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
2004 - 2007

 To search for specific companies or individuals on this page, use Edit/Find (Ctrl F).

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To access all of the public documents in a case, click on the eDocket icon at the bottom of this page.

To view other Orders, click on 1999-2003 or 2008-Present.
Date FiledCompany/IndividualDecision #
December 27, 2007Ferenc (Frank) J. Csampai; Robert N. Neklewicz a.k.a. Robert Neil Stock; Global Aviation Fuel Systems   n/a
December 6, 2007   David A. Cockrell; Cockrell Investment Resource Associates, LLC70066 
December 6, 2007Donald P. Shoemaker; Michael J. Sagnelli70065
December 6, 2007  Leonard Clark Rhodes, Jr.; Margaret Rhodes70064
November 20, 2007Donald Anthony Tomasian a.k.a. Donald Anthony Tomasian, Jr.; Katherina Tomasian; Bella Funding, LLCn/a
November 16,2007Ronald James Strayer; Jane Doe Strayer; Jeffrey Stanford Ryan; Lisa Scott; RJSR Land Development CR   n/a
October 18, 2007Cockrell Investment Resource Associates, LLC; David A. Cockrell; Jane Doe Cockrell n/a 
 October 16, 2007Interactive Technologies West, Inc.; Louis F. Conant, III; Kyle E. Gillman69943 
 October 16, 2007Agra-Technologies, Inc., a.k.a. ATI; William Jay Pierson a.k.a. Bill Pierson; Sandra Lee Pierson a.k.a. Sandy Pierson; William H. Baker, Jr., a.k.a. Bill Baker; Patricia M. Baker69942 
October 16, 2007  RYM Technology Holdings, LLC; Felix L. Daniel, Sr. 69941
September 6, 2007

Leonard Francis Alcaro a.k.a. Lenny Alcaro

69900

September 6, 2007

Jerry Johnston Hodges; Lawrence Kevin Paille a.k.a. Larry Paille

69899
August 13, 2007
John Edward Tencza; Christine M. Tencza; American Elder Group, LLC; American Elder Group, Inc.
69777
August 13, 2007

Gregory Grant Groh; Gail A. Groh

69776
August 13, 2007
Estate Protection Consultants, LLC; Ramon Conrado Villa Vasquez a.k.a. Ray C. Villa a.k.a. Ray Villa; Maria J. Villa
69775
August 13, 2007
Richard Allen Campbell a.k.a. Dick Campbell; Sondra Jane Campbell
69774
July 20, 2007

Kelly J. Waters; Daniel B. Waters; Kelly’s Mobile Home Sales, Inc.

n/a 
July 18, 2007ACI Holdings, Inc.69701
July 18, 2007James W. Keaton, Jr.; Jennifer Keaton69702
July 18, 2007Denise Leyshon 69703
July 18, 2007Mutual Benefits Corporation69704
July 18, 2007Perry Penny; Terry Penny; Penny Financial, Inc.; Penny Properties, Inc.69705
July 18, 2007Alonzo Russell d.b.a. Guardian Angel Advisers; Linda Russell69706
June 12, 2007Agra-Technologies, Inc. a.k.a. ATI; William Jay Pierson a.k.a. Bill Pierson; Sandra Lee Pierson a.k.a. Sandy Pierson; Richard Allen Campbell a.k.a. Dick Campbell; Sondra Jane Campbell; William H. Baker, Jr. a.k.a. Bill Baker; Patricia M. Baker; Jerry Johnston Hodges; Lawrence Kevin Paille a.k.a. Larry Paille n/a 
June 6, 2007Phillip Robert Ohst; Mary Elizabeth Ohst69641
June 6, 2007
Janalee Ranney Sneva d.b.a. Sneva Alliance
69640
May 17, 2007Trend Management Group, Inc.; Trend Capital, LLC 69438
May 1, 2007
Easy Street Financial Group, Inc.; Scot Alan Oglesby; Lori Ann Oglesby; Christopher Ellis Marx

