| In the matter of |
Order number |
Order title |
| Accelerated Benefits Corporation, C. Keith Lamonda and Jess Lamonda |
S-03-0040 |
Order to Cease and Desist with Consent to Entry of Order |
| Access Integrity Funding Corp |
O-00-0019 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Access Integrity Funding Corp dba 1st Access Integrity Mortgage Company dba America's Mortgage Store |
O-02-0035 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Acro-Tech, Inc., and Reggie D. Huff |
A-00-0023 |
Order to Cease and Desist and Stipulations and Consent to Entry of Order by Respondents Acro-Tech, Inc. and Reggie D. Huff |
| All Real Estate Loans and Investments Company |
O-01-0017 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Allan Winston Taylor and International Partners |
A-00-0018 |
Final Order to Cease and Desist and Assessing Civil Penalties Entered by Default as to Allan Winston Taylor and International Partners |
| Alpha Telcom, Inc, Charles Tummino, Chris Clapp, Julie Blair Fingerson, Paul Farver, Melinda Farver, Janna Ramelli, and David Ramelli |
A-03-0012 |
Stipulated Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties, and Consent to Entry of Order as to Paul Farver |
| Alpha Telcom, Inc, Charles Tummino, Chris Clapp, Julie Blair Fingerson, Paul Farver, Melinda Farver, Janna Ramelli, and David Ramelli |
A-03-0012 |
Stipulated Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties and Consent to Entry of Order as to Melinda Farver |
| Alpha Telcom, Inc, Charles Tummino, Chris Clapp, Julie Blair Fingerson, Paul Farver, Melinda Farver, Janna Ramelli, and David Ramelli |
A-03-0012 |
Stipulated Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties, and Consent to Entry of Order as to Chris Clapp |
| Alpha Telcom, Inc, Charles Tummino, Chris Clapp, Julie Blair Fingerson, Paul Farver, Melinda Farver, Jonna Ramelli, and David Ramelli |
A-03-0012 |
Stipulated Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties and Consent to Entry of Order as to Jonna Ramelli |
| Alpha Telcom, Inc., Charles Tummino, Chris Clapp, Julie Blair Fingerson, Paul Farver, Melinda Farver, Janna Ramelli, and David Ramelli |
A-03-0012 (b) |
Stipulated Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties and Consent to Etnry of Order as to David Ramelli |
| Altiva Financial Corporation fka Mego Mortgage Corporation |
O-00-0044 |
Revocation of Mortgage Banker/Broker License Final Order by Default |
| American Equities, Inc. |
O-95-0003 |
Order to Cease and Desist, Order Assessing Civil Penalties, and Consent of American Equities, Inc., to Entry of Order |
| American Service Corp. and Roger J. Miracle |
O-95-0014 |
Cease and Desist Order, Order Assessing Civil Penalty, and Consent to Order |
| American Wireless Systems, Inc.; Dexter Selwyn Cohen; Jeffrey Dane Howes; Steven Gail Johnson |
O-95-0012 |
Final Order |
| Americorp Credit Corporation |
O-02-0047 |
Final Order by Default - Imposition of Civil Penalties |
| Amway Mutual Fund, Inc. |
O-96-0028 |
Order to Assess Civil Penalties and Consent to Entry of Order |
| Astra Strategic Investment Series, Astra Adjustable U.S. Government Securities Trust I-A and II |
O-96-0021 |
Order to Assess Civil Penalties and Consent to Entry of Order |
| Babak Sehat |
M-05-0047-2 |
Final Order to Cease and Desist and Order Assessing Civil Penalties by Default |
| Banks Capital Corporation |
O-02-0027 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Barbara Alexis Blassingame, Frank J. Picciolo, Sterling Advance Marketing, Inc., and Event Media, Inc. |
A-03-0002 |
Final Order Entered by Default to Cease and Desist, Assessing Civil Penalties, and Denying Exemptions |
| Berjac of Oregon, Michael S. Holcomb, Gary L. Holcomb, and Robert H. Holcomb |
O-96-0022 |
Order to Cease and Desist, Assessment of Civil Penalties, and Consent to Entry of Order |
| Bull & Bear Quality Growth Fund |
O-95-0013 |
Order Assessing Civil Penalties and Consent to Entry of Order |
| Caffe' Diva Group, Ltd, Vista Consulting, New England International Surety, Ronald Davis, and Steve Bolen |
