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 Orders

To search for specific companies or individuals on this page, use Edit/Find (Ctrl F). To view a copy of the Order in Adobe PDF format, click on the Date next to that Respondent's name. You may obtain the Adobe PDF viewer at http://www.adobe.com..

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 recent Commission court decisions go here.

2024:

Date FiledCompany/IndividualDecision #
August 15, 2024Christopher Spence Cox; Beth Cox79487
July 18, 2024

United Planners Financial Services of America

79413
June 20, 2024Platinum Universal Trades79370
June 20, 2024David 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.79369
June 20, 2024Kingdom Financial Group, L.L.C. (CRD #155676)79368
June 20, 2024ISA Industries, Inc.; Hunter Bjork; Grace Bjork79367
June 20, 2024IG US L.L.C.79366
June 13, 2024Arizona Golden Assets IV, L.L.C.; Donald William Jones (CRD #724793); Sheryl Elaine Jonesn/a
May 13, 2024Anthony Rohlik; RRE Investments, L.L.C.; ECB Real Estate L.L.C.79349
May 13, 2024Hilary Shaw Riposo79348
May 13, 2024Theodore Francis Dinges; Gary Lee Dinges; Amazon Gold, L.L.C.79347
April 18, 2024TradeStation Crypto, Inc. 79323
April 18, 2024Warren C. Nagler (CRD #3233469); Sunnyslope Capital Advisers, L.L.C.79322
April 18, 2024David Russel Dales (CRD #1493498)79321
April 8, 2024Cellebration Life Sciences, Inc.; Timothy Kopatich; Jane Doe Kopatich; William M. Deegan (CRD #2098524); Anand Srivastava; Deven Pateln/a
March 15, 2024David L. Shorey; Mary Jane Shorey; ABCO Energy, Inc. (f.k.a Energy Conservation Technologies, Inc.); ABCO Solar, Inc. (f.k.a. Westcap Energy, Inc.)79315
March 15, 2024Integrated Advisors Network L.L.C. (CRD #171991)79314
January 24, 2024

Elevated Automations L.L.C.; Ecomelevation L.L.C.; Antonio Romero; Brandon Wasoski

79247
January 23, 2024Platinum Universal Tradesn/a

 

2023:

Date FiledCompany/IndividualDecision #
December 12, 2023Family Tree Estate Planning, L.L.C.; Sean N. Cagle; Brad Gerald Mason; Jason Wootten79184
December 12, 2023Bridge Advisory L.L.C. (CRD #148282)79183
December 12, 2023Blue Owl Technology Income Corp. (f.k.a. Owl Rock Technology Income Corp.)79182
November 21, 2023Lucio George Martinez; Lisa K. Martinezn/a
November 17, 2023Swiss Valorem Bank Ltd.; GSB Gold Standard Corporation AG; GSB Gold Standard Pay Ltd. (acting under the brand GSDEFI); Josip Heit; Tannisha Glaspien/a
November 3, 2023PIPS TRAILEXCH79170
November 3, 2023Susan M. Koe (CRD #4819343)79169
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)n/a
October 4, 2023RRIM Asset Strategies, L.L.C. (CRD #117297);  Robert A. Ritter (CRD #1985776); Tamara Ritter (a.k.a. Tamara Swinton)79112
October 4, 2023

Q Financial Design, L.L.C. (CRD #152066); David F. Evans (CRD #2056137)