69438

May 1, 2007
John S. Mendibles; MGN Enterprises, Ltd.
69439
March 20, 2007
Michael Eugene Kelly; Yucatan Resorts, Inc.; Yucatan Resorts, S.A.; Resort Holdings International, Inc.; Resort Holding International, S.A.; World Phantasy Tours, Inc. a.k.a. Majesty Travel a.k.a. Viajes Majesty
n/a 
March 20, 2007Owen A. Vilan; Lucina Vilan a.k.a. Lucy Vilan; Saguaro Investments, Inc. f.k.a. Vilan Enterprises, Inc.n/a
March 2, 2007Gary Wayne Hardy d.b.a. Hardy Asset Management; Hardy Asset Management69356
February 1, 2007Wachovia Capital Markets, LLC69294
February 1, 2007David J. Leyshon d.b.a. Leyshon Capital Management d.b.a. Leyshon Capital Management, LLC 69293
February 1, 2007Clinton Goff a.k.a. Clint Goff; Warren Exploration, LLC69292
February 1, 2007William Melvin Hawkins; Meta Funding, LLC69291
January 22, 2007Perry Penny; Terry Penny; Penny Financial, Inc.; Penny Properties, Inc.; RYM Technology Holdings, LLC; Felix L. Daniel, Sr.n/a 
January 16, 2007Mid America Energy, Inc.; Mid-America Oil & Gas, LLC; Gary M. Milby a.k.a. Gary Moss Milby a.k.a. Gary M. Milley; Energy Marketing, Inc.69233
January 16, 2007James Whatcott; Rita Whatcott69236 
January 16, 2007Lucille Blitz69235
January 16,2007John Blitz69234
November 29, 2006Mathon Management Company, LLCn/a 
November 20, 2006Trend Management Group, Inc.; Trend Capital, LLCn/a 
November 14, 2006Christopher Ellis Marx 69126
November 14, 2006Scot Alan Oglesby; Lori Ann Oglesby 69125
November 14, 2006Easy Street Financial Group, Inc.69124
October 16, 2006
Agra-Technologies, Inc. a.k.a. ATI; William Jay Pierson a.k.a. Bill Pierson; Sandra Lee Pierson a.k.a. Sandy Pierson; Richard Allen Campbell a.k.a. Dick Campbell; Sondra Jane Campbell; William H. Baker, Jr. a.k.a. Bill Baker; Patricia M. Baker; Jerry Johnston Hodges; Lawrence Kevin Paille a.k.a. Larry Paille
69942
September 29, 2006Gary M. Milby a.k.a. Gary Moss Milby a.k.a. Gary M. Milley; Mid America Energy, Inc.; Mid America Oil & Gas, LLC; Energy Marketing, Inc.n/a 
September 12, 2006Thomas C. Messina a.k.a. Thomas Campbell Messina a.k.a. Tom C. Messina, and Donna M. Messina68942
September 12, 2006Lori Lee Spranger a.k.a. Lori Moriarty a.k.a. Lori Lee Levandowski a.k.a. Lori Gessel d.b.a. Vector 90 Debt Purchasing; Michael Moriarty d.b.a. Vector 90 Debt Purchasing68941
September 12, 2006Kenneth Duane Feldhacker68940
September 12, 2006Ameriprise Financial Services, Inc.68939
September 8, 2006
Mid America Energy, Inc.; Mid America Oil and Gas, LLC; Energy Marketing Inc.; Warren Exploration, LLC; Clint Goff; Gary M. Milby a.k.a. Gary Moss Milby a.k.a. Gary M. Milley; Wanda Milby; Jim Whatcott; Rita Whatcott; John Blitz; Lucille Blitz
n/a 
September 7, 2006Believing In Jesus Investments, LLC; Phoebus Vincent Smith a.k.a. Vince Smith; Sharon Elizabeth Govan a.k.a. Sharron E. Govan-Smith a.k.a. Sharon Smithn/a 
August 28, 2006The 12 Percent Fund I, LLC; Coyote Growth Management, LLC; Michael Joseph Hannan a.k.a. Michael Hannan a.k.a. Mike Hannan a.k.a. Michael J. Hannan, II; Sam Ahdoot a.k.a. Sam Ahdoutn/a 
