Securities Division
Matthew J. Neubert - Director
1300 W. Washington St. 3rd Floor
Phoenix, AZ 85007
(602) 542-4242
(866) 837-4399
Enforcement Actions
2004-2007
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, 2007 | Rick McCullough; McCullough Insured Investments; The Kodiak Investment Group, LLC; Anita Geneva McCullough |
| December 28, 2007 | Michael Andrew Dawes (CRD #62832); Linda Dawes |
| December 27, 2007 | Ferenc (Frank) J. Csampai; Robert N. Neklewicz a.k.a. Robert Neil Stock; Global Aviatian Fuel Systems |
| November 20, 2007 | Donald Anthony Tomasian a.k.a. Donald Anthony Tomasian, Jr.; Katherina Tomasian; Bella Funding, LLC |
| November 16, 2007 | Ronald James Strayer; Jane Doe Strayer; Jeffrey Stanford Ryan; Lisa Scott; RJSR Land Developement CR |
| October 17, 2007 | Cockrell Investment Resource Associates, LLC; David A.Cockrell; Jane Doe Cockrell |
| September 28, 2007 | G'Ieber Financial, LLC; David A. Gotlieb; Stacey Scibelli-Gotlieb |
| September 13, 2007 | Kenneth Howard Fraleigh and Linda Jean Fraleigh |
| July 20, 2007 | Kelly J. Waters and Daniel B. Waters; Kelly's Mobile Home Sales, Inc |
| June 28, 2007 | Leonard Clark Rhodes, Jr. and Margaret Rhodes |
April 17,
2007 | Estate Protection Consultants, LLC d.b.a. Estate Protection Consultants; Ramon Conrado Villa Vasquez a.k.a. Ray C. Villa and Jane Doe Villa |
| March 28, 2007 | Veronica Alexander Leigh f.k.a. Candice Anna Gill; Charles William Gill III; Charles Gill and Chuck Gill; CAG Financial, LLC; CAG Financial Services, LLC; and Leigh & Associates, LLC |
| March 20, 2007 | Leonard Francis Alcaro f.k.a. Lenny Alcaro; and Mary Brigid Lavin Alcaro |
| March 20, 2007 | Owen A. Vilan and Lucina Vilan (a.k.a. Lucy Vilan); Saguaro Investments, Inc. f.k.a. Vilan Enterprises, Inc. |
| March 13, 2007 | Alonzo Russell; Guardian Angel Advisers; Linda Russell |
| January 22, 2007 | Perry and Terry Penny; Penny Financial, Inc.; Penny Properties, Inc.; RYM Technology Holdings, LLC; and Felix L. Daniel Sr. and Jane Doe Daniel |
| December 8, 2006 | David J. Leyshon d.b.a. Leyshon Capital d.b.a Leshon Capital Management d.b.a. Leyshon Capital Management, LLC and Denise Leyshon |
| October 18, 2006 | AGRA-Technologies, Inc. a.k.a. ATI; William Jay Pierson a.k.a. Bill Pierson and Sandra Lee Pierson a.k.a. Sandy Pierson; Richard Allen Campbell a.k.a. Dick Campbell and Sondra Jane Campbell; William H. Baker, Jr. a.k.a. Bill Baker and Patricia M. Baker; Jerry J. Hodges and Jane Doe Hodges; Lawrence Kevin Paille a.k.a. Larry Paille and Jane Doe Paille |
| October 17, 2006 | John Edward Tencza and Christine M. Tencza; American Elder Group, LLC; American Elder Group, Inc.; Phillip Robert Ohst and Mary Elizabeth Ohst; Gregory Grant Groh and Gail A. Groh |
| October 03, 2006 | Edward A. Purvis and Maureen H. Purvis; Gregg L. Wolfe and Allison A. Wolfe; Nakami Chi Group Ministries International a.k.a. NCGMI; James W. Keaton, Jr and Jennifer Keaton; ACI Holdings, Inc. |
| September 22, 2006 | Janalee Ranney Sneva d.b.a. Sneva Alliance |
| September 7, 2006 | Believing In Jesus Investments, LLC; Phoebus Vincent Smith a.k.a. Vince Smith and/or Mr. Vince; and Sharon Elizabeth Govan a.k.a. Sharron E. Govan-Smith, Sharon Smith, and/or Ms. Sharon |