79111
October 4, 2023Kelly Marie Ryan (a.k.a. Kelly Black Ryan, Kelly Black-White, and Kelly Black); Premier Media Services, Inc. (d.b.a. Premier Distributing Service and Lenis USA)79110
October 4, 2023William M. Deegan (CRD #2098524); Heartland Capital Partners, L.L.C.;  Heartland Income Properties L.L.C.79109
October 2, 2023Michael Alexander Candelario; REI Management L.L.C. (f.k.a. WLA Labs L.L.C.); REI House Buyers, L.L.C.n/a
September 11, 2023Patrick D. Nilles (CRD #4435443)79088
August 25, 2023Robinhood Financial L.L.C.79068
August 25, 2023Meta 1 Coin Trust; Robert Paul Dunlap79067
August 15, 2023Ryan Morgan; Stuart Simonsen; All Done Consulting, L.L.C.; Saddlebrook Investments, L.L.C.n/a
July 14, 2023Christine Lewis79039
July 14, 2023Marcus Lewis79022
June 28, 2023Antwon B. Day; FXPIPSESSION, L.L.C.78982
June 28, 2023Jad Morris; Financial Leverage L.L.C.; IQBiz Financial L.L.C.; IQBiz Funding, L.L.C.; Svitlana Kwee78981
June 28, 2023Bryan L. Little (CRD #6670927); Melisa Little78980
May 9, 2023PIPS TRAILEXCHn/a
April 18, 2023Agridime L.L.C.; Joshua Link; Tia Linkn/a
April 17, 2023Robert Brent Beane (CRD #5183037)78910
April 17, 2023Nexo Capital, Inc.78909
April 17, 2023Bear Fruit Films, L.L.C.; James Simmons; Mark Smith78908
March 23, 2023Robert Halverson 78887
March 16, 2023Automata FX Ltd.; Joseph T. Nemeth78864
February 27, 2023Theodore Francis Dinges;  Gary Lee Dinges; Amazon Gold, L.L.C.n/a
January 23, 2023Wilson Sonsini Goodrich & Rosati, P.C.78826
January 23, 2023James David Gray; Stephanie Gray; Seek Insurance Services, L.L.C.; Elite Benefits Group, L.L.C.78825
January 23, 2023Pamela Hopman (CRD #3023382); Paul Hopman; PGH Advisors L.L.C. (CRD #156415)78824

 

2022:

Date FiledCompany/IndividualDecision #
December 15, 2022

Richard J. Daratony (d.b.a. High Desert Naturals, High Desert Natural, and Dr. Rlchard’s High Desert Naturals)

78798
November 21, 2022MaRico Tippett (CRD #4821428); Callie Tippett78753
October 24, 2022Wealthcorp L.L.C.; Christopher Walkup78732
October 22, 2022Jad Morris; Svitlana Kwee; Financial Leverage L.L.C.;  IQBiz Financial L.L.C.; IQBiz Funding, L.L.C.n/a
September 20, 2022Wenima Development. L.L.C.;  I Am America; Lenard Toye; Lori A. Toye78705
September 20, 2022Jonathon Sifuentes Saucedo78704
September 20, 2022James S. Miller (CRD #4875515); Biltmore Wealth Advisors, L.L.C. (CRD #165557)78703
September 1, 2022ISA Industries, Inc.; Hunter Bjork; Grace Bjorkn/a
August22, 2022Patrick Jon Runninger (CRD #5223934); The Financial Group, L.L.C.78651
August 22, 2022Jennifer Skidmore78650
August 22, 2022Jeffrey Allen Skidmore; Money Never Sleeps, L.L.C.78649
July 27, 2022Sync Title Agency, L.L.C.; Rosicella Joplin; Sean Joplin; Christopher Olson78642
July 27, 2022Premier Asset Management Group L.L.C.; Michael Barry Eckerman; Tonya Eckerman; Bernardine Ann Michalik; Sean P. Shields; Venessa Sandoval; Ashley Abbema78641
July 27, 2022Moises Herrera, Sr.; Yolanda Herrera78632
July 11, 2022John V. Feneck (CRD #2418741); Feneck Consulting Group, L.L.C. (a.k.a. Feneck Consulting)78607
July 11, 2022

Arthur Hoffman (CRD #3193754); ICA Financial Services, L.L.C. (d.b.a. Integrity Capital Advisors)

78606
July 11, 2022BlockFi Lending L.L.C.78605
July 11, 2022

Todd Regan Elliott (CRD #5563784); Elliott Financial Group, Inc.; Carla M. Elliott

