts, S.A.; Resort Holdings International, Inc.; Resort Holding International, S.A.n/a 
February 10, 2006Lori Lee Spranger a/k/a Lori Moriarty a/k/a Lori Lee Levandowski a/k/a Lori Gessell, d/b/a Vector 90 Debt Purchasing; Martin Otto Spranger a/k/a Martin Otto Spranger, III; Michael Moriarty d/b/a Vector 90 Debt Purchasingn/a 
February 2, 2006WSK Energy, LLC 68462
February 2, 2006Kevin H. Krause68461
February 2, 2006Kevin H. Krause68460
February 2, 2006Bruce R. Goldman d/b/a Opulent Management Group d/b/a Bravura Management Group, d/b/a Zanadu Construction d/b/a The Opulent Group; Opulent Properties, LLC d/b/a Opulent Properties; Mill Direct Flooring, LLC d/b/a Mill Direct Flooring; The Loan Xperts, LLC68459
December 30, 2005Reserve Oil & Gas, Inc.; Allen Stout, Sr.; Allen Stout, Jr.n/a 
December 13, 2005Michael Giannantonio a/k/a Michael David Turley d/b/a Nitefire Entertainment; Karen Lynn Turley; John Voight; Nitefire Entertainment; SummitSTAR Entertainment L.P., d/b/a SummitSTAR Films d/b/a SummitSTAR Films & Entertainmentn/a 
December 5, 2005Ameriprise Financial Services, Inc. f/k/a American Express Financial Advisors, Inc.68316
December 5, 2005Michael R. Brooks; Maria Brooks68315
November 14, 2005Bruce R. Goldman d/b/a Opulent Management Group d/b/a Bravura Management Group d/b/a Zanadu Construction d/b/a The Opulent Group; Linda L. Goldman a/k/a Linda Mull a/k/a Linda Sanger; Natasha Mull a/k/a Natasha Goldman; Opulent Properties LLC d/b/a Opulent Properties; Mill Direct Flooring, LLC d/b/a Mill Direct Flooring; The Loan Xperts, LLC n/a
November 8, 2005Brixon Group, Ltd.; Joseph Wayne McCool a/k/a Joe McCool; Donald John Manning a/k/a Don Manning68270
October 25, 2005Listo, Inc.68230
October 25, 2005Waddell & Reed, Inc.68229
August 25, 2005Worldwide Forex, Inc.68095
August 25, 2005Universal FX, Inc.68094
September 23, 2005Ronald Earl Pfingsten; Sharlene N. Pfingsten68161
September 23, 2005Christopher D. Dedmon; Kimberly Dedmon; Omni Horizon Group, LLP68160
September 23, 2005Robert Timothy Watt a/k/a Tim Watt; Centenarios Gold, Inc.68159
August 25, 2005Arkad Investment Services, Inc. d/b/a Arkad Investment Services68099
August 25, 2005Steven Lee Hutchinson68098
August 25, 2005Terri A. Sheehy68097
August 25, 2005Terry Couch68096
July 11, 2005Mark J. Sheehy67962
July 11, 2005Tierra Group, a/k/a Tierra Group Properties, a/k/a/ Tierra Group Companies, a/k/a Tierra Group, Inc.; Preservation Trust Corporation a/k/a Preservation Corporation, a/k/a Preservation Trust Company; Partnership Preservation Trust, a/k/a Preservation Trust Corporation Limited Partnership; Caterpillar Foundation Properties, a/k/a Caterpillar Foundation Properties Limited Partnership; Rene L. Couch67961
June 9, 2005Gary R. Shannon67931
June 9, 2005Scott Erick Langfitt67930
June 9, 2005Roy R. Golladay, Jr. d/b/a The Investment Group; Ester Golladay; Check and Send, Inc.67929
