|
|
 |
Announcements of Selected SEC Enforcement Actions Related to Prime Bank Fraud
| Release No. |
Date |
Action |
| |
| 2008 |
| |
| 34-57372 |
Feb. 22, 2008 |
Robert A. Loffredi |
| |
| 2007 |
| |
| 34-56791 |
Nov. 15, 2007 |
Jeffrey D. Mitchell |
| 34-56520 |
Sep. 25, 2007 |
George Beros
|
| 34-56514 |
Sep. 24, 2007 |
Michael Vallone
|
| LR-20252 |
Aug. 23, 2007 |
Secure Investment Services, Inc., American Financial Services, Inc., Lyndon Group, Inc., Donald F. Neuhaus, and Kimberly A. Snowden
See also: Complaint in this matter
|
| LR-20236 |
Aug. 9, 2007 |
Amerifirst Funding, Inc., Amerifirst Acceptance Corporation, Jeffery C. Bruteyn and Dennis W. Bowden
|
| LR-20235 |
Aug. 9, 2007 |
Premium Income Corp., InForex Ltd., Tri-Forex International Ltd., also known as Tri-Forex, Ltd. and International Forex Company, Gerald Leo Rogers, also known as Jay Rogers and Jay Rodgers, and Alexander Igor Shevchenko
|
| LR-20220 |
Aug. 1, 2007 |
Global Asset Partners, LLC, et al.
See also: Complaint in this matter
|
| LR-20208 |
Jul. 25, 2007 |
International Fiduciary Corp., S.A., et al.
|
| LR-20200 |
Jul. 18, 2007 |
Global Finance & Investments, Inc., Charles R. Davis, Lucre Fund, LLC, JTA Enterprises, William H. Clark, Level Par Investments, LLC, Kelly G. Rogers, Sterling Meridian LLC, Ronald J. Linn Glenn Maske and William F. Dippolito, Defendants, and USAssets & Funding Corp., Nevada Sentry Service Corp., Wells Ventures LLC, Triquestra Management Corp., and CMR Mngt. Group, LLC, Relief Defendants
See also: Complaint in this matter
|
| LR-20196 |
Jul. 16, 2007 |
AOB Commerce, Inc., AOB Asia Fund I, LLC, and Terchi Liao a/k/a Nelson Liao, et al.
See also: Complaint in this matter
|
| LR-20189 |
Jul. 10, 2007 |
TG Capital, LLC, Thanh Viet "Jeremy" Cao, and Lodavina Grosnickle
See also: Complaint in this matter
|
| LR-20186 |
Jul. 9, 2007 |
The Hockey Barn LLC and Jeffrey J. Coleman
|
| LR-20180 |
Jul. 3, 2007 |
The Hockey Barn LLC and Jeffrey J. Coleman
See also: Complaint in this matter
|
| LR-20162 |
Jun. 21, 2007 |
Geoffrey A. Gish; Weston Rutledge Financial Services, Inc.; Zamindari Capital, LLC; Lexington International Fund, LLC a/k/a Lexington International Fund, Inc.; and Oxford Adams Capital, LLC
|
| LR-20158 |
Jun. 20, 2007 |
International Fiduciary Corp., S.A., et al.
|
| 34-55885 |
Jun. 8, 2007 |
Paul E. Knight, John L. Montana and Worldwide T&P, Inc.
Note: See also the Order in this matter
|
| 34-55800 |
May 23, 2007 |
James Proffitt
|
| 34-55779 |
May 17, 2007 |
Larry Michael Parrish
|
| LR-20121 |
May 17, 2007 |
Larry Michael Parrish, et al.
See also: Administrative Proceeding Nos. 34-55778 and 34-55779
|
| 34-55778 |
May 17, 2007 |
Michael Edward Zimmerman
|
| LR-20111 |
May 10, 2007 |
Zahra Ghods and RUSA Cap., Inc., Defendants, and Unisource Cap., LLC, Relief Defendant
See also: Complaint in this matter
|
| LR-20048 |
Mar. 19, 2007 |
Archie Paul Reynolds a/k/a Dr. A. Paul Reynolds, and Success Trust and Holding LLC
|
| 34-55242 |
Feb. 6, 2007 |
Byron Nernoff
|
| LR-19985 |
Jan. 31, 2007 |
Sharon E. Vaughn and Directors Financial Group, Ltd.
|
| LR-19976 |
Jan. 23, 2007 |
International Fiduciary Corp., S.A., et al.
|
| LR-19974 |
Jan. 19, 2007 |
Jack Calvin, et al.
|
| |
| 2006 |
| |
| LR-19934 |
Dec. 5, 2006 |
International Fiduciary Corp., S.A., et al.
See also: Complaint in this matter
|
| 34-54683 |
Nov. 1, 2006 |
Salvatore Favata (aka Sam Favata)
|
| LR-19861 |
Oct. 10, 2006 |
Salvatore Favata (aka Sam Favata)
See also: Complaint in this matter
|
| LR-19689 |
May 5, 2006 |
EFS, LLC, Freedom Fidelity, LLC, James N. Pratt, SP&V, LLC and Timothy V. Coffin |
| LR-19662 |
Apr. 18, 2006 |
David A. Dadante |
| LR-19660 |
Apr. 17, 2006 |
Credit First Fund, LP, Credit First, LLC, Credit First Income Plus, LLC, Investors First Financial Services, Inc., Investors Guild, Inc., and David R. Lund |
| LR-19620 |
Mar. 21, 2006 |
Travis E. Correll, et al. |
| LR-19613 |
Mar. 17, 2006 |
Eric Resteiner, et al. |
| LR-19596 |
Mar. 7, 2006 |
Sunbelt Development Corporation, Wendell Rogers, Donald Hammond and Willie Davis |
| LR-19595 |
Mar. 7, 2006 |
Latin American Services, Inc., et al. |
| 34-53417 |
Mar. 6, 2006 |
David M. Faubert
Other Release No.: IA-2493 |
| LR-19591 |
Mar. 6, 2006 |
Craig H. Reinhard, et al.