78604
May 27, 2022Nathaniel S. Barnhart (CRD #1898299); Lisa Renee Wilson Barnhart; Cornerstone Wealth Management , L.L.C.78562
May 18, 2022Timothy L. Wolf (CRD #1261588); Sharlene D. Wolf; Financial Concepts, Inc.n/a
April 28, 2022Ronald F. Stevenson (CRD #6716692 and Successor in Interest of Barbara Clark Stevenson); American Financial Security, L.L.C.; American Financial Investments, L.L.C.78528
April 28, 2022TreyTrades L.L.C. (Arizona L.L.C.); TreyTrades L.L.C. (Florida L.L.C.); Richard K. Hainsworth III78527
April 28, 2022Carlos Parra, Noahmi Parra78526
April 28, 2022My Trader Coin (a.k.a.  MTCoin and mytradercoin.com)78525
April 25, 2022William M. Deegan (CRD #2098524); Heartland Capital Partners, L.L.C.; Heartland Income Properties, L.L.C.n/a
March 24, 2022Marketing Dynamics, Inc.; Timothy La Duca (CRD #5223921); Sharon La Duca78514
March 24, 2022D2D 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)78502
March 24, 2022Scott Wayne Reed (CRD #3007033); Sarah Reed78501
March 2, 2022AZ REl School, L.L.C.; SFG Real Estate Holdings, L.L.C.; Jeffrey Robert Simbric78480
March 2, 2022Archimedes Foundation Trust (a.k.a. Archimedes Foundation Trust Group); David Hart; Dwayne Louise Hart; Kirk Koskella (a.k.a. Kirk James); Christine Tucker; Harry Tucker; Conrad Defriese; Wolfgang Kovacek78479
March 2, 2022Global Capital and Equity L.L.C.; Brett Butler Reiss78478
January 31, 2022Luxury Management Group, L.L.C.; MTE 2013 Trust, Michael Barry Eckerman, and Tonya Eckerman, trustees; Michael Barry Eckerman; Tonya Eckerman 78419
January 31, 2022

Voice of Guo Media, Inc.; Lihong Wei Lafrenz a.k.a. Sara Wei 

78418
January 31, 2022

Tony Roland Spooner a.k.a. Anthony R. Spooner (CRD #2187069); Wendy Spooner; First Federal Security, Inc.; Rokay Unlimited, L.L.C. 

78417
January 31, 2022MSM Financial L.L.C. (CRD #284781); Michael Sean Murphy (CRD #1315103)78416

 

2021:

Date FiledCompany/IndividualDecision #
December 28, 2021Now Mining, L.L.C.78355
December 28, 2021

Sean Zarinegar (a.k.a. Sean Zar and Bejahn Zarrinegar); Kori Zarinegar; Performance Realty Management, L.L.C.

78354
December 20, 2021D2D Financial, L.L.C.; Rone Milton Dolph (CRD #3186460); Susan Dolph; and Susan Jean Arcadia; Chad Arcadia; Super Commercial Loans L.L.C.; Anthony Bellassai a.k.a. Tony Bellassai n/a
November 19, 2021Meta 1 Coin Trust; Robert Paul Dunlapn/a
November 5, 2021Mario E. Magana Sosa; Alejandra Sosa78294
November 5, 2021Edward 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.78293
November 5, 2021William Melvin Hawkins a.k.a. Mel Hawkins (CRD #831356); Biomed Pharma Group, Inc.78292
September 29, 2021

Don Harris; Donna Harris; Don’s Painter Stuff, L.L.C.