June 9, 2005M.A.C. Investments, Inc.; M.A.C. Investment Sales, Inc.; M.A.C. Investments Sales, Inc.; Maricruz Alvarado a/k/a Mariacruz Alvarado a/k/a Maricruz Albarado; Aldemaro Gonzales Gamez a/k/a Aldemaro Gonzalez; Maria Elena Gonzalez; Kevin Polardi67928
May 2, 2005Lonzo Archer67776
May 2, 2005 Thomas Weisel Partners, LLC67774
April 15, 2005Mathon Management Company, LLCn/a
April 5, 2005Mathon Management Company, LLCn/a
March 29, 2005John E. Shannon; Rebecca F. Shannon67728
March 29, 2005Theodore A. Mietzner; Southwest Capital Advisors LLC67726
March 10, 2005Robert Smart; Kevin Krause; Listo, Inc.n/a
February 25, 2005Samuel Isaiah Rodriguez; Golden Oak Marketing, Inc.67607
February 25, 2005John F. Klatt; Marilyn A. Klatt; Retirement Planning Center67606
February 25, 2005Deborah Lee Brugliera; Pristine Property & Investments, Inc.67605
February 25, 2005Troy S. Warren67604
February 25, 2005Deutsche Bank Securities, Inc.67603
February 17, 2005John S. Mendibles; MGN Enterprises, Ltd.n/a
February 15, 2005M.A.C. Investments, Inc.; M.A.C. Investment Sales, Inc.; M.A.C. Investments Sales, Inc.; Maricruz Alvarado a/k/a Mariacruz Alvarado a/k/a Maricruz Albarado; Aldemaro Gonzales Gamez a/k/a Aldemaro Gonzalez; Maria Elena Gonzalez; Kevin Polardin/a
January 31, 2005Victor Monroe Stockbridge67539
January 31, 2005David A. Fazio; Deborah Fazio; Fountain Capital Management LLC 67538
January 31, 2005Christopher S. Mee; Mee Diamond & Jewelry, Inc. d/b/a Diamond Showcase67537
January 31, 2005Noel Eugene Cullison; Barbara Cullison; Solutions, Sources, & Consulting LLC; Energy Savings Solution, Inc.67536
January 20, 2005Centenarios Gold Inc.; Tim Wattn/a
November 23, 2004Stephen A. Hiltbrand; Cheryl Hiltbrand67431
November 23, 2004James L. Oppenheimer; Sydney J. Oppenheimer67430
November 3, 2004Kevin H. Krause; WSK Energy, LLCn/a
October 20, 2004Robert C. Frost; Robin Frost67357
October 20, 2004Rex E. Kuhn; Unity Financial, LLC 67354
October 20, 2004Intersecurities, Inc.67353
October 20, 2004Helen C. Hartze67352
October 20, 2004HCH Enterprise, LLC67351
August 24, 2004H. Jon Kunowski d/b/a Precision Model and Design, Inc. d/b/a Air Lase, Inc. d/b/a American Innovative Research, Inc.n/a
August 24, 2004Multi Media Technology Ventures, Ltd. a/k/a MMTV, Ltd.; Biltmore Group, Inc.; Graham Inch; C. Ronald Paxson a/k/a Charles R. Paxson; Chris Corbett 67221
August 24, 2004Mark Kesler 67219
August 24, 2004Donald Abernathy; Helen Abernathy67218
August 24, 2004Intergrowth Financial Group; Roger Alvin Sande67217
August 24, 2004Richard A. Fandrich67215
July 22, 2004Parklane International Corporation; Syndicated Gold Depository, S.A.n/a
July 1, 2004H. Jon Kunowski d/b/a Precision Model and Design, Inc. d/b/a Air Lase, Inc. d/b/a American Innovative Research, Inc.n/a
June 29, 2004Wesley Karban Wyatt d/b/a The Financial Greenhouse 67088
June 29, 2004Gregory Russell Brown; Karen Brown67087
June 29, 2004International Global Positioning, Inc.; John J. Madsen; Michael J. Coker67086
June 29, 2004Gary G. Johnson; Johnson Estate Planning Service, Inc.; Johnson Estate Planning Service L.L.P.67085
