1300 W. Washington Street

Phoenix, AZ 85007-2996




Main: (602) 542-4242

Toll-Free Number in Arizona:
1-(866) 837-4399

Email: SecuritiesDiv@azcc.gov

Enforcement Actions

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.

To access the eDocket file containing all of the public documents filed in a case, click on the Respondent's name. EDocket also contains a schedule of all public events in a case, such as prehearings, hearings and Commission Open Meetings.  For other ways to find out about a case, click here.


December 12, 2023Bridge Advisory L.L.C. (CRD #148282)
December 12, 2023Blue Owl Technology Income Corp. (f.k.a. Owl Rock Technology Income Corp.)
November 21, 2023Lucio George Martinez; Lisa K. Martinez
November 17, 2023Christopher J. Lopez (CRD #4314767); Holly Lopez
November 17, 2023Swiss Valorem Bank Ltd.; GSB Gold Standard Corporation AG; GSB Gold Standard Pay Ltd. (acting under the brand GSDEFI); Josip Heit; Tannisha Glaspie
November 3, 2023Susan M. Koe (CRD #4819343)
October 27, 2023Operation Influence L.L.C. (d.b.a. WIFI Wealth); Jerrika Cox (a.k.a. Jerrika Wilkstrom); Bryce Cox (a.k.a. Brycen Cox)
October 4, 2023Q Financial Design, L.L.C. (CRD #152066); David F. Evans (CRD #2056137)
October 2, 2023Michael Alexander Candelario; REI Management L.L.C. (f.k.a. WLA Labs L.L.C.); REI House Buyers, L.L.C.
August 29, 2023Dan E. Droeg; Evelyn R. Droeg
August 25, 2023Robinhood Financial L.L.C.
August 18, 2023John A. Perez
August 15, 2023Ryan Morgan; Stuart Simonsen; All Done Consulting, L.L.C.; Saddlebrook Investments, L.L.C.
August 11, 2023Luke M. Johnson (CRD #3257008); Alicia Johnson; Legend Capital Group, Inc.
August 9, 2023Darien Euclid Bonney (CRD #4899007)
July 25, 2023Sterling Investment Advisor, L.L.C. (d.b.a. Sterling Advisor Group CRD #147357; Sterling Equity Alternative Fund, L.L.C.; Sterling Revenue Group, L.L.C.; Sterling Liquidity Fund, L.L.C.; Sterling Growth Equity Capital, L.L.C.; Sterling Equity Alternative Fund IV, L.L.C.; Lance Bennett Vennard (CRD #2684293); Valerie Vennard (CRD #5796439); Emily Millanes (CRD #4354459); Anthony Millanes;  Matthew Vennard (CRD #4198830); Luke Vennard (CRD #5071956); Cassondra Vennard
June 28, 2023Bryan L. Little (CRD #6670927); Melisa Little
June 2, 2023Michael Saquella; Best Image 1, L.L.C.; Cactus Blue Entertainment, L.L.C. 
May 10, 2023Philip Anthony Riposo; Hillary Shaw Riposo
April 18, 2023Agridime L.L.C.; Joshua Link; Tia Link
April 17, 2023Robert Brent Beane (CRD #5183037)
April 17, 2023Nexo Capital, Inc.
April 6, 2023David Todd Phillips (CRD #3094195); Camille Phillips; David Thomas Phillips (CRD #362511); Jane Taylor Phillips; Phillips Financial Services, L.L.C.; Estate Planning Specialists, L.L.C.
February 27, 2023Theodore Francis Dinges;  Gary Lee Dinges; Amazon Gold, L.L.C.
January 23, 2023James David Gray; Stephanie Gray; Seek Insurance Services, L.L.C.; Elite Benefits Group, L.L.C.