78242
September 29, 2021NVSG702, L.L.C.; NVSG702 L.L.C.; Silverstate702, L.L.C.; John R. Uranga78241
September 1, 2021Migranade, Inc.; Charles Hensley78220
September 1, 2021AE Wealth Management, L.L.C. (CRD #282580); David James Callanan (CRD #4237166)78219
July 28, 2021Grand Oak Enterprises, L.L.C.; Tarleton J. Karry (CRD #2862611)78139
June 24, 2021OWNZONES Media Network, Inc.; Daniel Goman; Alina Goman78049
June 24, 2021Charles O’Dowd; Paula M. O’Dowd78048
May 28, 2021Automata FX Ltd.; Joseph T. Nemethn/a
May 18, 2021Meroe Capital Group Ldt.; Castle International, Inc.; Castle International, L.L.C.; Castle Air Holdings, L.L.C.; David Miller; Jayson R. Papa78001
May 18, 2021Resa Wearables, Inc.; Glen D. Hinshaw78000
May 5, 2021Jerry L. Guttman (CRD #1078383), Jerry L. Guttman as Trustee of the Guttman Family Trust DTD 12/4/2000; Serenity Cemeteries II, L.L.C.; Serenity Cemeteries IV, L.L.C.; Serenity Cemeteries VI, L.L.C.; Serenity Cemeteries VII, L.L.C.; Champion Entertainment Group, L.L.C.77980
May 5, 2021Abuchi Okoye; Coininvest77979
May 5, 2021Frederick Arias; The Joseph Project77978
May 5, 2021Troy Michael Bohlke; Arizona Acquisitions Group, L.L.C.77977
April 1, 2021Guilford Nergard77919
April 1, 2021Seth Jardine; EcoVista Development, L.L.C.; EcoVista Avondale, L.L.C.; Caroline Jardine77910
February 12, 2021Wattenberg 1, L.L.C.77908
February 12, 2021Robert Francis Alexander77907
February 12, 2021

Verdugo Enterprise L.L.C. (d.b.a. Verdugo Gift Company); Isaias M. Verdugo; Maria G. Verdugo; Mario C. Verdugo, Jr.; Filemon G. Caballero

77902
January 22, 2021David Paul French; Sun State Property Preservation, L.L.C.; Wattenberg, L.L.C.77880
January 22, 2021Alfred Baca; Chrysology Capital Group, L.L.C.77879
January 22, 2021Bradley J. Tennison; Deborah Tennison77878

 

2020:

Date FiledCompany/IndividualDecision #
December 31, 2020Richard J. Daratony (d.b.a. High Desert Naturals, High Desert Natural, and Dr. Richard’s High Desert Naturals)n/a
December 17, 2020Roman Alejando Corona (CRD #6347429)77832
December 17, 2020Jeffrey Francis Thompson (CRD # 2732245); Leyenda Capital Partners, L.L.C. (d.b.a. JFThompson Wealth Management (IARD #282751)77831
November 12, 2020Performance Arbitrage Company, Inc.; Michelle Plant; Financial Product Distributors, L.L.C.; Michael David Woodard (CRD #3270674); Deborah G. Woodard; Mark Corbett; Upstate Law Group, L.L.C.; Candy Kern-Fuller77806
November 12, 2020Justin C. Billinglsey77805
November 12, 2020Richard D. Saba Jr.; Saba Tooth Tiger, L.L.C. (d.b.a. Saba Investments)77800
November 4, 2020Robert Francis Alexandern/a
October 23, 2020Abuchi Okoye; Coininvestn/a
October 22, 2020Richard A. Smart; Smart Acquisitions, L.L.C.; Smart Enterprises, L.L.C.; Simply Smart Homes, L.L.C.77765
October 22, 2020Adrian Ortega (CRD #5591481)77764
October 20, 2020Donald Harris; Don’s Pinter Stuff, L.L.C.n/a
October 2, 2020Mark Corbett; Smith & Cox, L.L.C. (CRD #149088); William Andrew Smith (CRD #5638821); Kimberly Ann Smith; Christopher Spence Cox (CRD #5639015); Beth Cox77747
October 2, 2020Conrad Coggeshall (CRD #4383687); Business Owners Tax Relief L.L.C.77726
October 2, 2020AuroraTek Incorporated; William Alek; Aurora Ellegion (a.k.a. Aurora Light)77725
October 1, 2020Abuchi Okoye; Coininvestn/a
September 24, 2020Seth Jardine; Caroline Jardine; EcoVista Development, L.L.C.; EcoVista Avondale, L.L.C.n/a
June 30, 2020Maximo Natural Products, Inc.; Ismael Villalobos (a.k.a. Ismael Villalobos Garcia); Blanca Villalobos77643
May 14, 2020Anthony Eladio Ramos; Western Gateway Region Rural Broadband Company, Inc.77619
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)n/a
April 22, 2020Marvin Robby Richards77595
March 31, 2020LendingClub Corporation77576
March 31, 2020Forex & Bitcoin Trader77575
February 10, 2020Robert J. Moss; Jennifer L. Moss;  The Fortitude Foundation; Ventures 7000, L.L.C.; Jeffrey D. McHatton; Starla T. McHatton; Robert B. Sproat; Kevin Krause; Vernon R. Twyman, Jr.77547
February 10, 2020Priority Wealth Advisors, Inc.; Joseph Donti77545
February 6, 2020William Austin Bailey (CRD #1085215); Associated Professional Investments, L.L.C. (CRD #148986)77542
January 15, 2020Kerease Gillman (a.k.a. Kerease Margita) d.b.a. Southwest Bookkeeping Service; Timothy Gillman77533