May 24, 2004James W. Dreos d/b/a Dreos Financial Services; Esther Dreos66995
May 11, 2004Elliot Crosby66965
April 21, 2004Edmond L. Lonergan; Dolores Lonergan; Corporate Architects, Inc.66934
April 21, 2004Steven C. Bond; Cari A. Bond; B.B. Financial Benefits Group, Inc.66933
March 24, 2004H. Jon Kunowski d/b/a Precision Model and Design, Inc. d/b/a Air Lase, Inc. d/b/a American Innovative Research, Inc.n/a 
March 23, 2004Evelyn Baumgardner d/b/a Your Living Trust; Michael Baumgardner66859
March 23, 2004Kathleen Whorley Sommer d/b/a Sommer & Associates66858
March 4, 2004Multimedia Technology Ventures, Ltd. a/k/a MMTV, Ltd.; Biltmore Group, Inc.; Global Trek Xploration Corp.; Chris Corbett; Graham Inch; C. Ronald Paxonn/a
February 5, 2004 Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.66768
February 5, 2004Robert Shakman; Healthcare Purchasing Alliance, Inc.66767
February 5, 2004Chris Hugh Rutland66766
February 5, 2004Global Trusts LLC; Clyde F. Wagnon; Martha E. Wagnon66765
December 22, 2003James T. M. Verbic66649
December 22, 2003Robert J. Brannon66648
December 22, 2003 Credit Suisse First Boston LLC f/k/a Credit Suisse First Boston Corporation66647
December 22, 2003Philip William Merrill66645
December 9, 2003Philip William Merrill66614
October 27, 2003Worldwide Forex, Inc.; Universal FX, Inc.; David Bridges n/a
October 17, 2003John R. Wallrich; Jennifer Wallrich66436
October 14, 2003Clay Eugene Lambert66403
October 14, 2003Ocean International Marketing, Ltd.; Heros Global Marketing, Ltd.; Seed International, Ltd.66402
October 14, 2003Non-Stop Shopping.com, Inc. d/b/a 2C2K.com, Inc.; Kenneth Mark Deubner; Donald L. Levine; Stephen Rosenbaum; Bobbie Jo Swartz66401
October 1, 2003Ralph Shaul; Leslie Shaul66355
October 1, 2003Douglas Sanchez; Karen Sanchez; DMS Power Cash Flow, LLC; Persanco, LLC66354
October 1, 2003Carl Delano Woodard a/k/a Carl Woodward66353
September 29, 2003 Lehman Brothers Inc.66320
September 29, 2003 Goldman, Sachs & Co.66318
September 24, 2003 Bear, Stearns & Co., Inc.66298
September 24, 2003 J.P. Morgan Securities, Inc.66297
September 24, 2003 Morgan Stanley & Co. Incorporated66296
September 24, 2003 U.S. Bancorp Piper Jaffray, Inc.66295
September 18, 2003Yucatan Resorts, Inc.; Yucatan Resorts, S.A.; Resort Holdings International, Inc.; Resort Holdings International, S.A.; World Phantasy Tours, Inc. a/k/a Majesty Travel a/k/a Viajes Majesty; Avalon Resorts; Michael E. Kelly; Lory Kellyn/a
July 22, 2003Stephen Rosenbaum; Bobbie Jo Swartz66076
June 30, 2003Michael A. Diaz; Lorrina Diaz; Michael B. Maksudian; Betty Maksudian; Wealth Management Resources, Inc.n/a
May 27, 2003Robert D. Bjerken65955
May 16, 2003 UBS Warburg LLC; USB PaineWebber Inc.65912
April 22, 2003Gregory B. Gill a/k/a Gregory R. Gill; Martin & Griffin, LLC 65842
April 22, 2003Douglas P. Warren; Kathleen M. Warren; Matthew W. Warren65841
March 24, 2003David R. Krizman65772