See also: Complaint in this matter
|
| 2005 |
Other 2005 Releases
|
| LR-19512 |
Dec. 22, 2005 |
William Whelan
|
| LR-19492 |
Dec. 12, 2005 |
Travis E. Correll, individually and d/b/a Horizon Establishment, Gregory Thompson, Dwight J. Johnson, Harry Robinson "Robbie" Gowdey, individually and d/b/a Atlas and Jericho Productions, Grant Cardno, Neulan D. Midkiff, Travis Correll & Company, Inc., The Liberty Establishment, Inc., Sovereign Capital Investments, S.A., TNT Office Supply, Inc., The Net Worth Group, Inc. and Joshua Tree Group LLC, Defendants, and Banner Shield, LLC, Hospitality Management Group, Inc., Creative Wealth Ventures, LLC and JTA Enterprises, Relief Defendants.
|
| LR-19453 |
Nov. 2, 2005 |
Philip J. Yoder Individually and d/b/a All The Way to the Top
|
| 34-52211 |
Aug. 4, 2005 |
Russell W. Jones |
| LR-19326 |
Aug. 4, 2005 |
Russell W. Jones and R&D Marketing, Inc. |
| LR-19321 |
Aug. 2, 2005 |
RC Investment Corp., Pinnacle Investment Corp., Robert A. Coberly, Jr., and Curtis D. Somoza |
| LR-19307 |
Jul. 20, 2005 |
Megafund Corporation, Stanley A. Leitner, Sardaukar Holdings, IBC, Bradley C. Stark, CIG Ltd., and James A. Rumpf, individually and d/b/a Cilak International, defendants, and Pamela C. Stark, relief defendant
See also: Complaint in this matter
|
| 34-51971 |
Jul. 5, 2005 |
Philip A. Lehman
Other Release No.: IA-2401
Note: See also the Order in this matter
|
| LR-19292 |
Jul. 5, 2005 |
Megafund Corporation, Stanley A. Leitner, Sardaukar Holdings, IBC, and Bradley C. Stark, defendants, and CIG Ltd. and Pamela C. Stark, relief defendants
See also: Complaint in this matter
|
| LR-19287 |
Jun. 28, 2005 |
D.W. Heath & Associates, Inc., Private Capital Management, Inc., Private Collateral Management, Inc., PCM Fixed Income Fund I, LLC, Daniel William Heath, and Denis Timothy O'Brien
|
| LR-19282 |
Jun. 23, 2005 |
James R. Harrold et al. |
| LR-19267 |
Jun. 14, 2005 |
Tri-West Investment Club, Alyn Richard Waage, and Haarlem Universal Corporation |
| LR-19254 |
Jun. 8, 2005 |
Dianna Blairtorbett a/k/a Dianna Blair Torbett a/k/a Dianna Blair-Torbett, Individually and d/b/a McMinn Consultants, and McMinn Consultants, Limited |
| LR-19249 |
Jun. 6, 2005 |
Philip J. Yoder Individually and d/b/a All The Way to the Top |
| LR-19206 |
Apr. 27, 2005 |
Elfindepan et al. |
| LR-19185 |
Apr. 15, 2005 |
Larry Michael Parrish, et al. |
| LR-19168 |
Apr. 6, 2005 |
James L. George, Paul E. Brodhagen, and Michael J. Wright |
| ID-278 |
Mar. 22, 2005 |
Derrick N. McKinney and Rick R. Malizia, James T. Kelly, Administrative Law Judge |
| LR-19118 |
Mar. 3, 2005 |
Resource Development International, LLC, et. al. |
| LR-19095 |
Feb. 22, 2005 |
Resource Mary Patten, et al. |
| LR-19087 |
Feb. 17, 2005 |
Resource Development International, LLC |
| 34-51151 |
Feb. 8, 2005 |
Harold Miller |
| 34-51132 |
Feb. 3, 2005 |
William Whelan |
| LR-19059 |
Feb. 1, 2005 |
Learn Waterhouse, Inc.; Randall Treadwell; Rick D. Sluder; Larry C. Saturday; and Arnulfo M. Acosta |
| LR-19035 |
Jan. 14, 2005 |
Eric E. Resteiner, et al. |
| 2004 |
Other 2004 Releases
|
| LR-19011 |
Dec. 22, 2004 |
Claude Lefebvre and Dennis S. Herula |
| LR-19010 |
Dec. 22, 2004 |
Dennis Herula et al. |
| 34-50884 |
Dec. 20, 2004 |
Scott Hamilton |
| 34-50720 |
Nov. 22, 2004 |
Frederick J. Gilliland |
| LR-18959 |
Nov. 4, 2004 |
Randall T. Treadwell; Rick D. Sluder; Larry C. Saturday; and Arnulfo M. Acosta |
| LR-18953 |
Nov. 1, 2004 |
Frederick J. Gilliland, et al. |
| LR-18932 |
Oct. 14, 2004 |
Learn Waterhouse, Inc.; Randall T. Treadwell; Rick D. Sluder; Larry C. Saturday; and Arnulfo M. Acosta |
| LR-18917 |
Oct. 4, 2004 |
Dennis Herula et al. |
| LR-18872 |
Sep. 8, 2004 |
RC Investment Corp., Pinnacle Investment Corp., Robert A. Coberly, Jr., and Curtis D. Somoza |
| 34-50255 |
Aug. 25, 2004 |
Derrick N. McKinney and Rick R. Malizia
Note: See also the Order in this matter
|
| LR-18811 |
Jul. 29, 2004 |
Enrico Cortesano |
| IA-2263 |
Jul. 14, 2004 |
Joseph L. Norris and Mark G. Coleman |
| LR-18705 |
May 12, 2004 |
Premier Marketing & Investments, Inc., and Nicholas Roblee a/k/a Nicholas Richmond |
| 34-49657 |
May 5, 2004 |
William E. Lyons |
| LR-18681 |
April 26, 2004 |
Ian L. Renert et al. |
| LR-18676 |
April 23, 2004 |
Claude Lefebvre et al. |
| LR-18674A |
April 22, 2004 |
William E. Lyons (revised) |
| LR-18648 |
March 30, 2004 |
Eric E. Resteiner, et al. |
| LR-18568 |
Feb. 6, 2004 |
William R. Kerr And China Investment Group, Ltd. |
| LR-18567 |
Feb. 6 2004 |
Sebastian Corriere et al. |
| LR-18544 |
Jan. 15, 2004 |
Jack Calvin, et al.