 

2019:

Date FiledCompany/IndividualDecision #
December 17, 2019Venessa R. Sandoval; Ashley Abbema 77502
December 17, 2019Wagner Capital Management, L.L.C.; Zachary S. Wagner (CRD #6694074)77497
December 17, 2019Robert Charles High II (CRD #4568165)77496
December 17, 2019American Realty Partners, L.L.C.; Corix Bioscience, Inc. (f.k.a. American Housing Income Trust, Inc.)77495
December 17, 2019Jack Combs; Nancy Combs77494
November 6, 2019Teodoro M. Medellin; Silvia Medellin77446
November 1, 2019Forex & Bitcoin Tradern/a
October 24, 2019Theodore W. Fowler; Shana C. Fowler; Whispering Creek Investments, L.L.C.77427
October 24, 2019

The Credit Engineers, Inc.; David R. Kosack; Bryn Kosack; Ernie Barrueta (a.k.a. Ernest A. Barrueta and Ernesto Barrueta); David J. Varrone

77426
October 21, 2019Marvin Robby Richardsn/a
September 13, 2019Robert S. Smith (CRD #1145094); Janice Smith77411
September 11, 2019Trager L.L.C.77400
September 11, 2019John Walter; Janis Walter77399
September 11, 2019Jason Walter; Samantha Walter77398
September 11, 2019Randy Rondberg; Katherine Rondberg77397
September 11, 2019Daniel Rondberg; Jennifer Rondberg77396
September 11, 2019Ronald Horn77395
August 19, 2019 Roland B. Woolsey 77370 
August 19, 2019Skytrace, Inc.77369
July 19, 2019AZ Investment Property Experts, L.L.C.; Sandy Beach Esmeralda Development, L.L.C.; Daniel C. Butterfield77293 
July 10, 2019Jaime A. Verdugo 77271
June 13, 2019 Adam W. Child; Erin M. Child77256 
June 13, 2019 David 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) 77255 
June 13, 2019 Fox First Services, L.L.C.; Carlton Lamont Fox; Soy Mora (a.k.a. Soy Fox)77254 
May 29, 2019 Kyusun Kim (CRD #2864085) 77197 
May 29, 2019 AZ Investment Property Experts, L.L.C.; Sandy Beach Esmeralda Development, L.L.C.; Daniel C. Butterfield 77196 
May 15, 2019 Jeremy Vincent Diaz (CRD #4735164); IDIAZ, L.L.C.; Wealth Creator Private Equity, L.L.C.77172 
April 26, 2019Roderick R. Rickert 77160 
April 26, 2019 Titan Capital Real Estate Fund I, L.L.C. 77159 
April 26, 2019 Partisan Alliance Corporation; Joseph J. Carillo; Azucena Carrillo77158
April 26, 2019JG Enterprise, L.L.C.; Jennifer Jean Gutschke 77157 
April 26, 2019BAIC, Inc.; SoBell Corp.; Andrew Gamber77156 
March 13, 2019Pacific Capital Enterprises L.L.C.; Superior Diamond Management L.L.C.; Michael Barry Eckerman; Tonya Eckerman77117
March 13, 2019Thomas P. Madden; Leslie Madden77116
February 20, 2019 Concordia Financing Company, Ltd. (a.k.a. Concordia Finance); ER Financial & Advisory Services, L.L.C.; Lance Michael Bersch; David John Wanzek; Linda Wanzek 77088 
February 7, 2019Real Estate Finance Corporation; WIN Opportunity, L.L.C.; Adam W. Child; Erin M. Child; WIN Management, L.L.C.77069
February 7, 2019Titan Funding Group I, L.L.C.; Titan Capital Holdings L.L.C.77068
February 7, 2019Coverlugg L.L.C.; Birdie Media L.L.C.; Gregory J. Sanchez; Jill K. Sanchez77067
January 16, 2019Darrell G. Knoch; Imagine Enterprises, L.L.C.77046
January 11, 2019LPL Financial L.L.C. (CRD #6413)77024

