Enforcement Actions
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For older Actions, click on archive 1999-2003 or 2004-2007.   
May 20, 2019Theodore W. Fowler; Shana C. Fowler;  Whispering Creek Investments, L.L.C.
March 29, 2019Sean Zarinegar (a.k.a. Sean Zar and Bejahn Zarrinnegar); Kori Zarinegar; Jack Combs; Nancy Combs; Performance Realty Management, L.L.C.; American Realty Partners, L.L.C.; Corix Bioscience, Inc. (f.k.a. Corix Bioscience, Inc. and American Housing Income Trust, Inc.)
March 26, 2019Wagner Capital Management, L.L.C.; Zachary S. Wagner (CRD #6694074); Jessica N. Wagner
February 21, 2019 Kyusun Kim (CRD #2864085)
December 31, 2018Wealthcorp L.L.C.; Christopher Walkup
December 31, 2018The Credit Engineers, Inc.; David R. Kosack; Bryn Kosack; Ernie Barrueta (a.k.a. Ernest A. Barrueta and Ernesto A. Barrueta); David J. Varrone
December 31, 2018Kyusun Kim (CRD #2864085)
December 31, 2018Partisan Alliance Corporation; Joseph J. Carrillo; Azucena Carrillo
December 17, 2018Verdugo Enterprise L.L.C. d.b.a. Verdugo Gift Company; Isaias M. Verdugo; Jaime A. Verdugo; Maria G. Verdugo; Mario C. Verdugo Jr.; Teodoro M. Medellin; Sylvia Medellin; Filemon G. Caballero
December 14, 2018Anthony Eladio Ramos; Western Gateway Region Rural Broadband Company, Inc.
November 2, 2018JG Enterprise, L.L.C.; Fox First Services, L.L.C.; Jennifer Jean Gutschke; Carlton Lamont Fox
November 1, 2018Darrell G. Knoch; Imagine Enterprises, L.L.C.
September 18, 2018Skytrace, Inc.; Robert S. Smith (CRD #1145094); Janice Smith; Roland B. Woolsey
September 17, 2018Wesleyan Investment Foundation, Inc.
September 11, 2018Titan Funding Group I, L.L.C.; Titan Capital Real Estate Fund I, L.L.C.; Titan Capital Holdings L.L.C.; Adam W. Child; Erin M. Child; Roderick R. Rickert
June 29, 2018Performance Arbitrage Company, Inc.; Michelle Plant; Financial Product Distributors, L.L.C.; Michael David Woodard (CRD #3270674); Mark Corbett, Upstate Law Group, L.L.C.; Candy Kern-Fuller
June 25, 2018Michael Smoot d.b.a. GSI Global TV, Inc.; Black Platinum Holdings, L.L.C.; GSI Global, Inc.
June 15, 2018Cory R. Williams (CRD #4797256); Williams Advisory Group, L.L.C. (CRD #175402)
June 11, 2018David 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)
May 8, 2018Advanced Planning Concepts, L.L.C. (CRD #164725); Thomas J. Crisman (CRD #851859)
March 30, 2018BAIC, Inc.; SoBell Corp.; Andrew Gamber; Mark Corbett; Upstate Law Group, L.L.C.; Candy Kern-Fuller; Smith & Cox, L.L.C. (CRD #149088); William Andrew Smith (CRD # 5638821); Kimberly Ann Smith; Christopher Spence Cox (CRD #5639015); Beth Cox
March 27, 2018AZ Investment Property Experts, L.L.C.; Daniel C. Butterfield
March 12, 2018Thomas P. Madden; Leslie Madden
January 29, 2018Ronald Horn; Daniel Rondberg; Jennifer Rondberg; Randolph Rondberg; Katherine Rondberg; Jason Walter; Samantha Walter; John Walter; Janis Walter; Trager, L.L.C.
December 29, 2017Pacific Capital Enterprises L.L.C.; Superior Diamond Management L.L.C.; Michael Barry Eckerman; Tonya Eckerman; Vanessa R. Sandoval
November 29, 2017

Lawson Financial Corporation (CRD #15261); Robert Warren Lawson (CRD #501167)