August 7, 2006Syndicated Gold Depository, S.A.68873
August 7, 2006Parklane International Corporation68872
August 7, 2006Michael Giannantonio (a.k.a. Michael David Turley) individually and d.b.a. Nitefire Entertainment; Karen Lynn Turley; Nitefire Entertainment; SummitStar Entertainment L.P. d.b.a. SummitStar Films and/or SummitStar Films & Entertainment68874
July 5, 2006Robert K. Rehmn/a 
June 30, 2006H. Jon Kunowski d.b.a. Precision Model and Design, Inc. d.b.a. Air Lase, Inc. d.b.a. American Innovative Research, Inc.68790
June 26, 2006H. Jon Kunowski d.b.a. Precision Model and Design, Inc. d.b.a. Air Lase, Inc. d.b.a. American Innovative Research, Inc.68790
June 19, 2006Paul J. Meka; Carol Mekan/a 
June 1, 2006Mark Alan Melkowski, Sr.; Eagle Communications, Inc.; Eagle One Financial & Tax, LLC; Ronald Lee Goble d.b.a. Southwest Trust & Financial; Roger Lancette d.b.a. National Estate Service and Planning and Senior Advisory Services; Gary L. Christian d.b.a. Cornerstone Senior Planning; Hyland A. Stokes and Estate Planning Protection, Inc.; Wallace Butterworth d.b.a. Butterworth Advisory Services and Senior Advisory Services; William E. Bergh d.b.a. National Financial, Group; World Wide Business Opportunities, LLC68720
June 1, 2006David L. McMillan68717
June 1, 2006Robert K. Rehm68715
June 1, 2006Paul J. Meka; Carol Meka68714
March 6, 2006Arthur B. Cooper; Linda Ebinger-Cooper68511
March 6, 2006David John Palen68512
February 28, 2006
Mid America Energy, Inc.; Mid America Oil and Gas, LLC; Energy Marketing, Inc.; Warren Exploration, LLC; Clint Goff; Gary M. Milby a.k.a. Gary Moss Milby a.k.a. Gary M. Milley; Wanda Milby; Jim Whatcott; Rita Whatcott; John Blitz; Lucille Blitz
n/a 
February 21, 2006Michael Eugene Kelly; Yucatan Resorts, Inc.; Yucatan Resorts, S.A.; Resort Holdings International, Inc.; Resort Holding International, S.A.n/a 
February 10, 2006Lori Lee Spranger a.k.a. Lori Moriarty a.k.a. Lori Lee Levandowski a.k.a. Lori Gessell, d.b.a. Vector 90 Debt Purchasing; Martin Otto Spranger a.k.a. Martin Otto Spranger, III; Michael Moriarty d.b.a. Vector 90 Debt Purchasingn/a 
February 2, 2006WSK Energy, LLC 68462
February 2, 2006Kevin H. Krause68461
February 2, 2006Kevin H. Krause68460
February 2, 2006Bruce R. Goldman d.b.a. Opulent Management Group d.b.a. Bravura Management Group, d.b.a. Zanadu Construction d.b.a. The Opulent Group; Opulent Properties, LLC d.b.a. Opulent Properties; Mill Direct Flooring, LLC d.b.a. Mill Direct Flooring; The Loan Xperts, LLC68459
December 30, 2005Reserve Oil & Gas, Inc.; Allen Stout, Sr.; Allen Stout, Jr.n/a 
December 13, 2005Michael Giannantonio a.k.a. Michael David Turley d.b.a. Nitefire Entertainment; Karen Lynn Turley; John Voight; Nitefire Entertainment; SummitSTAR Entertainment L.P., d.b.a. SummitSTAR Films d.b.a. SummitSTAR Films & Entertainmentn/a 
December 5, 2005Ameriprise Financial Services, Inc. f.k.a. American Express Financial Advisors, Inc.68316
