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 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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