 

2018:

Date FiledCompany/IndividualDecision #
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. Varronen/a
December 14, 2018Anthony Eladio Ramos; Western Gateway Region Rural Broadband Company, Inc.n/a
November 27, 2018Robert H. Shapiro76962
November 27, 2018WMF 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., and Woodbridge Mortgage Investment Fund 3A, L.L.C.76961
November 2, 2018JG Enterprise, L.L.C.; Fox First Services, L.L.C.; Jennifer Jean Gutschke; Carlton Lamont Foxn/a
September 17, 2018Wesleyan Investment Foundation, Inc.76875
September 17, 2018Stephen M. Thompson; Leland Energy, Inc.; Leland Kentucky Holdings, Inc.; Leland Colorado Holdings, Inc.; The Appalachian Drilling Fund II, L.L.P.; Knox Drilling Fund II, L.L.P.; Green County Energy Fund, L.L.P.; Joseph E. Finateri; Leland Tennessee Holdings, Inc.; 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.; Greeley Wattenberg Drilling Fund, L.L.P.; Opportunity Drilling & Acquisition Fund, L.L.P.; Presidents Fund, L.L.P.; Leland Energy Fund, L.L.P.; Leland Energy Fund II, L.L.P.; Extension Drilling & Revenue Fund, L.L.P.76874
September 17, 2018Advanced Planning Concepts, L.L.C. (CRD #164725); Thomas J. Crisman (CRD #851859)76873
August 22, 2018Cory R. Williams (CRD #4797256); Williams Advisory Group, L.L.C. (CRD #175402)76821
August 8, 2018Walter Jerome Clarke (CRD #2579982); Wealth Index Advisors, L.L.C. (CRD #281750)76789
June 25, 2018Michael Smoot d.b.a. GSI Global TV, Inc.; Black Platinum Holdings, L.L.C.; GSI Global, Inc.76752
June 25, 2018Kirtan S. Khalsa76751
May 22, 2018Bruce Guercio76686
May 22, 2018DrHorsepower, Inc.; Steven Scholl; Sandra Jones76685
May 22, 2018Timothy John  Wales; Stacey Wales76683
May 22, 2018Lawson Financial Corporation (CRD #15261); Robert Warren Lawson (CD # 501167)76677
March 29, 2018Howard Price Wealth Management L.L.C.; Howard M. Price III (CRD #4650960)76621
March 29, 2018Eugene D. Anderson (CRD #1127707); Jeannie S. Anderson76620
March 27, 2018AZ Investment Property Experts, L.L.C.; Daniel C. Butterfieldn/a
January 19, 2018