November 22, 2017Howard Price Wealth Management, L.L.C.; Howard M. Price III (CRD #4650960)
October 30, 2017Robert Nico Martinelli (f.k.a. Robert Apgar Zakian, CRD #2387821); Guardian Wealth Management, L.L.C. (f.k.a. AIM Investment Group, L.L.C., CRD #148536)
September 22, 2017Eugene D. Anderson (CRD #1127707); Jeannie S. Anderson
August 17, 2017William Austin Bailey (CRD #1085215); Associated Professional Investments. L.L.C. (CRD #148986)
July 11, 2017Real Estate Finance Corporation; WIN Opportunity Fund, L.L.C.; WIN Management, L.L.C.; Adam W. Child; Erin M. Child
June 29, 2017GenTecnics, L.L.C.; iCorp, L.L.C.; James E. Stroup
June 28, 2017DrHorsepower, Inc.; Steven Scholl; Sandra Jones; Bruce Guercio
June 9, 2017Stephen M. Thompson; Leland Energy, Inc.; Leland Kentucky Holdings, Inc.; Leland Colorado. Holdings, Inc.; Leland Tennessee Holdings, Inc.; The Appalachian Drilling Fund II, L.L.P.; Knox Drilling Fund II, L.L.P.; Green County Energy Fund, L.L.P.; Rodgers Production Revenue Fund, L.L.P.; Energy Production Revenue Fund, L.L.P.; Block City Drilling Fund, L.L.P.; Weld County Drilling Fund, L.L.P.; Wattenberg Drilling Fund, L.L.P.; Wattenberg Drilling Fund II, L.L.P.
June 1, 2017Donna Kay Beers (CRD #1172038); James Beers; Caesar Investments, L.L.C.
May 24, 2017Walter Jerome Clarke (CRD #2579982); Wealth Index Advisors, L.L.C. (CRD #281750)
May 22, 2017Hawkins Wealth Advisory L.L.C.; Robert Eric Hawkins
May 15, 2017Michael A. Crowe (CRD #1057029); Lequita Crowe
April 5, 2017Lawrence M. LaBine (CRD #1279935)
March 1, 2017Ryan Miguel (CRD #4581157, a.k.a. Ryan Miguel Pina and Ryan Lee Oliver); Robert Eric Hawkins; Infinity Fuels, Inc.
January 19, 2017Simply Smart Homes, L.L.C.; Smart Enterprises, L.L.C.; Richard A. Smart
December 23, 2016J. Randall Gladden (CRD #1789356)
December 12, 2016Premier Asset Management Group, L.L.C.; Michael Berry Eckerman; Tonya Eckerman
October 4, 2016WMF Management, L.L.C.; Woodbridge Group of Companies, L.L.C.; Woodbridge Mortgage Investment Fund 1, L.L.C.; Woodbridge Mortgage Investment Fund 2, L.L.C.; Woodbridge Mortgage Investment Fund 3, L.L.C.; Woodbridge Mortgage Investment Fund 3A, L.L.C.; Robert H. Shapiro; Robert W. Carfagno, Senior (CRD # 2387162); Debra L. Carfagno; AIO Financial L.L.C.; William F. Holliday (CRD #4930333); Guadalupe A. Holiday
October 3, 2016Ryan Miguel (CRD #4581157, a.k.a. Ryan Miguel Pina and Ryan Lee Oliver); Robert Eric Hawkins; Infinity Fuels, Inc.
September 27, 2016Jacob Wohl; Matthew Johnson; Wohl Capital Investment Group, L.L.C.; NeX Capital Management, L.L.C.; Montgomery Assets, Inc.
September 19, 2016Delta FX Trade
September 9, 2016Coverlugg, L.L.C.; FoneFace, L.L.C.; Birdie Media L.L.C.; Gregory J. Sanchez; Jill K. Sanchez
August 30, 2016Jeremy Diaz (CRD #4735164); IDIAZ, L.L.C.; Wealth Creator Private Equity, L.L.C.
July 8, 2016John Anthony Waszolek (CRD #800403); Kathleen Waszolek
June 29, 2016Visionary Business Works, Inc. d.b.a. Fleetronix; Robert Brian Brauer; Melissa Brauer; Timothy John Wales; Stacey Wales
June 28, 2016Gregory Allen McClain
June 22, 2016Tracy N. Wengert (CRD #3182678); Jeanette Wengert
Paul A. Steffany (CRD #1082262)
March 25, 2016Marchant International Resources, Inc.; Kenneth White ( a.k.a. Kenneth Whyte)
March 14, 2016David J. Escarcega (CRD #4367584)
February 23, 2016

Robert J. Moss; Jennifer L. Moss; The Fortitude Foundation; Ventures 7000, L.L.C.; Jeffrey D. McHatton; Starla T. McHatton; Robert D. Sproat; Kevin Krause; Vernon R. Twyman, Jr.