| September 5, 2006 | Trend Management Group, Inc.; Scott Renny Bogue, Sr. (CRD# 1588216) and Arlene Jane Bogue; Ryan James Herndon and Lori Darlene Herndon a.k.a. Lori J. Herndon a.k.a. Lori Jordan; Trend Capital, LLC; Linda Bryant Jordan a.k.a. Linda Van Vranken a.k.a. Linda Jordan-Van Vranken d.b.a. The Trend Group, Inc.; Russell Langdon Van Vranken; Easy Street Financial Group, Inc.; Christopher Ellis Marx (CRD# 2186523) and Jane Doe Marx; Scot Alan Oglesby And Lori Ann Oglesby |
| August 28, 2006 | The 12 Percent Fund I, LLC; Coyote Growth Management, LLC; Michael Joseph Hannan and Jane Doe Hannan; Sam Ahdoot a.k.a. Sam Ahdout and Jane Doe Ahdoot |
| August 1, 2006 | Gary Wayne Hardy (CRD #1298371) d.b.a. Hardy Asset Management (CRD #116821) |
| April 5, 2006 | David Lee McMillan and Polly P. McMillan (CRD #1808333) |
| February 28, 2006 | Mid America Energy, Inc.; Mid America Oil & Gas; Gary M. Milby a.k.a. Gary Moss Milby a.k.a. Gary M. Milley and Jane Doe Milby; Jim and Jane Doe Whatcott; and John and Jane Doe Blitz |
| February 10, 2006 | Lori Lee Spranger a.k.a. Lori Moriarty and/or Lori Lee Levandowski and/or Lori Gessell d.b.a. Vector 90 Debt Purchasing; Martin Otto Spranger a.k.a. Martin Otto Spranger III); Michael ("Mike") Moriarty and Jane Doe Moriarty d.b.a. Vector 90 Debt Purchasing |
| February 2, 2006 | Michael Eugene Kelly; Yucatan Resorts, Inc.; Yucatan Resorts, S.A.; Resort Holdings International, Inc.; Resort Holding International, S.A. |
| December 30, 2005 | Reserve Oil & Gas, Inc.; llen and Jane Doe Stout, Sr.; Allen and Jane Doe Stout, Jr. |
| December 13, 2005 | Michael Giannantonio a.k.a. Michael David Turley d.b.a. Nitefire Entertainment; Karen Lynn Turley; John Voight and Jane Doe Voight; Nitefire Entertainment; SummitSTAR Entertainment L.P. d.b.a. SummitStar Films and/or SummitSTAR Films & Entertainment |
| November 14, 2005 | Bruce R. Goldman, d.b.a. Opulent Management Group, Bravura Management Group, Zanadu Construction and/or The Opulent Group; Linda L. Goldman a.k.a. Linda Mull and/or 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 |
| October 27, 2005 | Gary Wayne Hardy d.b.a. Hardy Asset Management; Sherry Hardy |
| August 9, 2005 | Brixon Group Ltd.; Joseph Wayne McCool a.k.a. Joe McCool and Jane Doe McCool; Donald John Manning a.k.a. Don Manning and Jane Doe Manning; Cameron Guy Campbell and Nanette Campbell |
| August 3, 2005 | Greg McCracken a.k.a. K.G. McCracken a.k.a. Kenneth McCracken |
| July 20,2005 | Thomas C. Messina a.k.a. Thomas Campbell Messina and Tom C. Messina and Donna M. Messina |
| June 15, 2005 | Arkad Investment Services, Inc. d.b.a. Arkad Investment Services |
| May 24, 2005 | David John Palen (CRD #2321162) |
| April 26, 2005 | Christopher D. Dedmon (CRD#3015575) and Kimberly Dedmon; Omni Horizon Group, LLP |
| April 15, 2005 | Mark J. Sheehy (CRD# 2224709) and Jane Doe Sheehy |
| March 10, 2005 | Listo, Inc., a Nevada corporation; Robert Smart and Jane Doe Smart; Kevin Krause |
| February 17, 2005 | John S. Mendibles, MGN Enterprises, LTD |
| February 15, 2005 | M.A.C Investments, Inc.; M.A.C Investments Sales, Inc.; M.A.C Investment Sales, Inc.; Maricruz Alvarado a.k.a. Mariacruz Alvarado a.k.a. John doe Alvarado; Aldemaro Gonzales Gamez a.k.a. Aldemaro Gonzalez and Jane Doe Gonzales Gamez; Maria Elena Gonzalez and John Doe Gonzalez; Kevin Polardi and Jane Doe Polardi |