|
| 2003 |
Releases – Internet Actions
|
| LR-18811 |
Jul. 29, 2004 |
Enrico Cortesano |
| LR-18458 |
Nov. 14, 2003 |
Enrico Cortesano |
| LR-18349 |
Sept. 12, 2003 |
Paul Howe Noe, et al.
|
| LR-18267 |
August 4, 2003 |
John Wayne Zidar, et al., d/b/a/ Oakleaf Iinternational, Rosewood Iinternational and Meliorations Management Teem |
| LR-18221 |
July 8, 2003 |
John E. Brinker, Jr., Gary J. Bentz, et al |
| LR-18217 |
July 7, 2003 |
Benjamin Franklin Cook et al. |
| LR-18215 |
July 7, 2003 |
Benjamin Franklin Cook et al. |
| LR-18184 |
Jun. 10, 2003 |
Philip J. Yoder Individually and d/b/a All The Way to the Top |
|
LR-18166 |
Jun. 2, 2003 |
Capital Holdings, LLC, et al. |
|
LR-18048 |
Mar. 24, 2003 |
Goldventures Club and Alexander Khamidouline, d/b/a www.gold-ventures.net |
|
LR-18039 |
Mar. 18, 2003 |
Nancy J. Cheal, individually and d/b/a Relief Enterprise, et al. |
|
LR-17988 |
Feb. 19, 2003 |
Garry W. Stroud, Individually and d/b/a Diamond Global Holding Trust, Euro Credit and Exchange Bank Ltd., and Angelic International, et al. |
|
LR-17961 |
Feb. 3, 2003 |
Gold-Ventures Club and Alexander Khamidouline, d/b/a www.gold-ventures.net |
|
LR-17915 |
Jan. 7, 2003 |
Harral Dunbar, Jr., Individually and d/b/a Ghost International |
Other 2003 Releases
|
| LR-18507 |
Dec. 16, 2003 |
Donald F. Chamberlin and David N. Chamberlin |
| LR-18498 |
Dec. 10, 2003 |
Paul Howe Noe, et al. |
| LR-18494 |
Dec. 8, 2003 |
James L. George, Paul E. Brodhagen, and Michael J. Wright |
| LR-18480 |
Dec. 1, 2003 |
A. B. Financing and Investments, Inc., and Anthony Blissett |
| LR-18462 |
Nov. 17, 2003 |
Lytle E. Foglesong, Thomas Gregory Cook, James H. Malbaff, and Malbaff & Cook |
| 34-48794 |
Nov. 17, 2003 |
Thomas Gregory Cook |
| 34-48793 |
Nov. 17, 2003 |
James H. Malbaff |
| 34-48792 |
Nov. 17, 2003 |
Lytle E. Foglesong |
| 34-48642 |
Oct. 17, 2003 |
Charles G. Dyer
|
| LR-18419 |
Oct. 17, 2003 |
Steven E. Thorn, et al.
|
| LR-18418 |
Oct. 17, 2003 |
Benjiman Franklin Cook, et al.
|
| LR-18414 |
Oct. 16, 2003 |
Eric E. Resteiner, et al.
|
| LR-18411 |
Oct. 15, 2003 |
John L. Montana, Jr., Melvin R. Lyttle, Paul E. Knight, Worldwide T&P, Inc., First National Equity, LLC, P.K. Trust & Holding, Inc., UTA-BVI, Ltd. and Violet Gail Eldridge and Relief Defendants The United Tribes of the Americas, Inc. and Executive Bureau of Research and Recovery, Inc.
|
| LR-18399 |
Oct. 8, 2003 |
Premier Marketing and Investments and Nicholas Roblee a/k/a Nicholas Richmond
|
| LR-18393 |
Oct. 6, 2003 |
Peter J. Zaccagnino, et al.
|
| LR-18350 |
Sept. 12, 2003 |
Dennis Herula et al.
|
|
33-8272 |
Aug. 22, 2003 |
John F. Smart |
|
LR-18282 |
Aug. 11, 2003 |
Dianna Blairtorbett a/k/a Dianna Blair Torbett a/k/a Dianna Blair-Torbett, Individually and d/b/a McMinn Consultants, and McMinn Consultants, Limited |
|
LR-18198 |
Jun. 20, 2003 |
Terry L. Dowdell, et al |
|
LR-18196 |
Jun. 20, 2003 |
Michael Clarke |
|
LR-18154 |
May 21, 2003 |
Frank L. Peitz, Daniel B. Benson, Peter A. Loutos, Sr., Robert D. Paladino, Randall W. Law, and Monica M. Iles |
|
LR-18143 |
May 19, 2003 |
Terry L. Dowdell, et al. |
|
34-47777 |
May 1, 2003 |
David Edwards, James Edwards, Kevin Lynds, and Gerald J. Stock |
|
34-47682 |
Apr. 15, 2003 |
David Edwards, James Edwards, Kevin Lynds, and Gerald J. Stock |
|
LR-18082 |
Apr. 10, 2003 |
Dennis Herula, et al. |
|
LR-18068 |
Apr. 3, 2003 |
Dianna Blairtorbett a/k/a Dianna Blair Torbett a/k/a Dianna Blair-Torbett, Individually and d/b/a McMinn Consultants, and McMinn Consultants |
|
LR-18067 |
Apr. 3, 2003 |
Richard J. Collins |
|
LR-18056 |
Mar. 31, 2003 |
Jack Calvin, et al. |
|
LR-18046 |
Mar. 21, 2003 |
Louis M. Lazorwitz, J. Charles Reives, Tri-Star Investment Group, L.L.C. a/k/a Tri-Star Investment Group, Defendants, and LAZOR, Ltd., Relief Defendant |
|
LR-18029 |
Mar. 11, 2003 |
Terry L. Dowdell, et al. |
|
LR-18007 |
Feb. 27, 2003 |
Stuart A. Slonin and The Strategies Group, Inc. |
|
LR-17999 |
Feb. 26, 2003 |
Terry L. Dowdell, et al. |
|
LR-17994 |
Feb. 24, 2003 |
James L. George, Paul E. Brodhagen, and Michael J. Wright |
|
LR-17965 |
Feb. 4, 2003 |
Claude Lefebvre et al. |
|
LR-17964 |
Feb. 3, 2003 |
Richard J. Briden, Empowerment Funding Group, LLC and Infopro Group, Ltd. |
|
LR-17960 |
Feb. 3, 2003 |
Stewart, et al. |
|
LR-17957 |
Jan. 29, 2003 |
Dennis Herula et al. |
|
LR-17936 |
Jan. 16, 2003 |
Premier Marketing And Investments, Inc. and Nicholas Roblee a/k/a Nicholas Richmond
|
|
LR-17926 |
Jan. 13, 2003 |
Richard Alyn Waage and Haarlem Universal Corporation
|
|
LR-17920 |
Jan. 7, 2003 |
Asset Recovery And Management Trust, S.A., Frank Ray Johnson, Milton E. Vaughn, and Carlos Fernandez Alfaro
|
|
LR-17919 |
Jan. 7, 2003 |
Dianna Blairtorbett a/k/a Dianna Blair Torbett a/k/a Dianna Blair-Torbett, Individually and d/b/a McMinn Consultants, and McMinn Consultants, Limited |
|
LR-17918 |
Jan. 7, 2003 |
James L. George, Paul E. Brodhagen and Michael J. Wright |
|
34-47121 |
Jan. 3, 2003 |
Resource Development International, et al. |
|
LR-17913 |
Jan. 3, 2003 |
Frank L. Peitz, Daniel B. Benson, Randall W. Law, Monica Iles, and Robert D. Paladino, et al.