January 8, 2016

Bart J. Ellis; Colleen Ellis; Oak Capital Partners, L.L.C.

December 30, 2015

Shadow Beverages and Snacks, L.L.C.; Lucio George Martinez; Lisa K. Martinez; Samuel A. Jones

August 26, 2015

USA Barcelona Realty Advisors, L.L.C.; USA Barcelona Hotel Land Company I, L.L.C.; Richard C. Harkins; Robert J. Kerrigan (CRD #268516); George T. Simmons; Janet B. Simmons; Bruce Orr

June 30, 2015

LoanGo Corporation; Justin C. Billingsley; Heather Billingsley; Jeffrey Scott Peterson; John Keith Ayers; Jennifer Ann Brinkman-Ayers

June 24, 2015Franklin AAA Holdings, L.L.C.; Anthony Clavien

June 18, 2015

Henryk Jan Kunowski (a.k.a. H. Jon Kunowski and Jon Kunowski)

May 7, 2015

Concordia Financing Company, Ltd. (a.k.a. Concordia Finance); ER Financial & Advisory Services, L.L.C.; Lance Michael Bersch; David John Wanzek; Linda Wanzek

April 8, 2015

Deer Park Development Corporation; Marty O'Malley; Julie Unruh O'Malley; Robert D. Bjerken

November 14, 2014

Red Mountain Funding, Inc.; Bryan J. Sammons; Mary L. Sammons

September 17, 2014

Investment Acquisitions Group, L.L.C.; Jeffrey Heady; Amy Heady

September 11, 2014

Michelle Lee Wagner (CRD #2403647)

July 1, 2014

Anthony Ray Stacy (CRD #1772484)

June 2, 2014

Catharon Software Corporation; Betsy A. Feinberg; Michael A. Feinberg

April 28, 2014

Timothy D. Moran (CRD #2326078); Patricia Moran; Patrick Moran (CRD #1496354); Kelly Moran

March 24, 2014

Neoteric Energy, Inc.; Kevin D. Grace; Madelynn R. Jones (CRD #4482773)

February 27, 2014

Concordia Financing Company, Ltd. (a.k.a. Concordia Finance); ER Financial & Advisory Services, L.L.C.; Lance Michael Bersch; David John Wanzek; Linda Wanzek

February 26, 2014

Catharon Software Corporation; Betsy A. Feinberg; Michael A. Feinberg

December 31, 2013

Monika Catlin; Monika Catlin as Trustee of MLC Living Trust Dated 3-17-1999; Damopa Investments, L.L.C.; Monika Catlin, L.L.C.

December 10, 2013

Todd R. Nuttall; Magdalena Homes, L.L.C., Rotall Marketing Group L.L.C. d.b.a. Direct Rev Millionaire; Todd Robert Homes
November 19, 2013

William N. Nordstrom, Linda Nordstrom,  Nordstrom Nordstrom I, Inc.; Nordstrom Imports, Inc.

November 19, 2013Michael J. Blake (CRD #2022161)
November 18, 2013

Kent Maerki; Norma Jean Coffin (a.k.a. Norma Jean Maerki and Norma Jean Maule); Dental Support Plus Franchise, L.L.C.

November 5, 2013James F. Liebes (CRD #2332174); Lanesborough Financial Group L.L.C.
November 5, 2013Brian C. Hageman; Deluge, Inc.; Hydrotherm Power Corporation
November 5, 2013Jon Joseph Bauman (CRD #5007841)
September 6, 2013

Nathaniel J. Wilson

September 6, 2013

Out of the Blue Processors, L.L.C. d.b.a. Out of the Blue Processors II, L.L.C.; Mark Steiner (CRD #1834102); Shelly Steiner

September 6, 2013

Ride Hard and Pray, L.L.C.; Robert J. Dudek (a.k.a. Bobby D. and Bobby Dudek); Renita G. Dudek

April 23, 2013

Jonathon James Murray; Wendy Lynn Murray

April 23, 2013

Lynn R. Goldney (CRD #1325181); Valerie L. Goldney

April 16, 2013

3T Options, L.L.C.; Tyrone L. Brooks

February 7, 2013

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

January 28, 2013

James F. Liebes (CRD #2332174); Lanesborough Financial Group L.L.C.