A-02-0005 |
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties as to Vista Consulting and Steve Bolen by Default |
| Calvert New World Fund, Inc., Calvert New Africa Fund, Class A |
O-96-0020 |
Order to Assess Civil Penalties and Consent to Entry of Order |
| Carla Key CRD #1348780 |
S-05-0031 |
Order to Cease and Desist, Assessing Civil Penalty and Consent to Entry of Order |
| Carroll Media, Inc., Roland Carroll, Paul L. Miller, and Gary Piano |
O-93-0018 |
Final Order to Cease and Desist, Denial of Exemptions, and Assessment of Civil Penalties |
| Cascade Northern Mortgage Inc. and Paul Mattila |
O-00-0038 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Centex Securities, Inc., Frank M. Savasta, Peter Jason Worrell, and Robert Frank Toth |
A-01-0013 |
Order to Cease and Desist Denial of Exemptions Order Assessing Civil Penalty and Consent to Entry of Order as to Peter Jason Worrell |
| Central Oregon Mortgage, Inc., Paul D. Barnes, Robert W. Palmer |
O-94-0051 |
Order to Cease and Desist, Assessment of Civil Penalties, Order to Revoke License, Consent to Entry of Order |
| CFS Investment Trust |
O-93-0020 |
Order Assessing Civil Penalties and Consent to Entry of Order |
| Charles Edward Pruitt, Energy Group International, Inc., Energy Group Company, Inc., and Energy Group Associates, Inc. |
A-01-0004 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order |
| Childcare Seekers One Stop, Inc., and Christina Hart |
S-06-0019 |
Final Order to Cease and Desist and Assessing Civil Penalties Entered by Default as to Childcare Seekers One Stop, Inc., and Christina Hart |
| Christopher John Tento and James Joseph Honse |
S-05-0054 |
Order to Cease and Desist, Order Assessing civil Penalty and Consent to Entry of Order as to Christopher John Tento |
| Citigroup Global Markets Inc. (formerly known as Salomon Smith Barney Inc.) 388 Greenwich Street, New York, New York 10013 |
S-03-0035 |
Administrative Order, Order Imposing Monetary Obligations, and Consent to Entry of Order |
| Coastal Investments Incorporated |
O-95-0015 |
Order to Cease and Desist, Order Assessing Civil Penalties, and Consent of Coastal Investments Incorporated to Entry of Order |
| Corbin Shirley |
A-01-0029 |
Final Order to Cease and Desist_Denying Exemptions and Assessing Civil Penalties_Entered by Default as to |
| Cornerstone Mortgage Corp. |
O-01-0030 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Corporate Executives, Inc. and Larry M. Pember |
S-05-0067 |
Order to Cease and Desist, Denial of Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Craig Berkman |
O-98-0024 |
Stipulated Amended Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, and Stipulation and Consent to Entry of Order by Respondent |
| Craig Berkman |
O-98-0024 |
Stipulated Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, and Stipulation and Consent to Entry of Order by Respondent |
| Creative Pet Products, Inc., Phillip A. Berlin, and Frederick M. Bloom |
S-96-0018 |
Final Order to Cease and Desist, Denial of Exemptions, Assessment of Civil Penalties, Notice of Right to Hearing by Default |
| Creative Pet Products, Inc., Phillip A. Berlin, and Frederick M. Bloom |
S-96-0018 |
Acknowledgment of Payment of Monetary Penalty by Respondent Bloom |
| Crosby and Lau Financial, Inc. |
O-94-0020 |
Order Assessing Civil Penalties and Consent of Crosby and Lau Financial to Entry of Order |
| D R Thaut Inc dba First Security Financial |
O-02-0039 |
Cease and Desist Order and Consent to Issuance of a Conditional License |
| Daniel Michael Wheatley |
S-07-0009-1 |
Order to Cease and Desist, Order Barring From Industry, Order Denying Exemptions, Order Imposing Civil Penalties, and Consent to Entry of Order |
| Data Technology Group, Las Vegas 220 SMR, Leon Swichkow, Dean Lucas and Richard J. Allen |
A-01-0052 |
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Default Against Data Technology Group, Las Vegas 220 SMR, Leon Swichkow, Dean Lucas and Richard J. Allen |
| David Arnold Miller dba Western Internet Services Corp., aka Wincorp |
S-03-0056 |
