Securities Division
Matthew J. Neubert - Director
1300 W. Washington St. 3rd Floor
Phoenix, AZ 85007
(602) 542-4242
(866) 837-4399
Enforcement Actions
1999-2003
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.
To view other Actions, click on archive 2004-2007 or 2008-Present.
| November 18, 2003 | International Global Positioning, Inc.; John J. Madsen; Michael J. Coker; James w. Dreos d.b.a. Dreos Financial Services, and Jane Doe Dreos; Edmond L. Lonergan and Jane Doe Lonergan; Corporate Architects, Inc. |
| October 27, 2003 | Steven C. Bond and Jane Doe Bond; B.B. Financial Benefits Group, Inc. |
| October 27, 2003 | Worldwide Forex, Inc.; Universal FX, Incorporated; David Bridges c/o Worldwide Forex |
| October 20, 2003 | Robert Shakman, Healthcare Purchasing Alliance, Inc. |
| October 14, 2003 | Chris Hugh Rutland |
| September 18, 2003 | Yucatan 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 and Lory Kelly |
| May 20, 2003 | Yucatan Resorts, Inc., d.b.a. Yucatan Resorts; S.A., Resort Holdings International, Inc., d.b.a Resort Holdings International, S.A.; World Phantasy Tours, INC., a.k.a. Majesty Travel, a.k.a. Viajes Majesty; Michael E. Kelly and Lori Kelly |
| May 6, 2003 | Intersecurities, Inc.; Gregory Russell Brown and Jane Doe Brown |
| April 25, 2003 | Mutual Benefits Corporation |
| April 18, 2003 | Douglas Sanchez and Karen Sanchez; DMS Power Cash Flow, LLC; Persanco, LLC |
| April 3, 2003 | Robert C. Frost and Robin Frost |
| April 2, 2003 | Ocean International Marketing, LTD.; Heros Global Marketing, LTD.; Seed International, LTD.; GFH International, LTD.; George Ioannou and Jane Doe Ioannou c/o GFH International; Ryan Ferreira and Jane Doe Ferreira c/o Ocean International Marketing, Ltd. |
| March 17, 2003 | Wesley Karban Wyatt and Jane Doe Wyatt d.b.a. The Financial Greenhouse c/o Harry N. Stone, Attorney at Law |
| February 25, 2003 | Kathleen Whorley Sommer d.b.a Sommer & Associates; John Doe |
| January 23, 2003 | Tierra 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. Partnership Preservation Corporation Limited Partnership, Caterpillar Foundation Properties, a.k.a. Caterpillar Foundation Properties Limited Partnership, Rene L. Couch, Terry Couch |
| December 31, 2002 | Elliot Crosby d.b.a .Advance Senior Estate Planning; Marsha Crosby |
| December 30, 2002 | Victor Monroe Stockbridge; G. Irene Stockbridge |
| December 18, 2002 | Mark E. Labertew and Jane Doe Labertew; Les Fleishman and Jane Doe Fleishman |
| December 12, 2002 | Ralph Shaul and Leslie Shaul |
| December 5, 2002 | Global Trusts, LLC; Clyde F. Wagnon and Martha E. Wagnon; Jeri Woods and John Doe Woods |
| November 18, 2002 | American Automotive Group, Inc.; Douglas Warren and Jane Doe Warren; Matthew W. Warren and Joan Doe Warren; Robert D. Bjerken and Jane Doe Bjerken |
| November 15, 2002 | John R. Wallrich and Jane Doe Wallrich |
| November 14, 2002 | Scottsdale Financial Funding Group, LLC; Martin & Griffin ,LLC; Gregory B. Gill a.k.a. Gregory P. Gill; Hayden Keith Holland; Tad L. Ulrich & Associates, LLC; Tad Lyn Ulrich; Senior Advisory Services, LLC; Wallace Butter worth |
| November 11, 2002 | Evelyn Baumgardner, John Doe Baumgardner |
| October 28, 2002 | One Vision Children's Foundation, Inc.; Hollister M. Marx; Wealth Management Resources, Inc.; Michael B. Maksudian; and Betty Maksudian; Michael A. Diaz; and Lorrina Diaz |