|
| 2002 |
Releases – Internet Actions
|
| LR-17723 |
Sept. 12, 2002 |
Elfindepan, S.A., et al. |
| LR-17537 |
May 28, 2002 |
Gold-Ventures Club and Alexander Khamidouline, d/b/a www.gold-ventures.net |
| LR-17480 |
Apr. 22, 2002 |
Advance Local Development Corp., et al. |
| LR-17411 |
Mar. 14, 2002 |
Harral Dunbar, Jr., individually and d/b/a Ghost International |
| LR-17362 |
Feb. 14, 2002 |
Clif Goldstein, formerly known as Clifford Dixon Noe, Paul Howe Noe, also known as Paul Noe Randall, Carolyn M. Kaplan, Noel Alelov, Russell B. Gerstein, Nuell W. Paschal, Great American Trust Company, Inc., and Great American Trust Corporation, Inc. |
Other Releases
|
|
LR-17909 |
Dec. 23, 2002 |
Russell W. Jones and R&D Marketing, Inc. |
| LR-17908 |
Dec. 20, 2002 |
William R. Kerr and China Investment Group, Ltd. |
|
LR-17905 |
Dec. 19, 2002 |
Terry L. Dowdell |
|
LR-17881 |
Dec. 6, 2002 |
John E. Brinker, Jr., Gary J. Bentz, et al. |
|
LR-17878 |
Dec. 6, 2002 |
Stuart A. Slonin, and The Strategies Group, Inc. |
|
LR-17858 |
Nov. 22, 2002 |
Eric E. Resteiner, et al. |
|
LR-17848 |
Nov. 18, 2002 |
Dennis Herula, et al. |
|
34-46842 |
Nov. 18, 2002 |
J. Charles Reives
Release No.: IA-2082 |
|
LR-17845 |
Nov. 18, 2002 |
Earl A. Abbott, Richard L. Stalvey, Glenn Perdue, Robert E. Gerwin, Kenneth C. Nunn and Thomas J. O'Keefee |
|
IA-2080 |
Nov. 8, 2002 |
Dennis S. Herula
Release No.: 34-46799 |
|
LR-17817 |
Oct. 30, 2002 |
Raymond G. Parr, Funding Resource Group, et al. |
|
LR-17809 |
Oct. 28, 2002 |
Dennis Herula, et al. |
|
LR-17800 |
Oct. 23, 2002 |
Dennis Herula, et al. |
|
LR-17793 |
Oct. 18, 2002 |
Claude Lefebvre, et al. |
|
LR-17781 |
Oct. 10, 2002 |
Terry L. Dowdell, et al. |
|
LR-17780 |
Oct. 10, 2002 |
Terry L. Dowdell, et al. |
| LR-17772 |
Oct. 7, 2002 |
Steven E. Thorn, et al. |
|
LR-17759 |
Oct. 1, 2002 |
Claude Lefebvre et al. |
|
LR-17737 |
Sept. 19, 2002 |
Dennis Herula, et al. |
|
LR-17729 |
Sept. 17, 2002 |
Claude Lefebvre |
|
34-46504 |
Sept. 17, 2002 |
Louis M. Lazorwitz |
|
LR-17728 |
Sept. 16, 2002 |
Louis M. Lazorwitz, J. Charles Reives, and Tri-Star Investment Group, L.L.C. a/k/a Tri-Star Investment Group, Defendants, and Lazor, Ltd., Relief Defendant |
|
LR-17713 |
Sept. 5, 2002 |
Eric E. Resteiner, et al. |
|
LR-17681 |
Aug. 15, 2002 |
The Strategies Group, Inc. and Stuart A. Slonin |
|
LR-17652 |
Aug. 2, 2002 |
Claude Lefebvre et al. |
|
LR-17654 |
Aug. 2, 2002 |
James R. Harrold, Franklin Management and Consulting, LLC, Accipter, LLC, Franklin Asset Management and Consulting, LLC, Franklin Management and Consulting, Inc., and Concord Development Group, LLC. |
|
LR-17635 |
July 30, 2002 |
Resource Development International, LLC, et al. |
|
LR-17633 |
July 26, 2002 |
Dennis Herula et al. |
|
LR-17608 |
July 12, 2002 |
Terry V. Koontz, et al. |
|
33-8110 |
July 8, 2002 |
Gerald Cohn |
|
LR-17582 |
Jun. 24, 2002 |
Sebastian Corriere, et al. |
|
LR-17553 |
Jun. 10, 2002 |
Terry L. Dowdell, et al. |
| LR-17534 |
May 24, 2002 |
John E. Brinker, Jr., Gary J. Bentz, et al. |
| LR-17523 |
May 20, 2002 |
Steven E. Thorn, et al. |
| LR-17517 |
May 14, 2002 |
Lewis J. McConnell, Jr., Ned L. Huggins, and Gregory T. Wood |
| LR-17516 |
May 14, 2002 |
Louis M. Lazorwitz, J. Charles Reives, Tri-Star Investment Group, L.L.C. a/k/a Tri-Star Investment Group, Defendants, and Lazor, Ltd., Relief Defendant |
| LR-17506 |
May 7, 2002 |
Sebastian Corriere, et al. |
| LR-17474 |
Apr. 17, 2002 |
Frederick J. Gilliland, Defendant, and MM ACMC Banque de Commerce, Inc., Relief Defendant |
| LR-17468 |
Apr. 11, 2002 |
Edward J. Paradis, Jr. and Walter R. Snyder, Jr. |
| LR-17461 |
Apr. 5, 2002 |
Dennis Herula, et al. |
| LR-17459 |
Apr. 5, 2002 |