March 24, 2003 Bob’s Cash Express, Inc.; Bob’s Land One, Inc.; Challenge/Land USA, Inc.; Arizona Digital Security Tech., Inc.; American Dish Tech., Inc.; Robert H. Roberts; Garrett L. Wright a/k/a Garrett Lee; Dan R. Harper a/k/a D.J. Harper; Joyce Goodman65771
March 24, 2003Non-Stop Shopping.com, Inc. d/b/a 2C2K.com, Inc.; Kenneth Mark Deubner65770
February 18, 2003One Vision Children's Foundation, Inc.; Hollister M. Marx65629
January 28, 2003Donald Ramey65559
January 28, 2003Wallace Butterworth; Senior Advisory Services, LLC 65558
January 28, 2003Hayden Keith Holland; Lisa Marie Holland; Scottsdale Financial Funding Group, LLC65557
January 28, 2003Tad Lyn Ulrich; Tad L. Ulrich & Associates, LLC65556
January 28, 2003Turn Two Trading Club; Dennis Wayne Little; Deborah L. Sorensen Little65555
January 23, 2003Merrill Lynch, Pierce, Fenner & Smith, Inc.65545
December 17, 2002Turn Two Trading Club; Dennis Wayne Little; Deborah L. Sorensen Little65456
November 20, 2002Ronald Lee Keel65424
November 20, 2002Meracana Mining Corporation65423
November 13, 2002Brian Bamman; Bamex International, Ltd.65383
September 30, 2002David Carroll Loach65230
September 30, 2002David Allen Parizek, Jr.; Parizek Capital Management, LLC 65229
September 30, 2002Netgo, Inc.; SDIC Partnership; Camelback, Ltd.; Neil Dennis Lewis65228
September 30, 2002M-Corp International, Ltd.65227
September 30, 2002Norman Michael Miller; M-Corp International, Ltd. 65226
September 03, 2002Charles E. Conatser; Estate Conservation Strategies, Inc. 65163
August 29, 2002
Easy Money Auto Leasing, Inc.; Superior Financial Services, Inc.; James Anthony Cicerelli; David Paul French
65162
August 29, 2002Grand Canyon Wagon Adventure Tours, Inc.; Floyd Willard Dwiggins, Jr.65161
August 29, 2002Alan Bruce Stoner65159
August 29, 2002
Jeffrey Wilcox; Eternal Presence, Inc.
65158
July 18, 2002Republic Cash Advance, Inc.; Quick Cash Advance, Inc.; Curtis J. Billups; Mark N. Ferguson65035
July 02, 2002
Gary Milburn Laha
65005
June 05, 2002
Howard S. Baldwin
64872
June 05, 2002Glenn A. Liberatore; Glenn A. Liberatore Financial Services64871
May 30, 200221st Century Satellite Communications, Inc. 64852
May 30, 2002
Philip A. Lehman; Tower Equities, Inc.
64851
May 30, 2002Ronald L. Fanzo d/b/a Intermarc Marketing d/b/a Cashflows64850
May 30, 2002David Hitzig64849
May 30, 2002
Bruce J. Blechman; Pre-IPO Venture Capital Fund, LLC
64848
May 30, 2002
Robert Witt a/k/a Harry Robert Witt
64847
May 01, 2002Michael David Fromkin 64787
May 01, 2002
David Nutter; North American Insurance Services, LLC
64784
May 01, 2002
Michelle L. Webb d/b/a Webb Financial Group a/k/a Michelle Webb Financial Group
64783
May 01, 2002
Richard Dean Carrington a/k/a Richard Dean Frank d/b/a Carrington Estate Planning Services d/b/a Carrington Investment Services
64786
March 26, 2002
The Chamber Group, Inc. a/k/a Chamber Financial Group, a/k/a Chamber Financial; Joseph L. Hiland; Tyson J. Hiland; Travis D. Hiland
64672
March 25, 2002
Michael Lynn Bill d/b/a Arizona Viaticals Settlements and Annuities
64652
March 25, 2002
William R. Evans Chartered
64651
March 25, 2002
Viatical Center, Inc. 