January 15, 2013

TV Products, L.L.C. f.k.a. US Loans Negotiation, L.L.C.; Stephen Christopher Donovan

December 4, 2012

Thomas Laurence Hampton (CRD #2470192); Stephanie Yager; Timothy D. Moran (CRD #2326078); Patricia Moran; Patrick Moran (CRD #1496354); Kelly Moran; Hampton Capital Markets, L.L.C.

November 8, 2012

Tri-Core Companies, L.L.C.; Tri-Core Mexico Land Development, L.L.C.; Tri-Core Business Development, L.L.C.; ERC Compactors, L.L.C.; ERC Investments, L.L.C.; C&D Construction Services, Inc.; Pangaea Investment Group, L.L.C. d.b.a. Arizona Investment Center; Jason Todd Mogler; Brian N. Buckley; Cheryl Barrett Buckley; Casimer Polanchek; Nicole Kordosky

November 7, 2012Brian Patrick Langenbach; Sheri Lynn Barbara Langenbach; Earth Explorations, L.L.C.
October 26, 2012

Morrie S. Friedman; Judith Ann Friedman

October 24, 2012

Joshua Trent (CRD #3096291) d.b.a. PHXiNVEST; Derek Dahl d.b.a. PHXiNVEST; Tasha Trent Dahl; Real Estate Monster, L.L.C.

October 17, 2012Mark Dana Hughes (CRD #1843511); Dolly A. Hughes; Legacy Financial Advisors, L.L.C. (CRD #114029)
October 3, 2012Huel Cox (CRD #1638341)
September 21, 2012

Patrick Leonard Shudak; Promise Land Properties, L.L.C.; Parker Skylar & Associates, L.L.C.

September 21, 2012

Patrick 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 & Trading L.L.C.

September 21, 2012

International Air Medical Services, Inc.; Thomas F. Kelley; Laura Kelley

September 21, 2012

Joshua Trent (CRD #3096291) d.b.a. PHXiNVEST; Derek Dahl d.b.a. PHXiNVEST; Tasha Trent Dahl; Real Estate Monster, L.L.C.

September 20, 2012Donna Kay Beers (CRD #1172038); James Beers
September 4, 2012Morrie S. Friedman; Judith Ann Friedman
August 15, 2012True North Business Ventures, L.L.C.; Marvin Quinton Wilson; Krista Dianne Wilson
August 10, 2012Christopher Dean Dedmon (CRD #3015575); Kimberly Dedmon; Robert R. Cottrell (a.k.a. Rob Cottrell); SDC Montana Consulting, L.L.C. (a.k.a., d.b.a., a.b.n. SDC Montana and SDC Montana Oil & Gas Exploration); RSC Adventures, L.L.C.
July 12, 2012

Thomas Laurence Hampton (CRD #2470192); Stephanie Yager; Timothy D. Moran (CRD #2326078); Patricia Moran; Patrick Moran (CRD #1496354); Kelly Moran; Hampton Capital Markets, L.L.C.