| February 1, 2005 | Ronald Earl Pfingsten; and Sharlene N. Pfingsten |
| January 20, 2005 | Centenarios Gold Inc.; Tim Watt; and Jane Doe Watt |
| December 28, 2004 | John E. Shannon and Rebecca F. Shannon; and Gary R. Shannon |
| December 22, 2004 | Scott Erick Langfitt (CRD# 1695817) |
| December 15, 2004 | David Duane Nutter and Jane Doe Nutterfe; North American Insurance Services, LLC |
| December 15, 2004 | Arthur B. Cooper (CRD# 1856331); Linda Ebinger-Cooper (CRD# 1353173) |
| November 5, 2004 | Pristine Property & Investments, Inc.; Deborah Lee Brugliera |
| November 3, 2004 | WSK Energy, LLC; Kevin H. and Jane Doe Krause |
| October 4, 2004 | Retirement Planning Center; John F. Klatt; and Marilyn A. Klatt |
| September 30, 2004 | Noel Eugene Cullison and Barbara Cullison; Solutions, Sources, & Consulting, LLC; Energy Savings Solution, Inc. |
| September 28, 2004 | James L. Oppenheimer and Sydney J. Oppenheimer |
| July 22, 2004 | Parklane International Corporation; Syndicated Gold Depository S.A. |
| May 25, 2004 | |
| May 24, 2004 | H. Jon Kunowski; Precision Model and Design, Inc.; Air Lase, Inc.; American Innovative Research, Inc.; John Does I-V; Jane Does I-V; White Corporations I-V; Black Partnerships I-V; and XYZ Limited Liability Companies I-V |
| May 24, 2004 | H. Jon Kunowski; Precision Model and Design, Inc.; Air Lase, Inc.; American Innovative Research, Inc.; John Does I-V; Jane Does I-V; White Corporations I-V; Black Partnerships I-V; and XYZ Limited Liability Companies I-V |
| May 24, 2004 | H. Jon Kunowski; Precision Model and Design, Inc.; Air Lase, Inc.; American Innovative Research, Inc.; John Does I-V; Jane Does I-V; White Corporations I-V; Black Partnerships I-V; and XYZ Limited Liability Companies I-V |
| May 24, 2004 | H. Jon Kunowski; Precision Model and Design, Inc.; Air Lase, Inc.; American Innovative Research, Inc.; John Does I-V; Jane Does I-V; White Corporations I-V; Black Partnerships I-V; and XYZ Limited Liability Companies I-V |
| May 17, 2004 | Multi Media Technology Ventures, Ltd.; Biltmore Group, Inc.; Global Trek Xploration Corp.; Chris Corbett and Jane Doe Corbett; Graham Inch and Jane Doe Inch; C. Ronald Paxon and Jan Doe Paxon |
| May 7, 2004 | Fountain Capital Management, LLC c/o David A. Fazio; Integrowth Financial Group c/o Roger Alvin Sande; Richard A. Fandrich; David A. and Deborah Fazio; Donald and Helen Abernathy; Stephen A. and Jane Doe Hiltbrand; Roger Alvin Sande |
| May 6, 2004 | Lonzo Archer |
| April 29, 2004 | HCH Enterprise, LLC; Helen C. Hartze; Mark Kesler |
| March 24, 2004 | H. Jon Kunowski; Precision Model and Design, Inc.; Air Lase, Inc.; American Innovative Research, Inc.; John Does I-V; Jane Does I-V; White Corporations I-V; Black Partnerships I-V; and XYZ Limited Liability Companies I-V |
| March 24, 2004 | Mee Diamond & Jewelry, Inc.; Christopher S. Mee |
| March 4, 2004 | Multimedia Technology Ventures, LTD. a.k.a. MMTV, Ltd.; Biltmore Group, Inc.; Global Trek Xploration Corp.; Chris Corbett and Jane Doe Corbett; Graham Inch and Jane Doe Inch; C. Ronald Paxon and Jane Doe Paxon |
Arizona Corporation Commission