Order to Cease and Desist, Order Denying Use of Exemptions, Order Assessing Civil Penalty, and Consent to Entry of Order |
| David S. Treanor and Patience & Discipline Investment Club, Inc. |
A-02-0013 |
Final Order to Cease and Desist Denial of Exemptions and Assessment of Civil Penalties Entered by Default |
| DBSI Securities, Inc. |
A-03-0022 |
Order Terminating License and Consent to Order |
| Delbert Leroy Stephens, Jr. and D. L. Stephens, Inc. |
O-92-0005 |
Order to Cease and Desist, Denial of Exemptions, Order Assessing Civil Penalties and Consent to Entry of Order |
| Deutsche Bank Securities, Inc. |
S-05-0003 |
Administrative Consent Order |
| Diablo Funding Group, Inc. |
O-01-0025 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Discover Financial Group of Oregon, Inc. dba First Discover Mortgage and Financial Corp. |
O-02-0038 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Diversified Resources Group; Larry Malbrue, Sr.; Ron Price; Jim Jackson |
O-93-0021 |
Final Order Against Jim Jackson and Ron Price |
| Diversified Resources Group; Larry Malbrue, Sr.; Ron Price; Jim Jackson |
O-93-0021 (1) |
Final Order by Default as to Diversified Resources Group and Larry Malbrue, Sr. |
| Donald G. Varce |
O-94-0032 |
Final Order by Default, Order to Cease and Desist, Denial of Exemptions, and Assessment of Civil Penalties |
| DR Thaut, Inc. dba First Security Financial, and Dennis Reinold Thaut |
A-02-0042 |
Order to Cease and Desist Order Assessing Civil Penalty Order Denying Use of Exemptions and Consent to Entry of Order |
| DreamLife Lenders LLC and San Saechao |
M-06-0034 |
Final Order to Cease and Desist and Order Assessing Civil Penalties by Default |
| E-Loan of Oregon, Inc dba Mountain Mortgage Company |
O-00-0025 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| E.M.E. Funding Corp. and Edward M. McKee |
O-94-0002 |
Order to Cease and Desist, Denying Certain Exemptions and Assessing Civil Penalty, and Consent to Entry of Order |
| Edwin Tolentino Garcia |
S-07-0009-3 |
Order to Cease and Desist, Order Barring From Industry, Order Denying Exemptions, Order Imposing Civil Penalties, and Consent to Entry of Order |
| Elder Research Corporation, an Oregon corporation; Ronald R. Elder, and individual; and Rita M. Elder, and individual |
S-07-0022 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Eldon C Pearson dba Pearson Mortgage Services |
O-01-0001 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Elton T. Elliott and Virtual Adventures, Inc. |
A-02-0003 |
Order to Cease and Desist Order Assessing Civil Penalty and Consent to Entry of Order |
| Epitome, LLC, a Washington Limited Liability Company; Robert Neace, Jr., and James Billington |
A-02-0030 |
Order to Cease and Desist Order Assessing Civil Penalty and Consent to Entry of Order as to Respondent James Billington |
| Epitome, LLC, a Washington Limited Liability Company; Robert Neace, Jr., and James Billington |
A-02-0030 |
Order to Cease and Desist Order Assessing Civil Penalty and Consent to Entry of Order as to Respondent James Billington |
| Epitome, LLC, a Washington Limited Liability Company; Robert Neace, Jr., and James Billington |
A-02-0030 |
Order to Cease and Desist Order Assessing Civil Penalty and Consent to Entry of Order as to Respondent James Billington |
| Epitome, LLC, a Washington Limited Liability Company; Robert Neace, Jr., and James Billington |
A-02-0030 |
Order to Cease and Desist Order Assessing Civil Penalty and Consent to Entry of Order as to Respondent Robert Neace, Jr. |
| Epitome, LLC, a Washington Limited Liability Company; Robert Neace, Jr., and James Billington |
A-02-0030 |
Final Order to Cease and Desist Denial of Exemptions and Assessment of Civil Penalties Entered by Default as to Respondent Epitome, LLC |
| Epitome, LLC, a Washington Limited Liability Company; Robert Neace, Jr., and James Billington |
A-02-0030 |
Final Order to Cease and Desist Denial of Exemptions and Assessment of Civil Penalties Entered by Default as to Respondent Epitome, LLC |