U.S. Reservation Bank & Trust, Higher Investment Technologies, Inc., Global-Link Capital Markets, L.L.C., Edward J. Driving Hawk, Sr., Leo Driving Hawk, Sr., John M. Adams, Edmund J. Smedley, Kenneth S. Harrison, William J. Herisko, Thomas T. Emerton, Defendants, and Oyate Development, Inc., Oyate Enterprises, L.L.P., Oyate Trust, River Walk Development, L.L.C., Ringthunder Racing Stables, Inc., HPHC, Inc., James R. Driving Hawk, Orpha Jane Johnston, Relief Defendants |
| LR-17454 |
Apr. 2, 2002 |
Terry L. Dowdel, et al. |
|
34-45498 |
Mar. 4, 2002 |
Ellsworth Wayne McLaws and Alan Clagg |
| LR-17440 |
Mar. 27, 2002 |
Charles Timson |
| LR-17438 |
Mar. 26, 2002 |
Resource Development International, LLC, David Edwards, James Edwards, Jade Asset Management, Ltd., Sound Financial Services, Inc., Intercostal Group, LLC, Intercoastal Group II, LLC, Kevin Lynds, Gerald J. Stock, Blackwolf Holdings, LLC and William Whelan, Defendants and Pacific International Limited Partnership, International Education Research Corporation, Galaxy Asset Management, Inc., and David Cluff, Individually and d/b/a Rivera Trust 410, Relief Defendants |
| LR-17403 |
Mar. 7, 2002 |
Joseph Lloyd Norris, Mark Gray Coleman, Magellan Communications Group, LLC, and Northern Lights Financial, LLC |
| LR-17386 |
Feb. 27, 2002 |
CDH & Affiliates, Inc. and C. David Hallman |
| 33-8061 |
Jan. 24, 2002 |
Brian A. Schmidt, John Aristotle Dilworth, II, and Euro-Atlantic Securities, Inc.
Rel. no.: 34-45330 |
| LR-17322 |
Jan. 16, 2002 |
Lewis J. McConnell, Jr., Ned L. Huggins, and Gregory T. Wood |
| LR-17318 |
Jan. 16, 2002 |
Philip J. Yoder |
| LR-17317 |
Jan. 15, 2002 |
Louis M. Lazorwitz, J. Charles Reives, Tri-Star Investment Group, L.L.C. a/k/a Tri-Star Investment Group, Defendants, and Lazor, Ltd. Relief Defendant |
| 2001 |
Releases – Internet Actions
|
| LR-17289 |
Dec. 21, 2001 |
Earl A. Abbott, Richard L. Stalvey, Glenn Perdue, Robert E. Gerwin, Kenneth C. Nunn and Thomas J. O'Keeffe |
| LR-17281 |
Dec. 19, 2001 |
Lytle E. Fogelsong, Thomas Gregory Cook, James H. Malbaff, and Malbaff & Cook |
| LR-17258 |
Dec. 6, 2001 |
Richard Collins, et al. |
| LR-17256 |
Dec. 5, 2001 |
John C. Willy, Jr. |
| LR-17244 |
Nov. 21, 2001 |
W. David Blunk, Jr., Aubrey John Elam, Jr. and Stanley C. Eaves |
| LR-17242 |
Nov. 19, 2001 |
Terry L. Dowdell, et al. |
| LR-17233 |
Nov.15 , 2001 |
Highland Financial Corporation, et al. |
| LR-17208 |
Oct. 25, 2001 |
James R. Harrold, Franklin Management and Consulting, LLC, Accipter, LLC, Franklin Asset Management and Consulting, LLC, Franklin Management and Consulting, Inc., and Concord Development Group, LLC. |
| LR-17198 |
Oct. 19, 2001 |
Earl A. Abbott, Richard L. Stalvey, Glenn Purdue, Kenneth C. Nunn and Thomas J. O'Keeffe |
| LR-17197 |
Oct. 18, 2001 |
Rodolfo Luzardo, Elias I. Kodsi and Alain D. Kodsi |
| LR-17196 |
Oct. 17, 2001 |
Millionaire.com and Robert L. White |
| LR-17187 |
Oct. 15, 2001 |
Mark Steven Snader, d/b/a E-Highyields.com and The High Yield Club |
| LR-17186 |
Oct. 15, 2001 |
Concord Capital Enterprise, dba Concord Capital Inc., Scott Yoshizumi, Ann Ta, and Dionisia Pappas |
| LR-17181 |
Oct. 11, 2001 |
Frank L. Peitz, Daniel B. Benson, Peter A. Loutos, Sr., Robert D. Paladino, Randall W. Law, and Monica M. Iles |
| 33-8017 |
Sept. 28, 2001 |
Enrico Cortesano |
| LR-17121 |
Sept. 7, 2001 |
Tri-West Investment Club, Alyn Richard Waage, and Haarlem Universal Corporation |
| 34-44671 |
Aug. 9, 2001 |
John E. Brinker, Jr. and Gary J. Bentz |
| 34-44577 |
Jul. 19, 2001 |
Ellsworth Wayne McLaws and Alan Clagg |
| LR-17057 |
Jun. 29, 2001 |
Garry W. Stroud, individually and d/b/a Diamond Global Holding Trust, Euro Credit and Exchange
Bank Ltd., and Angelic International |
| LR-17031 |
Jun. 7, 2001 |
Ian Renert, et al. |
| LR-16990 |
May 7, 2001 |
Phillip H. Ezell, individually and doing business as 21st Century Funding |
| LR-16977 |
Apr. 26, 2001 |
Elfindepan, S.A., Southern Financial Group, Tracy Calvin Dunlap, Jr., Barry Lowe, James L.