December 5, 2005Michael R. Brooks; Maria Brooks68315
November 14, 2005Bruce R. Goldman d.b.a. Opulent Management Group d.b.a. Bravura Management Group d.b.a. Zanadu Construction d.b.a. The Opulent Group; Linda L. Goldman a.k.a. Linda Mull a.k.a. Linda Sanger; Natasha Mull a.k.a. Natasha Goldman; Opulent Properties LLC d.b.a. Opulent Properties; Mill Direct Flooring, LLC d.b.a. Mill Direct Flooring; The Loan Xperts, LLC n/a
November 8, 2005Brixon Group, Ltd.; Joseph Wayne McCool a.k.a. Joe McCool; Donald John Manning a.k.a. Don Manning68270
October 25, 2005Listo, Inc.68230
October 25, 2005Waddell & Reed, Inc.68229
August 25, 2005Worldwide Forex, Inc.68095
August 25, 2005Universal FX, Inc.68094
September 23, 2005Ronald Earl Pfingsten; Sharlene N. Pfingsten68161
September 23, 2005Christopher D. Dedmon; Kimberly Dedmon; Omni Horizon Group, LLP68160
September 23, 2005Robert Timothy Watt a.k.a. Tim Watt; Centenarios Gold, Inc.68159
August 25, 2005Arkad Investment Services, Inc. d.b.a. Arkad Investment Services68099
August 25, 2005Steven Lee Hutchinson68098
August 25, 2005Terri A. Sheehy68097
August 25, 2005Terry Couch68096
July 11, 2005Mark J. Sheehy67962
July 11, 2005Tierra Group, a.k.a. Tierra Group Properties, a.k.a. Tierra Group Companies, a.k.a. Tierra Group, Inc.; Preservation Trust Corporation a.k.a. Preservation Corporation, a.k.a. Preservation Trust Company; Partnership Preservation Trust, a.k.a. Preservation Trust Corporation Limited Partnership; Caterpillar Foundation Properties, a.k.a. Caterpillar Foundation Properties Limited Partnership; Rene L. Couch67961
June 9, 2005Gary R. Shannon67931
June 9, 2005Scott Erick Langfitt67930
June 9, 2005Roy R. Golladay, Jr. d.b.a. The Investment Group; Ester Golladay; Check and Send, Inc.67929
June 9, 2005M.A.C. Investments, Inc.; M.A.C. Investment Sales, Inc.; M.A.C. Investments Sales, Inc.; Maricruz Alvarado a.k.a. Mariacruz Alvarado a.k.a. Maricruz Albarado; Aldemaro Gonzales Gamez a.k.a. Aldemaro Gonzalez; Maria Elena Gonzalez; Kevin Polardi67928
May 2, 2005Lonzo Archer67776
May 2, 2005 Thomas Weisel Partners, LLC67774
April 15, 2005Mathon Management Company, LLCn/a
April 5, 2005Mathon Management Company, LLCn/a
March 29, 2005John E. Shannon; Rebecca F. Shannon67728
March 29, 2005Theodore A. Mietzner; Southwest Capital Advisors LLC67726
March 10, 2005Robert Smart; Kevin Krause; Listo, Inc.n/a
February 25, 2005Samuel Isaiah Rodriguez; Golden Oak Marketing, Inc.67607
February 25, 2005John F. Klatt; Marilyn A. Klatt; Retirement Planning Center67606
February 25, 2005Deborah Lee Brugliera; Pristine Property & Investments, Inc.67605
February 25, 2005Troy S. Warren67604
February 25, 2005Deutsche Bank Securities, Inc.67603
February 17, 2005John S. Mendibles; MGN Enterprises, Ltd.n/a
February 15, 2005M.A.C. Investments, Inc.; M.A.C. Investment Sales, Inc.; M.A.C. Investments Sales, Inc.; Maricruz Alvarado a.k.a. Mariacruz Alvarado a.k.a. Maricruz Albarado; Aldemaro Gonzales Gamez a.k.a. Aldemaro Gonzalez; Maria Elena Gonzalez; Kevin Polardin/a