| Errol H. Schnider; Arizona Metro Direct Information Services, Inc., (a Nevada corporation); Arizona Metro Direct Information Service, Inc., (an Arizona Corporation); and Arizona Metro Direct Information Services, Inc., (an Arizona corporation) |
A-01-0038 |
Order to Cease and Desist Denial of Exemptions Order Assessing Civil Penalty and Consent to Entry of Order |
| Executive Funding, Inc. dba Superior Lending Corp. |
O-01-0032 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| First Call Mortgage & Investment LLC |
O-01-0037 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| First Capital Mortgage Corp. |
O-02-0049 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| First Federated Companies of Oregon, Inc., an Oregon Corporation, fka First Federated Communications of Oregon, Inc., dba First Choice Communications; Michael J. Morris; Robert A. Miller; and Stephen E. Allsup |
A-02-0009 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order by Respondent Michael J. Morris |
| First Federated Companies of Oregon, Inc., an Oregon Corporation, fka First Federated Communications of Oregon, Inc., dba First Choice Communications; Michael J. Morris; Robert A. Miller; and Stephen E. Allsup |
A-02-0009 |
Final Order to Cease and Desist Denying Exemptions and Assessing Civil Penalties Entered by Default as to Respondent First Federated Companies of Oregon, Inc. |
| First Federated Companies of Oregon, Inc., an Oregon Corporation, fka First Federated Communications of Oregon, Inc., dba First Choice Communications; Michael J. Morris; Robert A. Miller; and Stephen E. Allsup |
A-02-0009 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order by Respondent Michael A. Miller |
| First Federated Companies of Oregon, Inc., an Oregon Corporation, fka First Federated Communications of Oregon, Inc., dba First Choice Communications; Michael J. Morris; Robert A. Miller; and Stephen E. Allsup |
A-02-0009 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order by Respondent Stephen E. Allsup |
| First Financial Planners, Inc.; FFP Securities, Inc.; FFP Advisory Services, Inc. |
A-00-0007 |
Order to Cease and Desist and Stipulations and Consent to Entry of Order by Respondents First Financial Planners, Inc.; FFP Securities, Inc.; FFP Advisory Services, Inc. |
| First Liberty Financial, Kerry Dalbert, Stephen M. Parrino, Danny M. Rayburn, Michael Donaldson, Joshua Craig |
S-04-0014 |
Order to Cease and Desist Order Imposing Civil Penalty and Denying Use of Exemptions Entered by Default |
| Fiscal Funding, Inc. (formerly known as Franklin Funding, Inc.) and Richard F. Yost |
O-95-0011 |
Order to Cease and Desist, Assessment of Civil Penalties and Consent to Entry of Order by Fiscal Funding, Inc., and Richard F. Yost |
| Frank T. Dunn, Jr. |
S-07-0002 |
Order Conditioning the Securities Broker-Dealer Salesperson License of Frank T. Dunn, Jr., Entered by Consent |
| Fresh NetSoft, Inc., Cybernet International, Inc., Gateway Consulting, Inc., A. Blaine Randall, Chuck Kempton, Joseph Howard Champion, aka Allan Wells, Pather Lloyd Neff, Clay Sanger, and Alan Poon |
O-97-0013 |
Final Order; Cease and Desist, Denial of Exemptions, and Assessment of Civil Penalties; Default Order for Cybernet International, Inc., Gateway Consulting, Inc., A. Blaine Randall, Joseph Howard Champion, Clay Sanger, Alan Poon |
| G. T. Global Growth and Income Fund |
O-93-0008 |
Order Assessing Civil Penalties and Consent to Entry of Order |
| G. T. Global Health Care Fund |
O-93-0009 |
Order Assessing Civil Penalties and Consent to Entry of Order |
| Garrett John Sytsma and All Seasons Mortgage Services, Inc. |
O-02-0031 |
Order to Cease and Desist, Order Assessing Civil Penalties, Order of Suspension from Mortgage Industry and Consent to Entry of Orders |
| Gary Buchanan and Turfmate Products, Inc. |
A-01-0002 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order |
| GFS, Inc. dba Gateway Financial Services |
O-02-0051 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Gordon Rodney Baze, Jr., aka Gordy Baze |
S-05-0028 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Gregory Louis Peck |