McCall, Strategic Asset Funds, S.A., Edmund Menden, Michael Menden and Michael Zieglmeier,
defendants, and C.R.C.C. LLC and Patrick Wilson, relief defendants |
| LR-16942 |
Mar. 23, 2001
| Nancy J. Cheal |
| LR-16902 |
Feb. 16, 2001
| Advance Local Development Corp., et. al. |
| LR-16892 |
Feb. 8, 2001
| Elfindepan, S.A., Southern Financial Group, Tracy CalvinDunlap, Jr., Barry Lowe, James L.
McCall, Strategic Asset Funds, S.A. EdmundMenden, Michael Menden and Michael Zieglmeier,
defendants, and C.R.C.C. LLCand Patrick Wilson, relief defendants |
Other Releases
|
| LR-17164 |
Sept. 28, 2001 |
Gilbert Merrell Wynne, et al. |
| 33-8012 |
Sept. 26, 2001 |
John F. Smart |
| LR-17152 |
Sept. 26, 2001 |
John E. Brinker, Jr., Gary J. Bentz, et al. |
| LR-17142 |
Sept. 20, 2001 |
Alamin, Inc., Financial Resources, George L. Vaughn and Curt Arvidson |
| LR-17137 |
Sept. 19, 2001 |
Zappa International Corporation, Scott L. Simpson, Scott B. Walker, Equity Management Services, Eagle Vision Holdings Inc., Wayne Nattrass, and Westminster Trading Trust |
| LR-17136 |
Sept. 18, 2001 |
Kenton Capital, Ltd., et al. |
| LR-17135 |
Sept. 18, 2001 |
Daniel E. Schneider, et al., Defendants and Gordon A. Dunlop, et al., Relief Defendants |
| LR-17132 |
Sept. 18, 2001 |
James R. Harrold, Franklin Management and Consulting, LLC, Accipter, LLC, Franklin Asset Management and Consulting, LLC, Franklin Management and Consulting, Inc., and Concord Development Group, LLC. |
| LR-17119 |
Sept. 6, 2001 |
Donald Barry Tamres |
| LR-17109 |
Aug. 28, 2001 |
Lewis Allen Rivlin, Edwin Earl Huling III, and Alfred Huascar Velarde, as defendants; and Z-Finance, S.A., Anthony P. Zioudas, Hedley Finance Ltd., Christian Dante,and Chrysanthos Chrysostomou, as relief defendants |
| 34-44671 |
Aug. 9, 2001 |
John E. Brinker, Jr. and Gary J. Bentz |
| LR-17085 |
Aug. 2, 2001 |
2001 TLC Investments & Trade Co., TLC America, Inc. dba Brea Development Company, TLC Brokerage, Inc. dba TLC Marketing, TLC Development Inc., TLC Real Properties RLLP-1, Cloud & Associates consulting, Inc., Ernest F. Cossey, Gary W. Williams, and Thomas G. Cloud |
| LR-17073 |
Jul. 19, 2001 |
Kenton Capital, Ltd., et al. |
| 34-44577 |
Jul. 19, 2001 |
Ellsworth Wayne McLaws and Alan Clagg |
| LR-17055 |
Jun. 29, 2001 |
Terry V. Koontz |
| LR-17017 |
May 24, 2001 |
Pacific Air Transport, Inc. and Robert B. Hirsh |
| LR-17012 |
May 22, 2001 |
Funding Resources Group, et al. |
| LR-17007 |
May 16, 2001 |
Paul Shingledecker |
| LR-16979 |
Apr. 30, 2001 |
The Gateway Association, The Gateway Association (Illinois), Richard J. Collins, Bill Wilson,
Jerome Coppage, David A. Morgenstern, William J. Windsor, Linda A. Fehl, Malcolm Silverman, Janet
Collins and Christine J. Todd |
| LR-16969 |
Apr. 18, 2001
| Eric E. Resteiner, et al. |
| LR-16963 |
Apr. 16, 2001
| Eric E. Resteiner |
| LR-16950 |
Apr. 3, 2001
| Steven E. Thorn, Craig A. Morgan, Karen A. Estrada, Global Investors Group, LLC, First
Financial Ventures, LLC, Second Financial Ventures, LLC, Third Financial Ventures, LLC, Fund
Global, LLC and Global Equity Group, LLC |
| 34-44132 |
Mar. 29, 2001 |
Michael P. Keating and Keating Advisory Group |
| LR-16940 |
Mar. 22, 2001
| Earl A. Abbott, Richard L. Stalvey, Glenn Purdue, Robert E. Gerwin, Kenneth C. Nunn and Thomas
J. O'Keeffe |
| LR-16934 |
Mar. 16, 2001
| Lewis Allen Rivlin, Edwin Earl Huling III, and Alfred Huascar Velarde, as Defendants; and
Z-Finance, S.A., Anthony P. Zioudas, Hedley Finance Ltd., Christian Dante, and Chrysanthos
Chrysostomou, as Relief Defendants |
| LR-16927 |
Mar. 8, 2001
| Terry V. Koontz, et al. |
| LR-16915 |
Feb. 28, 2001
| John E. Brinker, Jr., Gary J. Bentz, Castlerock Consulting, LLC, Guardian First Limited, Inc.