| September13, 2002 | |
| September 5, 2002 | American National Mortgage; Secura Innovative Investment; Secura Mortgage Management; Cash Flow University INC.; Secura Fund Arizona , LLC; Larry William Dunning and Sheila Dunning; Phil Vigarino and Jane Doe; Robert K. Rehm; Mark Kesler and Jane Doe Kesler; Frank Caspare and Gail Caspare |
| August 23, 2002 | |
| June 28, 2002 | Charles E. Conatser; Estate Conservation Strategies, Inc. |
| June 25, 2002 | Alan Bruce Stoner |
| June 20, 2002 | |
| June 12, 2002 | |
| May 31, 2002 | David R. Krizman |
| May 22, 2002 | |
| May 08, 2002 | 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; Donald P. Shoemaker; Garrett L. Wright a.k.a. Garrett Lee; Dan ("D.J.") R. Harper; Michael J. Sagnelli; Joyce Goodman |
| May 06, 2002 | |
| March 29, 2002 | |
| February 26, 2002 | |
| February 20, 2002 | Michael David Fromkin |
| January 17, 2002 | Philip William Merrill |
| December 26, 2001 | Brian Lloyd Gibbons |
| December 14, 2001 | James T.M. Verbic |
| December 11. 2001 | |
| October 30, 2001 | |
| October 10, 2001 | |
| October 05, 2001 | |
| October 05, 2001 | |
| October 03, 2001 | Michelle L. Webb |
| September 26, 2001 | Clay Eugene Lambert |
| September 26, 2001 | Mark Aaron Sutter |
| August 20, 2001 | Republic Cash Advance, Inc.; Quick Cash Advance, Inc.; Curtis J. Billups; Mark Ferguson |
| August 14, 2001 | |
| August 14, 2001 | |
| August 14, 2001 | |
| August, 10 2001 | |
| July 18, 2001 | |
| June 20, 2001 | Aeromax Inc.; Aeromag Corporation; Lexington Bartlett; David L. Sears |
| May 14, 2001 | Easy Money Auto Leasing, Inc.; Superior Financial Services, Inc.; James Anthony Cicerelli; David Paul French |
| April 10, 2001 | Accelerated Success Inc.; Kenneth R. Morris; Robert D. Pierson; Integrity Assured Life Settlements, Inc.; Steven S. Levine |
| March 29, 2001 | Melvin Lee Cline; Why Not Entertainment, LLC |
| March 29, 2001 | |
| February 28, 2001 | |
| January 25, 2001 | Mobile Cash Systems LLC; World Wireless Solutions Inc.; World Electronic Payment Solutions Inc.; World Cash Providers LLC; World Cash Providers Inc.; Mark Alan Melkowski Sr.; Eagle Communications, Inc.; Eagle One Financial & Tax, LLC; Gerald B Johnson; Kimber Lea Baudour |
| January 25, 2001 | William E Bergh; World Wide Business Opportunities |
| January 19, 2001 | Arthur Andersen L.L.P. - Verified Complaint And Application For Injunction Relief |
| December 28, 2000 | |
| December 27, 2000 | Tower Equities, Inc; Philip A. Lehman |
| September 27, 2000 | Arthur Andersen L.L.P. - This notice was withdrawn on January 23, 2001. See January 19, 2001 Civil Complaint. |
| September 07, 2000 | Global Harvest Corp.; David Patten; Albert Tabah |
| June 26, 2000 | Jerome Alex Zanowski |
| June 1, 2000 | |
| June 1, 2000 | Mary Kersey; Successful Finance Inc. |
| May 1, 2000 | Scott Gould |
| April 21, 2000 | |
| April 18, 2000 | Susan Marie Wuest |
| April 06, 2000 | |
| March 29, 2000 | Tucson Estate Financial Advisors; James Kinion II |
| December 29, 1999 | Deborah Suann Angus |
| December 27, 1999 | Estate Service II |
| December 27, 1999 | National Financial Group |
| November 10, 1999 | Safari Media Inc. |
| September 17, 1999 | Retirement Investment Group |
| August 24, 1999 | Cochise Financial Corp. |
| July 29, 1999 | Premiere Financial Group et al |
Arizona Corporation Commission