January 31, 2005Victor Monroe Stockbridge67539
January 31, 2005David A. Fazio; Deborah Fazio; Fountain Capital Management LLC 67538
January 31, 2005Christopher S. Mee; Mee Diamond & Jewelry, Inc. d.b.a. Diamond Showcase67537
January 31, 2005Noel Eugene Cullison; Barbara Cullison; Solutions, Sources, & Consulting LLC; Energy Savings Solution, Inc.67536
January 20, 2005Centenarios Gold Inc.; Tim Wattn/a
November 23, 2004Stephen A. Hiltbrand; Cheryl Hiltbrand67431
November 23, 2004James L. Oppenheimer; Sydney J. Oppenheimer67430
November 3, 2004Kevin H. Krause; WSK Energy, LLCn/a
October 20, 2004Robert C. Frost; Robin Frost67357
October 20, 2004Rex E. Kuhn; Unity Financial, LLC 67354
October 20, 2004Intersecurities, Inc.67353
October 20, 2004Helen C. Hartze67352
October 20, 2004HCH Enterprise, LLC67351
August 24, 2004H. Jon Kunowski d.b.a. Precision Model and Design, Inc. d.b.a. Air Lase, Inc. d.b.a. American Innovative Research, Inc.n/a
August 24, 2004Multi Media Technology Ventures, Ltd. a.k.a. MMTV, Ltd.; Biltmore Group, Inc.; Graham Inch; C. Ronald Paxson a.k.a. Charles R. Paxson; Chris Corbett 67221
August 24, 2004Mark Kesler 67219
August 24, 2004Donald Abernathy; Helen Abernathy67218
August 24, 2004Intergrowth Financial Group; Roger Alvin Sande67217
August 24, 2004Richard A. Fandrich67215
July 22, 2004Parklane International Corporation; Syndicated Gold Depository, S.A.n/a
July 1, 2004H. Jon Kunowski d.b.a. Precision Model and Design, Inc. d.b.a. Air Lase, Inc. d.b.a. American Innovative Research, Inc.n/a
June 29, 2004Wesley Karban Wyatt d.b.a. The Financial Greenhouse 67088
June 29, 2004Gregory Russell Brown; Karen Brown67087
June 29, 2004International Global Positioning, Inc.; John J. Madsen; Michael J. Coker67086
June 29, 2004Gary G. Johnson; Johnson Estate Planning Service, Inc.; Johnson Estate Planning Service L.L.P.67085
May 24, 2004James W. Dreos d.b.a. Dreos Financial Services; Esther Dreos66995
May 11, 2004Elliot Crosby66965
April 21, 2004Edmond L. Lonergan; Dolores Lonergan; Corporate Architects, Inc.66934
April 21, 2004Steven C. Bond; Cari A. Bond; B.B. Financial Benefits Group, Inc.66933
March 24, 2004H. Jon Kunowski d.b.a. Precision Model and Design, Inc. d.b.a. Air Lase, Inc. d.b.a. American Innovative Research, Inc.n/a 
March 23, 2004Evelyn Baumgardner d.b.a. Your Living Trust; Michael Baumgardner66859
March 23, 2004Kathleen Whorley Sommer d.b.a. Sommer & Associates66858
March 4, 2004Multimedia Technology Ventures, Ltd. a.k.a. MMTV, Ltd.; Biltmore Group, Inc.; Global Trek Xploration Corp.; Chris Corbett; Graham Inch; C. Ronald Paxonn/a
February 5, 2004 Citigroup Global Markets Inc. f.k.a. Salomon Smith Barney Inc.66768
February 5, 2004Robert Shakman; Healthcare Purchasing Alliance, Inc.66767
February 5, 2004Chris Hugh Rutland66766
February 5, 2004Global Trusts LLC; Clyde F. Wagnon; Martha E. Wagnon66765
 

 

 

 

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