A-04-0001 |
Order to Cease and Desist, Order Imposing Civil Penalty, Entered by Default |
| H. G. Wellington & Co., Inc. |
O-92-0008 |
Cease and Desist Order, Civil Penalty, Consent of H. G. Wellington & Co., Inc. |
| Hans Wayne Schnauber, an individual, Kathy Charlee, an individual, and Horace T. Johnson, an individual |
S-05-0056 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order Against Hans Wayne Schnauber |
| Hans Wayne Schnauber, an individual, Kathy Charlee, an individual, and Horace T. Johnson, an individual |
S-05-0056 |
Order of Dismissal as to Horace T. Johnson |
| Hans Wayne Schnauber, an individual, Kathy Charlee, an individual, and Horace T. Johnson, an individual |
S-05-0056 |
Order to Cease and Desist, Order Assessing Civil Penalty and Consent to Entry of Order against Kathy Charlee |
| Harold Michael Peterson, B.A. Prabhudass, aka Aaron Bolleddula, M & L Investments, Inc., and Steadfast Ventures, Ltd. |
O-95-0009 |
Final Order Entered by Default |
| Henry Paul Regan, Jr. |
S-04-0011 |
Final Order to Cease and Desist and Assessing Civil Penalties Entered by Default |
| High Tech Travel Services Corporation, Benjamin R. Callari, Donald R. Myatt, Jr., and Dennis L. Weathers |
A-00-0026 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order |
| IGR Mortgage Co. and Scott E. Shankland |
O-93-0016 |
Order to Cease and Desist, Order Denying Certain Exemptions, Civil Penalty, and Consent to Entry of Order |
| International Financial Resources, LLC, Norman Jansen, and Edward Johnson |
O-01-0006 |
Order to Cease and Desist; Order Denying Use of Exemptions, and Consent to Entry of Order |
| J & R Lending, Inc. dba First Security Lending |
O-02-0052 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Jack Kleck, doing business individually and under the name Jack Kleck Investments |
S-07-0001 |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties. Order of Revocation of Broker-Dealer Salesperson License of Jack Kleck |
| James Dombrowski aka James dba Entrepenuer Exports Corp. |
S-05-0023 |
Final Order to Cease and Desist and Assessing Civil Penalties Entered by Default |
| James Honse, and Starship Consortium, Ltd. |
O-94-0045 |
Agreement and Undertaking for James Honse and Starship Consortium, Ltd. |
| James John Rask |
S-05-0064-7 |
Final Judgment Incorporating the Consent Order of Permanent Injunction, Ancillary Equitable Releift, and Civil Monetary Penalty Against James John Rask |
| Kathie A. Hitchcock and Janice Binion dba Four Steps to Wealth |
A-02-0069 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order as to Janice Binion |
| Kathie A. Hitchcock and Janice Binion dba Four Steps to Wealth |
A-02-0069 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order as to Kathie A. Hitchcock |
| Kenneth G. Titus, Sr. dba Redwood Trust |
S-05-0029 |
Final Order |
| Kevin Reber, an individual, dba A1 Buyers |
S-05-0016 |
Final Order to Cease and Desist, Assessment of Civil Penalties and Examination Costs Entered by Default |
| Kevin Ruggiero and Baxter, Banks, and Smith, Ltd. |
A-00-0009 |
Final Order to Cease and Desist Denying Exemptions and Assessing Civil Penalties Entered by Default as to Baxter, Banks, and Smith, Ltd. |
| L.H. Ross & Company, Inc., a New York corporation |
S-05-0039 |
Final Order Revoking Broker-Dealer License Entered by Default |
| Land Home Financial Services Inc. |
O-02-0043 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Laser Vision Technologies, Inc. |
A-00-0017 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order |
| Leading Solutions, Inc., and Douglas Goodrum |
A-02-0001 |
Order to Cease and Desist Order Assessing Civil Penalty and Consent to Entry of Order |
| Lee Douglas Tusberg and Barbara Edgemon |
A-01-0020 |
Stipulated Amended Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties and Stipulation and Consent to Entry of Order by Respondent |
| Les Kruse, an individual, James B. Gilmore, an individual, Gerrick Rod Powell, an individual and Morgan Investment Pool, Inc., a Nevada corporation |
S-93-0014 |