(a Nevada corporation), Guardian First Limited, Inc. (a Grenada corporation), Wellington Bank and
Trust, Ltd., Wellington Capital Holdings Ltd., Inc., Wellington Capital Holdings, Ltd., Wellington
International Investments, Inc., Wellington First International Investments, Inc. and all
subsequently numbered Wellington International Investments, Inc. entities, Alpha Advantage II,
Inc., Eleven Eighty-Five, LP, and Steadfast Ministries, Inc. |
| LR-16897 |
Feb. 14, 2001
| Edward J. Paradis, Jr. and Walter R. Snyder, Jr. |
| LR-16896 |
Feb. 13, 2001
| TAC International Limited, Douglas R. Walker, Craig Southwood, Larry B. Richardson and Jan
Harry "Jack" Wilded |
| LR-16883 |
Jan. 31, 2001
| Stewart, et al. |
| LR-16849 |
Jan. 2, 2001
| Benjamin Franklin Cook, et al. |
| 2000 |
Releases – Internet Actions
|
| LR-16833 |
Dec. 19, 2000
| Phillip H. Ezell, individually and doing business as 21st Century Funding |
| LR-16789 |
Nov. 6, 2000
| TLC Investments & Trade Co., TLC America, Inc. dba Brea Development Company, TLC Brokerage,
Inc., dba TLC Marketing, TLC Development, Inc., TLC Real Properties RLLP-1, Cloud & Associates
Consulting, Inc., Ernest F. Cossey, Gary W. Williams, and Thomas G. Cloud |
| LR-16754 |
Oct. 5, 2000
| TLC Investments &Trade Co., TLC America, Inc. dba Brea Development Company, TLC Brokerage,
Inc., dba TLC Marketing, TLC Development, Inc., TLC Real Properties RLLP-1, Cloud &Associates
Consulting, Inc., Ernest F. Cossey, Gary W. Williams, and Thomas G. Cloud |
| LR-16649 |
Aug. 10, 2000
| Elfindepan, S.A. Southern Financial Group, Tracy Calvin Dunlap, Jr. and Barry Lowe |
| LR-16440 |
Feb. 17, 2000 |
Nancy J. Cheal, individually and d/b/a Relief Enterprise, et al. |
| LR-16424 |
Feb. 3, 2000 |
Nancy J. Cheal |
Other Releases
|
| LR-16821 |
Dec. 11, 2000 |
Perennial Fund I LP, et. al. |
| LR-16809 |
Nov. 24, 2000 |
Concord Capital Enterprise, DBA Concord Capital Inc. and Concord Capital Enterprises, Scott
Yoshizumi, Ann Ta, and Dionisia Pappas |
| LR-16797 |
Nov. 8, 2000 |
Roy E. Matlock and Alan Root |
| LR-16796 |
Nov. 8, 2000 |
Steven C. Roberts |
| LR-16769 |
Oct. 16, 2000 |
Anthony J. Marino, Gregory C. Johnson, Richard Ames Higgins, Mousa International, AJM Global,
and Consortio Intranacional |
| LR-16736 |
Sep. 28, 2000 |
Terry V. Koontz, et al. |
| LR-16727 |
Sep. 27, 2000 |
Terry V. Koontz, et al. |
| 34-43034 |
Jul. 20, 2000 |
Gerald Lee Pate |
| LR-16538 |
May 4, 2000 |
Benjamin Franklin Cook et al |
| LR-16496 |
Mar. 31, 2000 |
Highland Financial Corporation, et al. |
| LR-16488 |
Mar. 27, 2000
| Alliance Leasing Corporation and Prime Atlantic, Inc. |
| LR-16428 |
Feb. 7, 2000 |
TAC International Limited, Douglas R. Walker, Craig Southwood, Larry B. Richardson
and Jan Harry "Jack" Wilde |
| 34-42391 |
Feb. 7, 2000 |
Roy E. Matlock |
| LR-16408 |
Jan. 14, 2000
| John Lauer, et al. |
| 1999 |
Releases – Internet Actions
|
| LR-16140 |
May 11, 1999 |
Theodore O. Pollard |
| LR-16139 |
May 11, 1999 |
HDG Investment Corporation and Paul J. Edwards |
| LR-16138 |
May 11, 1999 |
Abacus International Holding Corp. and Arthur Agustin |
| LR-16134 |
May 11, 1999 |
Richard J. Briden |
| LR-16132 |
May 5, 1999 |
Theodore O. Pollard and World Investment Network, Ltd. |
| 33-7679 |
May 11, 1999 |
In the Matter of David Francis |
| 33-7677 |
May 11, 1999 |
In the Matter of Derrick Johnson |
| 34-41388 |
May 11, 1999 |
In the Matter of Lila Keith |
| 33-7680 |
May 11, 1999 |
In the Matter of Robert Stahl, Elizabeth Boyd and Bobby Rodgers |
Other 1999 Releases
|
| LR-16274 |
Sep. 8, 1999 |
Highland Financial Corporation, Kay L. Cahill, individually and d/b/a Interdyne
Ltd., Michael B. Chalmers, John C. Matthews, individually and d/b/a Sunland States Insurance
Agency, Roger Myatt and Robert Alberding |
| LR-16245 |
Aug. 5, 1999 |
Alamin, Inc., Financial Resources, George L. Vaughn and Curt Arvidson |
| LR-16219 |
Jul. 23, 1999 |
Funding Resoures Group, et al |
| LR-16210 |
Jul. 13, 1999 |
Kenneth Senffner |
| LR-16207 |
Jul. 12, 1999 |
Stewart, et al. |
| LR-16201 |
Jun. 30, 1999 |
Edward J. Paradis, Jr. and Walter R. Snyder |
| LR-16195 |
Jun. 25, 1999 |
Clarence Wayne Cook, Brian E. Causey, Haven Quest and Cayman South International,
Inc. |
| LR-16184 |
Jun. 10, 1999 |
Daniel T. Todt, et al., (unavailable online) (See also
LR-15960, Oct. 28, 1998) |
| LR-16179 |
Jun. 8, 1999 |
Lewis Allen Rivlin, Edwin Earl Huling III, and Alfred Huascar Velarde, As
Defendants; and Z-Finance, S.A., Anthony P. Zioudas, Hedley Finance Ltd., Christian Dante, and
Chrysanthos Chrysostomou, As Relief Defendants |
| LR-16168 |
May 28, 1999 |
Glen Eugene Miller, Rich Barlow, LD&B Management, Inc., Acquire Venture Fund
Group, Lori Miller, Reflex Body & Fitness, LLC, and Canyon Rim, LLC |