December 30, 2022Warren C. Nagler (CRD #3233469); Sunnyslope Capital Advisers L.L.C.
December 29, 2022Anthony Rohlik; RRE Investments, L.L.C.; ECB Real Estate, L.L.C.
December 28, 2022Gregory "Greg" Patrick Talbot (CRD #1802420); Caetrina Saymone Talbot
December 20, 2022Elevated Automations L.L.C.; Ecomelevation L.L.C.; Robert Halverson; Antonio Romero; Brandon Wasoski
December 7, 2022RRIM Asset Strategies, L.L.C. (CRD #117297); Robert A. Ritter (CRD #1985776); Tamara Ritter (a.k.a. Tamara Swinton)
December 2, 2022 Jeremie Sowerby; We Sell Miners, L.L.C.
October 20, 2022Jad Morris; Svitlana Kwee; Financial Leverage L.L.C.;  IQBiz Financial L.L.C.; IQBiz Funding, L.L.C.
September 30, 2022Robert Steven Swagger (CRD #3123602); Terri Lynne Swagger; TRS PureFlix, L.L.C.; TRS Companies, L.L.C.
September 1, 2022ISA Industries, Inc.; Hunter Bjork; Grace Bjork
August 23, 2022David Russell Dales (CRD #1493498)
July 11, 2022John V. Feneck (CRD #2418741); Feneck Consulting Group, L.L.C. (a.k.a. Feneck Consulting)
July 11, 2022BlockFi Lending L.L.C.
June 28, 2022Christine Lewis; Marcus Lewis
June 23, 2022Pamela Gail O’Neil Hopman (CRD #3023382); Paul Hopman; MaRico Tippett (CRD #4821428); Callie Tippett; PGH Advisors L.L.C. (CRD #156415)
May 18, 2022Timothy L. Wolf (CRD #1261588); Sharlene D. Wolf; Financial Concepts, Inc.
April 25, 2022William M. Deegan (CRD #2098524); Heartland Capital Partners, L.L.C.; Heartland Income Properties, L.L.C.
February 24, 2022Arthur Hoffinan (CRD #3193754); ICA Financial Services, L.L.C. (d.b.a. Integrity Capital Advisors)
January 31, 2022Voice of Guo Media, Inc.; Lihong Wei Lafrenz a.k.a. Sara Wei



December 30, 2021Kelly Marie Ryan (a.k.a. Kelly Black Ryan, Kelly Black-White, and Kelly Black); Premier Media Services, Inc. (d.b.a. Premier Distributing Services and Lenis USA)
December 29, 2021Antwon B. Day; FXPIPSESSION, L.L.C.
December 29, 2021James S. Miller (CRD #4875515); Biltmore Wealth Advisors, L.L.C. (CRD #165557)
December 22, 2021Wenima Development, L.L.C.; I AM America; Lenard Toye; Lori A. Toye 
December 20, 2021D2D Financial, L.L.C.; Rone Milton Dolph (CRD #3186460); Susan Dolph; Susan Jean Arcadia; Chad Arcadia; Super Commercial Loans L.L.C.; Anthony Bellassai a.k.a. Tony Bellassai 
December 7, 2021Jeffrey Allen Skidmore; Jennifer Skidmore; Money Never Sleeps, L.L.C. (d.b.a. Union Retirement Solutions and Union Estate Planning)
November 30, 2021TreyTrades L.L.C. (Arizona); Trey Trades L.L.C. (Florida); Richard K. Hainsworth III
November 19, 2021Meta 1 Coin Trust; Robert Paul Dunlap
September 29, 2021Marketing Dynamics, Inc.; Timothy Thomas La Duca (CRD #5223921); Sharon La Duca
July 9, 2021Patrick D. Nilles (CRD #4435443)
June 24, 2021Charles O’Dowd; Paula M. O’Dowd
June 3, 2021Archimedes Foundation Trust a.k.a. Archimedes Foundation Trust Group; David Hart; Dwayne Louise Hart; Kirk Koskella a.k.a. Kirk James; Jessica Mathis; Christine Tucker; Conrad Defriese; Wolfgang Kovacek
May 28, 2021Automata FX Ltd.; Joseph T. Nemeth
May 19, 2021MSM Financial L.L.C. (CRD #284781); Michael Sean Murphy (CRD #1315103)
May 13, 2021 David L. Shorey; Mary Jane Shorey; ABCO Energy, Inc. (f.k.a. Energy Conservation Technologies, Inc.); ABCO Solar, Inc. (f.k.a.  Westcap Energy, Inc.)
April 23, 2021Global Capital and Equity  L.L.C.; Bret Butler Reiss; Migranade, Inc.; Charles Hensley
April 1, 2021Guilford Nergard
March 22, 2021Family Tree Estate Planning, LLC; Sean N. Cagle; Brad Gerald Mason; Jason Wooten
February 24, 2021Cornerstone Wealth Management, L.L.C.; Nathaniel S. Barnhart (CRD #1898299); Lisa Renee Wilson Barnhart; AE Wealth Management, L.L.C. (CRD #282580); David James Callanan (CRD #4237166); Christopher Spence Cox (CRD #5639015); Beth Cox; William Andrew Smith (CRD #5638821); Kimberly Ann Smith; Smith & Cox, L.L.C. (CRD #149088)
January 29, 2021Tony Roland Spooner a.k.a. Anthony R. Spooner (CRD #2187069); Wendy Spooner; First Federal Security, Inc.