Final Judgment, Money Judgment, and Permanent Injunction |
| Lewis Hanson and Company, Inc.; Tony Lewis; Steve D. Hanson |
O-92-0033 |
Order to Cease and Desist, Order Assessing Civil Penalties, and Consent of Lewis Hanson and Company, Inc., to Entry of Order |
| Lie Tan and Advanced Real Estate Loans Co. |
M-05-0038 |
Final Order of Denial of Mortgage Banker/Broker License by Default |
| Loan Link Financial Services |
O-02-0053 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Magellan Securities Inc., Terry Michael Laymon, Dennis Leroy Dunn |
A-01-0033 |
Order to Cease and Desist Order Assessing Civil Penalty Order Denying Exemptions Order Suspending Securities Salesperson License of Dennis Leroy Dunn and Consent to Entry of Order as to Dennis Leroy Dunn |
| Magellan Securities Inc., Terry Michael Laymon, Dennis Leroy Dunn |
A-01-0033 |
Order to Cease and Desist Order Assessing Civil Penalty Order Denying Exemptions Order Suspending Securities Salesperson License of Dennis Leroy Dunn and Consent to Entry of Order as to Dennis Leroy Dunn |
| Magsden Corp dba Mortgage Loan Associates |
O-01-0011 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Main Stream Funding Inc |
O-01-0015 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Market Place Mortgage LLC |
O-01-0018 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Mary Manin Morrissey, and individual; Edward P. Morrissey, and individual; The Living Enrichment Center, a non-profit religious organization, Living Enrichment Ministries, a non-profit religious corporation; New Thought Broadcasting, Inc.; and New Thought Broadcasting Foundation, a dissolved Oregon corporation |
S-05-0005 |
Consent Decree and Final Judgement and Order |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. |
A-02-0025 |
Administrative Order Order Imposing Monetary Obligations and Consent to Entry of Order |
| MHShopper.com, Inc. and Ronald Davis Brandenburg |
O-01-0021 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Michael D. Mansfield, Mansfield Trust, Mansfield Corporation, and Mansfield Viatical Management |
S-03-0046 |
Final Order to Cease and Desist, Order Denying Use of Exemptions, and Order Imposing Civil Penalty Entered by Default |
| Michael Del Branson |
A-01-0017 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order |
| Michael Francis Dobbs and GIT Securities Corporation |
S-03-0051 |
Order to Cease and Desist, Order Imposing Civil Penalty Entered by Default |
| Michael Nelson Real Estate, Inc., Michael R. Nelson |
O-94-0012 |
Order to Cease and Desist, Denying Certain Exemptions and Assessing Civil Penalty, and Consent to Entry of Order |
| Millennium Electronics 2, Inc., |
A-02-0084 |
Order to Cease and Desist, Order of Rescission, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Millennium Securities Corp. and Empire Capital Corp., a.k.a. Interactive Technologies.com |
O-00-0001 |
Order to Cease and Desist Assessing Civil Penalties Denying Exemptions and Notice of Right to Hearing |
| Mortgage Associates, Inc. |
O-01-0023 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Mortgage Bankers Trust Corp dba 1st Academy Financial Resource Center dba Abacus Mortgage dba Mobmoney.com |
O-01-0014 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Mortgage Capital Resource Corporation dba Keene Mortgage Group dba Nexus |
O-00-0041 |
Order by Default - Revocation of Mortgage Banker/Broker License and Imposition of Civil Penalties |
| Mortgagevalues and Don Dickerson |
O-01-0005 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| National Consultants Ltd. |
O-95-0024 |
Order Assessing Civil Penalty and Consent of National Consultants Ltd. to Entry of Order |
| National Equipment Providers, LLC; Spa Marketing, LLC; Walter Theis; Ross Rambach; Mark Kennison, and Harry Proudfoot III |
S-03-0047-b |
Order of Dismissal Without Prejudice as to Walter Theis Only |
| National Equipment Providers, LLD; Spa Marketing, LLC: Walter Theis; Ross Rambach; Mark Kennison, and Harry Proudfoot III |
S-03-0047a |
