Securities Division
Matthew J. Neubert - Director
1300 W. Washington St. 3rd Floor
Phoenix, AZ 85007
(602) 542-4242
(866) 837-4399
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Enforcement Orders
1999-2003

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, click on the eDocket icon at the bottom of this page. 

For other Orders, click on archive 2004-2007 or  2008-Present.

Date FiledCompany/IndividualDecision #
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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