Robert 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)

76544
January 19, 2018GenTecnics, L.L.C.; iCorp L.L.C.; James E. Stroup76543
January 19, 2018Delta FX Trade76542
January 3, 2018Bart J. Ellis; Colleen Ellis; Oak Capital Partners, L.L.C.76541
January 3, 2018Kent Maerki; Norma Jean Coffin (a.k.a. Norma Jean Maerki and Norma Jean Maule); Dental Support Plus Franchise, L.L.C.76530
January 3, 2018USA 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; Susan S. Orr76529
January 3, 2018Clear Energy Group, L.L.C.; Paul W. Ramirez76517
January 3, 2018Jacob Wohl; Matthew Johnson; Wohl Capital Investment Group, L.L.C.; NeX Capital Management, L.L.C.; Montgomery Assets, Inc.76516

 

2017:

Date FiledCompany/IndividualDecision #
December 29, 2017Pacific Capital Enterprises L.L.C.; Superior Diamond Management L.L.C.; Michael Barry Eckerman; Tonya Eckerman; Vanessa R. Sandovaln/a
November 22, 2017Howard Price Wealth Management, L.L.C.; Howard M. Price III (CRD #4650960)n/a
November 7, 2017Jason Todd Mogler; Tri-Core Companies, 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. 76452
November 7, 2017Jacob Wohl; Matthew Johnson; Wohl Capital Investment Group, L.L.C.; NeX Capital Management, L.L.C.; Montgomery Assets, Inc.76451
November 7, 2017 LoanGo Corporation; Justin C. Billingsley; Heather Billingsley; Jeffrey Peterson; John Keith Ayers; Jennifer Ann Brinkman Ayers76450
November 7, 2017Sharon Elizabeth Govan (a.k.a Sharon E. Govan-Smith, Sharon Smith, Ms. Sharon and Charron Govan)76449
November 7, 2017 Believing in Jesus Investments, L.L.C.; Phoebus Vincent Smith (a.k.a. Vince Smith and Mr. Vince)76447
November 7, 2017Anthony Waszolek (CRD #800403); Kathleen Waszolek76442
November 7, 2017Donna Kay Beers (CRD #1172038); James Beers; Caesar Investments, L.L.C.76441
August 23, 2017Michael A. Crowe (CRD #1057029); Lequita Crowe76321
July 13, 2017AIO Financial, L.L.C.; William M. Holliday (CRD #4930333); Guadalupe A. Holliday76198
July 13, 2017Lawrence M. Labine (CRD #1279935)76197
July 13, 2017Sam Ahdoot; Jane Doe Adhoot76196
July 11, 2017Real Estate Finance Corporation; WIN Opportunity Fund, L.L.C.; WIN Management, L.L.C.; Adam W. Child; Erin M. Chin/a
June 22, 2017Shadow Beverages and Snacks, L.L.C.; Lucio George Martinez; Lisa K. Martinez76155
May 22, 2017Hawkins Wealth Advisory L.L.C.; Robert Eric Hawkins76080
May 22, 2017Robert Eric Hawkins; Infinity Fuels, Inc.76079
May 22, 2017Visionary Business Works, Inc.76078
May 22, 2017Robert Brian Brauer; Melissa Brauer76077
April 11, 2017Tracy N. Wengert (CRD #3182678); Jeanette Wengert76074
April 11, 2017Ryan Miguel (CRD #4581157, a.k.a. Ryan Miguel Pina and Ryan Lee Oliver)76064
April 11, 2017Simply Smart Homes, L.L.C.; Smart Enterprises, L.L.C.; Richard A. Smart76063
March 22, 2017J. Randall Gladden (CRD #1789356)76031

 

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Arizona Corporation Commission

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Phoenix, AZ 85007

 

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Tucson, AZ 85701