December 31, 2020Richard J. Daratony (d.b.a. High Desert Naturals, High Desert Natural, and Dr. Richard’s High Desert Naturals)
December 28, 2020AZ REI School, L.L.C.; SFG Real Estate Holdings , L.L.C.; Jeffrey Robert Simbric
December 28, 2020Ronald F. Stevenson (CRD #6716692); Successor in Interest of Barbara Clark Stevenson (a.k.a. Successor in Interest of Barbara E. Stevenson); American Financial Security, L.L.C.; American Financial Investments, L.L.C. (CRD #285559)
December 15, 2020Scott Wayne Reed (CRD #3007033); Sarah Reed; Pebblekick, Inc.; Don K. Shiroishi
November 18, 2020Sync Title Agency, L.L.C.; Rosicella Joplin; Sean Joplin; Christopher Olson 
November 13, 2020Patrick Jon Runninger (CRD #5223934); The Financial Group, L.L.C.
November 4, 2020Robert Francis Alexander
October 23, 2020Abuchi Okoye; Coininvest
October 22, 2020Todd Regan Elliott (CRD #5563784); Carla M. Elliott; Elliott Financial Group
October 20, 2020Donald Harris; Don’s Painter Stuff, L.L.C.
October 2, 2020AuroraTek Incorporated; William Alek; Aurora Ellegion (a.k.a. Aurora Light)
October 1, 2020Abuchi Okoye; Coininvest
September 30, 2020Alfred Baca; Chrysology Capital Group, L.L.C.
September 28, 2020Meroe Capital Group Ltd., Castle International, Inc.; Castle International, L.L.C.; Castle Air Holdings, L.L.C.; David Miller; Jayson R. Papa
September 24, 2020Seth Jardine; Caroline Jardine; EcoVista Development, L.L.C.; EcoVista Avondale, L.L.C.
September 17, 2020Roman Alejandro Corona (CRD #6347429)
August 19, 2020Jeffrey Francis Thompson (CRD #2732245); Leyenda Capital Partners, L.L.C. (d.b.a. JFThompson Wealth Management, IARD #282751)
August 6, 2020Adrian Ortega (CRD #5591481)
July 27, 2020Richard A. Smart; Smart Acquisitions, L.L.C.; Smart Enterprises, L.L.C.; Simply Smart Homes, L.L.C.
July 9, 2020Jeffrey Scott Peterson (CRD #2365060); Michael D. Silberman (CRD #2468726); Stacey Silberman; Justin C. Billingsley; Mobile Corporation (f.k.a. Mobile Pro Corporation); Quepasa Corporation; Wilson Sonsini Goodrich & Rosati, P.C.
June 29, 2020Ronald F. Stevenson (CRD #6716692); Barbara Clark Stevenson; American Financial Security, L.L.C.; American Financial Investments L.L.C. (CRD #285559) 
June 26, 2020Resa Wearables, Inc.; Glen D. Hinshaw
June 18, 2020My Trader Coin (a.k.a. MTCoin a.k.a. mytradercoin.com); Now Mining, L.L.C.; Jonathon Sifuentes Saucedo; Mario E. Magana Sosa; Alejandra Sosa (a.k.a. Juliet Alejandra Rozo); Moises Herrera, Sr.; Yolanda Herrera; Carlos Parra; Noahmi Parra 
June 17, 2020Edward Eugene Engel (a.k.a. Eddy Engel a.k.a. Ed Engel); Shara Engel; Rose Member Capital Group, L.L.C.; Biomed iNet L.L.C.
June 2, 2020Richard D. Saba Jr.; Saba Tooth Tiger, L.L.C. (d.b.a. Saba Investments)
May 1, 2020David Paul French; Sun State Property Preservation, L.L.C.; Wattenberg, L.L.C.; Wattenberg 1, L.L.C.
April 29, 2020Cornerstone Wealth Management, L.L.C.; Nathaniel S. Barnhart (CRD #1898299); Lisa Renee Wilson Barnhart; AE Wealth Management, L.L.C. (CRD #282580); Christopher Spence Cox (CRD #5639015); Beth Cox; William Andrew Smith (CRD #5638821); Kimberly Ann Smith; Smith & Cox, L.L.C. (CRD #149088)
April 24, 2020Conrad Coggeshall (CRD # 44383687); Business Owners Tax Relief L.L.C.
April 2, 2020OwnZones Media Network, Inc.; Daniel Goman; Alina Goman
April 1, 2020Bear Fruit Films, L.L.C. a.k.a. Bearfruit Films; James Simmons; Casey Simmons; Mark Smith
March 31, 2020LendingClub Corporation
March 20, 2020Luxury Management Group, L.L.C.; MTE 2013 Trust, Michael Barry Eckerman and Tonya Eckerman, Trustees; Michael Barry Eckerman; Tonya Eckerman
March 11, 2020NVSG702, L.L.C.; NVSG702 L.L.C.; SilverState702, L.L.C.; John R. Uranga
February 10, 2020Priority Wealth Advisers, Inc.; Joseph Donti



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, 2017Lawson 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



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Arizona Corporation Commission

1200 W. Washington Street

Phoenix, AZ 85007


Corporations Division

1300 W. Washington Street

Phoenix, AZ 85007


Tucson Office (Walk-ins only)

400 W. Congress Street

Tucson, AZ 85701