64650
March 25, 2002
Beneficial Assistance a/k/a Beneficial Assurance, Ltd.; t/a Imtek Funding Corporation
64649
March 25, 2002
Creative Financial Funding, LLC; American Money Power, Inc. d/b/a Money Power; Federal Capital, LLC; Corporate Fiducial Services, Inc.; Paul J. Meka; Larry Dunning
64653
February 22, 2002
Philip A. Lehman; Tower Equities, Inc.
64559
February 22, 2002
Brian Lloyd Gibbons
64558
January 15, 2002
Robert Dale Hylton; Hylton Enterprises, Inc.; Oreo Management Co.; Legend Leasing Co.; Liberty Marketing Co.; Passport Wholesale Supply
64343
December 28, 2001
Aeromax, Inc.; Aeromag Corporation; Lexington Bartlett; David L. Sears
64290
December 28, 2001
Charles Ray Stedman and Profutura, LLC
64284
December 28, 2001M.G. Natural Resources Corporation d/b/a Xenolix Technologies, Inc.; Alvin Charles Johnson, Jr.64283
November 29, 2001Mark Aaron Sutter64246
November 29, 2001
Kenneth R. Morris; Accelerated Success, Inc.
64245
November 08, 2001
Paul C. Woodcock
64204
November 08, 2001Hyland A. Stokes; Estate Planning Protection, Inc.64203
November 08, 2001Gary L. Christian d/b/a Cornerstone Senior Planning64202
November 08, 2001Robert D. Pierson64201
November 08, 2001Integrity Assured Life Settlements, Inc.64200
November 08, 2001Steven S. Levine Chartered54199
October 30, 2001
Roger Lancette d/b/a National Estate Service and Planning and Senior Advisory Services
64185
October 30, 2001
Wallace Butterworth d/b/a Butterworth Advisory Services and Senior Advisory Services
64184
October 30, 2001
Wayne Keith Richardson; Edge Business Services, Inc.
64165
October 4, 2001Randall Wayne Smith, Jr.64080
October 04, 2001
Kenneth Eugene Schaub; Investment Planners Of America, Inc.
64079
October 04, 2001
Prosperity Investors Group a/k/a Prosperity Investors Trust a/k/a/ Prosperity Express Ltd.; Neil R. McAllister; Fred C. Ruscher
64078
September 18, 2001
Hotel Connect LLC’s #100-1100
64041
September 18, 2001 Ronald Lee Goble d/b/a Southwest Trust & Financial64040
August 30, 2001Mark Alan Melkowski, Sr.; Eagle Communications, Inc.; Eagle One Financial & Tax, LLC  64006
August 30, 2001Joseph Michael Guess, Sr.; James Douglas Sherriffs; Ira Joe Patterson; Richard Gordon Davis 64005
July 24, 2001Stephen Michael Johnson d/b/a Ferndale Financial Group63874
June 28, 2001Melvin Lee Cline; Why Not Entertainment, LLC63852
June 28, 2001
William E. Bergh d/b/a National Financial Group; World Wide Business Opportunities, LLC
63851
June 06, 2001United Planners’ Financial Services Of America, L.P.63720
June 06, 2001
Charles W. Testino, Jr.; Arizona Investment Advisors, Inc.
63719
June 06, 2001
Wendell T. Decker, Jr.; Oxford Development, LLC; CNT Family Fun Outlets, Inc.
63718
June 06, 2001
Keith B. Davis a/k/a Skip Davis;, Keith B. Davis, Inc.
63717
May 24, 2001
Mobile Cash Systems, LLC; World Wireless Solutions, Inc. a/k/a Wireless Express USA, Inc.; World Electronic Payment Solutions, Inc. d/b/a WEPS; Kimber Lea Baudour; World Cash Providers, LLC; World Cash Providers, Inc.