| LR-16153 |
May 19, 1999 |
Marshall Neil Craig Ronald, Rudolf Alexander Victor Linschoten A/K/A Rudolf Van
Lin or Dr. Rudolf Van Lin, and Frieda G. Freitas |
| LR-16147 |
May 14, 1999 |
Anthony J. Marino et al. |
| LR-11620 |
Apr. 22, 1999 |
Lennox Investment Group, Ltd., Active International, Inc., Randall W. Law, James
F. Wardell, Monica M. Iles, Frank L. Peitz, and Daniel B. Benson |
| LR-16112 |
Apr. 14, 1999 |
Benjamin Franklin Cook, individually and DBA Dennel Finance Limited, Gerald Lee
Pate, Ellsworth, Wayne McLaws and Alan Clagg, et al. |
| LR-16109 |
Apr. 8, 1999 |
|
| LR-16100 |
Mar. 31, 1999 |
Jeffrey Norton, Donald Reynolds, Edward Menster and John Tartaglia |
| LR-16034 |
Jan. 21, 1999 |
Donald Wallace, et al. |
| LR-16020 |
Jan. 12, 1999 |
Barnard Sackett, John H. Schriek and Enviroland, Ltd. |
| 1998 |
Releases
|
| LR-15986 |
Nov. 24, 1998 |
Vincent Setteducate |
| LR-15984 |
Nov. 20, 1998 |
Zappa International Corporation, Scott L. Simpson, Scott B. Walker, Equity
Management Services, Eagle Vision Holdings Inc., Wayne Nattrass, and Westminster Trading Trust; |
| LR-15976 |
Nov. 13, 1998 |
Austria Trust Company, Ltd., Glen Moyer and Bobby Lee Rodgers, Defendants, and
City (U.K.) Ltd., Relief Defendant |
| LR-15945 |
Oct. 26, 1998 |
Kenton Capital, Ltd., et al. |
| LR-15941 |
Oct. 20, 1998 |
Richard Warren & Associates, Inc., et. al. |
| LR-15883 |
Sep. 16, 1998 |
Teddy Wayne Solomon and Lisa Debra Stevens |
| LR-15878 |
Sep. 10, 1998 |
Fernando Cruz (see also
LR-15557) |
| LR-15866 |
Sep. 2, 1998 |
Kellin Investment Corp. and Orlando R. Landa (see also
Order barring Defendant Orlando R. Landa from securities industry, Sept. 22, 1998) |
| LR-15828 |
Jul. 31, 1998 |
Calvin Douglas Brace, et al. (See also
Order barring Defendant Brace from association with any investment adviser, Aug. 26, 1999) |
| LR-15813 |
Jul. 16, 1998 |
Michael D. Richmond, Individually, Michael D. Richmond D/B/A Liberty Network,
Royal Meridian International Bank, Meridian Monetary Services, Inc., William Duke, Meridian
Management Services, LLC., K. Bruce Nuckols, Anthony Garry, Thomas Connolly, and as Relief
Defendants, Zone Productions, Inc., Terry Koontz and Marianne Clark and Linda Mitchell as Trustees
for Purr Trust; (See also LR-16104, Apr. 2,
1999) |
| LR-15790 |
Jun. 25, 1998 |
Kathy S. Kingsmore, (unavailable online) (See also
LR-5078, Sept. 26, 1996) |
| LR-15612 |
Jan. 8, 1998 |
The Trust Group, Ltd., et al. |
| 1997 |
Releases
|
| LR-15604 |
Dec. 23, 1997 |
Gene Block, Individually and d/b/a Block Consulting Services, Renate Haag,
Individually and d/b/a Haag + Partner, and Robert T. Riley, Individually and d/b/a The Roberts
Group |
| LR-15579 |
Dec. 4, 1997 |
Joseph A. Bremont, Jimmy B. Sanchez, Comcar International, Ltd., Commercial
Capital Resources, Inc., Loomis Ltd., Michael R. Spector, and R.P.S. Financial Group, Inc. |
| LR-15560 |
Nov. 14, 1997 |
Charles Brumfield, Joseph Brumfield, Robert Allen, William Mylett, Joseph Penna,
and Joseph Kenton Capital, Ltd |
| LR-15469 |
Sep. 3, 1997 |
Ellis L. Deyon, Bradley T. Gullett (individually, and D.B.A. "Gullet and
Associates"), William Hanke, Dove Investment Group, Inc. Sherwood H. Craig |
| LR-15355 |
Apr. 29, 1997 |
Gene Block and Robert T. Riley |
| LR-15340 |
Apr. 18, 1997 |
Jeffrey E. Carter |
| LR-15299 |
Mar. 18, 1997 |
Terry Plack |
| LR-15222 |
Jan. 21, 1997 |
Ellis Deyon |
| 1996 |
Releases
|
| LR-15197 |
Dec. 19, 1996 |
Oscar William Olson, Jr. |
| LR-15163 |
Nov. 21, 1996 |
Joseph A. Bremont, Comcar International, Ltd., Commercial Capital Resources, Inc.,
and Jimmy B. Sanchez |
| LR-15140 |
Oct. 29, 1996 |
John F. D'Acquisto, D'Acquisto Financial Group, Inc., Doubleday Trust and Thomas
F. Goodman |
| LR-15136 |
Oct. 25, 1996 |
Joseph Polichemi, Lyle Neal, Oscar William Olson, Jr., and Charles Padilla |
| LR-15135 |
Oct. 24, 1996 |
Harry Watson, Tracy French and Deltaur Partners |
| LR-15028 |
Sep. 3, 1996 |
Jeffrey S. Norton |
| LR-14999 |
Aug. 5, 1996 |
Joseph Silvestri, Charles Smith and Atlantic Pacific Guarantee Corporation |
| LR-14998 |
Aug. 1, 1996 |
Joseph Polichemi, Lyle Neal, Oscar William Olson, and Charles Padilla |
| LR-14833 |
Mar. 5, 1996 |
Harold Gantz |
| LR-14828 |
Feb. 27, 1996 |
Renate Haag |
| LR-14804 |
Jan. 30, 1996 |
Renate Haag |
| 1995 |
Releases
|
LR-14736 |
Nov. 27, 1995 |
Oscar William Olson, Jr. |
| LR-14711 |
Nov. 2, 1995 |
Renate Haag |
| LR-14705 |
Oct. 31, 1995 |
John D. Lauer and Clifton Lauer |
| LR-14701 |
Oct. 26, 1995 |
John Lauer |
| LR-14681 |
Oct. 5, 1995 |
D'Acquisto Financial Group, Inc., Doubleday Trust, John F. D'Acquisto and Thomas F. Goodman |
http://www.sec.gov/divisions/enforce/primebank/pbaction.shtml
|