April 25, 2012Chazel Capital, Inc.; OFIR Mine Project, LP; Kyle K. Huskin
April 24, 2012Alonzo L. Russell; A.L. Russell & Associates L.L.C.; RE-STAR L.L.C.; RE-STAR Holdings L.L.C.
April 6, 2012Arizona Gold Processing, L.L.C.; AZGO, L.L.C.; Charles L. Robertson
April 5, 2012Crystal Pistol Resources, L.L.C.; Crystal Pistol Management, L.L.C.; Liberty Bell Resources I L.L.C.; Peter Pocklington; John M. McNeil
March 30, 2012Benjamin M. Cvetkovich; Sterling Investments Group International, L.L.C.; George A. Pruden; Janet F. Pruden
March 30, 2012Seed Corporation; Randall Duane Simonson; Marilyn J. Simonson; Karl Henry Rehberg (a.k.a. Shawn Pierce); Helen Rehberg (a.k.a. Lisa Pierce)
March 5, 2012Andrew C. Menichino; Innovative Construction, Inc.; Atlantic Lexus, Ltd.
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 Steiner
January 30, 2012SouthWest BioFuels, L.L.C.; 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, L.L.C.
December 20, 2011Arthur Fried; Comprehensive 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, f.k.a. Escalade Ventures, L.L.C.
December 20, 2011Thomas Laurence Hampton (CRD #2470192); Stephanie Yager; Hampton Capital Markets, L.L.C.
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, L.L.C.
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, L.L.C.; Choice Property Group, L.L.C.; 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.
June 14, 2011Gary Patrick Duffy (CRD #1779786); The Investment Advisory Group, L.L.C.
June 8, 2011Rodolfo Alvarez (CRD #4375595); Laura Gonzalez
June 6, 2011Beverly Michele West; Ross West
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.
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 L.L.C.
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, L.L.C.; 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, L.L.C.; 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, L.L.C.; Lake Valley Petroleum, L.L.C.
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, 2010David Come Viens (f.k.a. David Warner Come, David Zachery Combs, and David Zachery); Scott Andrew Klaschka; Assisted Living Development Company, Inc.; ALDCO Investment #2 L.L.C. d.b.a. Concorde Assisted Living; ALDCO Investment #3 L.L.C. d.b.a. Assisted Living Residences at 51; ALDCO Investment #4 L.L.C. d.b.a. Bridges of Arcadia Assisted Living and Memory Care; ALDCO Investment #5 L.L.C. d.b.a. Cottages at Country Club I; ALDCO Investment #6 L.L.C. d.b.a. Reflection Bay Assisted Living and Memory Care; ALDCO Investment #10 L.L.C. d.b.a. Great Plains Assisted Living and Memory Care
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, L.L.C.; James Piccolo; Mary Elizabeth Piccolo; Craig Cottrell, (CRD #4552833); Andrea Cottrell; Charlevoix Homes, L.L.C.;  Michael Roberts
August 3, 2010Five Star Tree Service and Landscapes, L.L.C. (a.k.a. Five Star Tree Service); Richard McCullum, Jr.; Leah Atwood
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, L.L.C.; 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, 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 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, L.L.C.; 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, L.L.C.; Deluxe Live Productions
July 27, 2009Michael C. Reynolds; Tanzia Reynolds; Cash 2 U, L.L.C.; Dos Ninas, L.L.C.; Par 3 Management, L.L.C.
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, L.L.C.; 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, L.L.C.
April 24, 2009Thomas S. Blackwell (CRD #4370822); Kimberly Blackwell; Team Heat, L.L.C.
April 22, 2009Lamont C. Paterson II a.k.a. Folo Patterson d.b.a. Olof Enterprises; Eletrea L. Patterson; Olof Enterprises, L.L.C.
April 21, 2009Robert W. Mangold; Michelle M. Mangold; One Source Mortgage & Investments, Inc.; Strategic Equity Investments, L.L.C.
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, L.L.C.; Horizon Partners, L.L.C.; 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, L.L.C.; LM Beagle Properties, L.L.C.; Karlena, Inc.; Axis International, Inc.
February 19, 2009David W. Cole; Siiri Cole; Highline Estates, L.L.C.; Mutual Financial Services, L.L.C. d.b.a. MFS Real Estate Division and MFS Investments; Dream Craft, L.L.C.; 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, L.L.C.; Pizazz, L.L.C.
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, L.L.C.
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, L.L.C.; Severns Capital, L.L.C.; J.Dean, L.L.C.
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, L.L.C.; Erlinda De La Vara a.k.a. Erlinda G. Lopez
August 21, 2008Southern Homes, L.L.C.; 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, L.L.C.
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, L.L.C.; Blue Investments, L.L.C.; 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, L.L.C.; 3 Gringos Mexican Investments, L.L.C.
April 17, 2008Deborah Cheryl Bennett; A. James Bennett, M.D.
March 20, 2008Panama 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
February 28, 2008Kuypow, Inc.; Mo's Properties & Investment Group; Morris Clyde Kuykendall; Mo Kuykendall; Judy E. Powers
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.
January 10, 2008Donna Marie Shurot
January 25, 2008Scott Hutchinson; Jane Doe Hutchinson; Marine 3
January 15, 2008  Lingerie Nights DVD Magazine, L.L.C.; Raymond Javier Duran; Jane Doe Duran; Richard B. Cuen; Jane Doe Cuen