63680
February 16, 2001 Progressive Financial Management; RGD; RGD Enterprises, Inc.; Bally Overseas Trading, Inc.63390
January 11, 2001David Patten; Albert Tabah; Global Harvest Corp.63318
December 23, 2000Joseph Hiland; Tyson Hiland; Travis Hiland; The Chamber Group, Inc. a/k/a Chamber Financial Group; Chamber Financialn/a
December 14, 2000Marie Lynn Sychowski63245
December 14, 2000Robert Scalzi63244
December 14, 2000Merle Amundson; Jeanne Amundson 63243
November 30, 2000Jerome Alex Zanowski 63217
November 30, 2000Deborah Suann Angus63208
November 11, 2000Lindzon & Associates LLC62986
November 02, 2000Mary Kersey; Successful Finance, Inc.62991
October 10, 2000Ethico Medical Management; Jane B. Lewis; Kimberly B. McMahan62923
October 10, 2000Matthew E. Hunzinger62922
October 10, 2000Jeffery G. Crawford62921
October 10, 2000Calumet Slag Inc.62920
September 18, 2000Richard John Pello62911
July 27, 2000George Brian Stone; Shirley Burnett; Mining Ventures International LLC n/a
July 25, 2000Tucson Estate Financial Advisors, Inc.; James R. Kinion, II; Vicki Kinion62747
July 24, 2000Craig Lynn Stocksleger62376
June 01, 2000Marvin Beckman; Planned Estate Consultants, Inc.n/a
May 04, 2000Daniel Garcia; John Ebdon; Carol Ebdon; Charles Shull; Cochise Financial Corp. 62509
April 28, 2000William Keith McCrea; Estate Services II, Inc.62496
April 28, 2000Susan Marie Wuest62497
April 28, 2000James Charles Simmons, Jr.62494
April 21, 2000William Robertson McRae; Barbara Ann McRaen/a
April 21, 2000William Robertson McRae; Barbara Ann McRaen/a
April 14, 2000William E. Bergh d/b/a National Financial Group; World Wide Business Opportunities, LLC62465
April 14, 2000Thomas Otto Tabat62464
April 14, 2000Michael R. French62463
April 14, 2000Superior Leasing of Arizona, Inc.; Superior Holding Group, Inc.; Lloyd H. Rockwell62462
April 14, 2000Norman L. Paulsrud62461
April 3, 2000American Express Financial Advisors62430
April 3, 2000Walter M. Elze, Jr.62429
April 3, 2000Great Western Investment Trust, Ltd.; Terry Scott Cattell; Susanne Mayfield Cattell; Dusty Buckel62428
March 3, 2000Forex Investment Services Corporation; Eastern Vanguard Forex, Ltd.; Eastern Vanguard Group, Ltd.; K. David Sharma; Sammy Lee Chun Wing; Peter Suen Suk Tak; Michael E. Cho; To Fai Cheng; Jean Yuen; Y & T, Inc. d/b/a Tokyo International Investment, Ltd.; Wing Ming Tam; Guo Quan Zhang; James Charles Simmons, Jr.62403
January 10, 2000Melvin Bangle62229
December 9, 1999Superior Leasing of Arizona, Inc.; Lloyd H. Rockwell; Michael R. Frenchn/a
November 23, 1999Jack Allen Gerber and Truckville, Inc. d/b/a EZ Finance Auto Salesn/a
November 19, 1999Premiere Financial Group, Inc.; Heritage Properties, Inc.; Estate Guardian Financial Services, Inc.; John H. Lawson62097
October 7, 1999James Newton Darwin IIn/a
August 27, 1999Premium Financial, LLC; Alan Stuart Bernstein; John Wilson Neal; Duke Bushongn/a
August 27, 1999DeAngelo & Associates, Inc.n/a
August 27, 1999Heritage West Advisors, LLC61906
August 27, 1999Rickie Owen Troxel d/b/a Columbus Financial Groupn/a
August 12, 1999Baptist Foundation of Arizona; Arizona Southern Baptist New Church Ventures, Inc.; Christian Financial Partners, Inc.61881
August 11, 1999John H. Lawson; Premiere Financial Group, Inc.n/a
August 5, 1999David Carl Taylor61874
July 21, 1999Jane Rosenberg Kornblut; R. D. Kushnir & Co.n/a
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