Final Order to Cease and Desist, Denying Exemptions, And assessing Civil Penalties by Default as the National Equipment Providers, LLC; Spa Marketing, LLC; Ross Rambach; Mark Kennison, and Harry Proudfoot III only |
| National Funding Service Inc. |
O-00-0010 |
Order to Cease and Desist Order to Assess Civil Penalty Consent to Entry of Order |
| Nendels Corporation, nka Skylink Communications Corporation, an Oregon Corporation; Gary Alfred Shill and Tarlton Snead Gosney |
A-01-0027 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order by Respondent Tarlton Snead Gosney |
| Nendels Corporation, nka Skylink Communications Corporation, an Oregon Corporation; Gary Alfred Shill and Tarlton Snead Gosney |
A-01-0027 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order by Respondent Gary Alfred Shill |
| Nendels Corporation, nka Skylink Communications Corporation, an Oregon Corporation; Gary Alfred Shill and Tarlton Snead Gosney |
A-01-0027 |
Final order to Cease and Desist, Denial of Exemptions, and Assessment of Civel Penalties Entered by Default As to Nendels Corp. |
| Nendels Corporation, nka Skylink Communications Corporation, an Oregon Corporation; Gary Alfred Shill and Tarlton Snead Gosney |
A-01-0027 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order by Respondent Tarlton Snead Gosney |
| Nendels Corporation, nka Skylink Communications Corporation, an Oregon Corporation; Gary Alfred Shill and Tarlton Snead Gosney |
A-01-0027 |
Final Order to Cease and Desist Denying Exemptions and Assessing Civil Penalties Entered by Default as to Nendels Corp. |
| Nendels Corporation, nka Skylink Communications Corporation, an Oregon Corporation; Gary Alfred Shill and Tarlton Snead Gosney |
A-01-0027 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order by Respondent Gary Alfred Shill |
| Nikii Davis |
O-00-0042 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Northwest Paytele Communications, Inc., and Steven Cooper |
S-04-0012 |
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Default as to Northwest Paytele Communications, Inc. |
| Northwest Paytele Communications, Inc., and Steven Cooper |
S-04-0012 |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties and Consent to Entry of Order as to Steven Cooper |
| Nuhart Funding, Inc.; and David L. Fendall |
O-96-0003 |
Order to Cease and Desist; Denial of Exemptions; Assessment of Civil Penalties; and Consent of Respondents to Entry of Order |
| NWLG Mortgage fka Northwest Lending Group |
O-00-0031 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Oceanfront Mortgage Inc. dba Ocean Mortgage |
O-02-0068 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Orion International, Inc., Russell B. Cline, April Duffy, Bangone Vorachith, and Nancy Hoyt |
S-05-0064-8 |
Consent Order of Permanent Injunction, Ancillary Equitable Relief, and Civil Monetary Penalty Against April Duffy |
| Orion International, Inc., Russell B. Cline, April Duffy, Bangone Vorachith, and Nancy Hoyt |
S-05-0064-4 |
Final Judgement Order of Permanent Injunction, Ancillary Equitable Relief, and Civil Monetary Penalty Against Russell B. Cline |
| Orion International, Inc., Russell B. Cline, April Duffy, Bangone Vorachith, and Nancy Hoyt |
S-05-0064-3 |
Consent Order of Permanent Injunction, Ancillary Equitable Releift, and Civil Monetary Penalty Against Nancy Hoyt |
| Orion International, Inc., Russell B. Cline, April Duffy, Bangone Vorachith, and Nancy Hoyt |
S-05-0064-1 |
Order of Default Judgement for Permanent Injunction, Ancillary Equitable Relief, and Civil Monetary Penalty Against Orion International, Inc. |
| Orion International, Inc., Russell B., Cline, April Duffy, Bangone Vorachith, and Nancy Hoyt |
S-05-0064-9 |
Consent Order of Permanent Injunction and Ancillary Equitable Relieft, Against Samantha B. Vorachith formerly known as Bangone Vorachith |
| Pac West Mortgage & Investments and Ron Ogle |
O-01-0009 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Pacific Cascade Investment, Inc. |
O-94-0042 |
Order to Cease and Desist, Suspension of License, Assessment of Civil Penalties, Consent to Entry of Order |
| Pacwest Funding.com and Das Financial Services, Inc. dba Boise River Mortgage |
O-01-0054 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Philip V. Swan Associates, Inc. |
O-93-0039 |
Cease and Desist Order, Order Assessing Civil Penalty, and Consent to Order |
| Preferred Securities Group, Inc. |
A-00-0013 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order |
| Presidents Trust Company, LLC, Jon Patrick Pierce, David D. Klasna and Herbert L. Perilloux |
S-04-0005 |
Final Order to Cease and Desist Entered by Default |
| Prestige Mortgage Services Inc. fka Prestige Mortgage Inc. |
O-00-0030 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Prime One Mortgage Corporation |
O-02-0008 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Prime Point Mortgage Inc. |
O-00-0037 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Prosper Trust and David Alan Cole |
A-00-0015 |
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties as to Respondent Prosper Trust |
| Ragen Mackenzie Investment Services LLC and Peter E. Nipoti |
S-03-0057 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley haragan, Leta Mae haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece, and Michael Whelan |
S-05-0029-18 |
Order to Cease and Desist and Consent to Entry of ORder as to Aaron Bolleddula Only |
| Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley haragan, Leta Mae haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece, and Michael Whelan |
S-05-0029-3 |
Order to Cease and Desist and Consent to Entry of Order as to Greg Diamond Only |
| Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley haragan, Leta Mae haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece, and Michael Whelan |
S-05-0029-4 |
Order to Cease and Desist and Consent to Entry of Order as to Lisa Diamond Only |
| Response Mortgage Services, Inc. |
O-01-0040 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Rex A. Haragan dba Bountiful LLC |
S-05-0029 |
Final Order |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Order to Cease and Desist and Consent to Entry of Order as to Brett Pittner Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Order to Cease and Desist and Consent to Entry of Order as to Sterling Griffiths Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Order to Cease and Desist and Consent to Entry of Order as to Sterling Griffiths Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Second Amended Order to Cease and Desist, Order Assessing Civil Penalties Entered by Default as to Scott Lee Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Order to Cease and Desist and Consent to Entry of Order as to Brett Pittner Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Order to Cease and Desist and Consent to Entry of Order as to Clyde Demoss Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Amended Order to Cease and Desist, Order Assessing Civil Penalties Entered by Default as to Linda Pfeiffer Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Order to Cease and Desist and Consent to Entry of Order as to Brent Morriss Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Order to Cease and Desist and Consent to Entry of Order as to Brent Morriss Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Second Amended Order to Cease and Desist, Order Assessing Civil Penalties Entered by Default as to Scott Lee Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Order to Cease and Desist and Consent to Entry of Order as to Christos Mandalides Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Order to Cease and Desist and Consent to Entry of Order as to Clyde Demoss Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Order to Cease and Desist and Consent to Entry of Order as to Christos Mandalides Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Clyde Demoss, Greg Diamond, Lisa Diamond, Sterling Griffiths, Riley Haragan, Leta Mae Haragan, Christa Kirby, Scott Lee, Christos Mandalides, Mary Ann Mathis, Shawn McCorkle, Brent Morriss, Linda Pfeiffer, Brett Pitner, Jeff Preece and Michael Whelan |
C-3822 |
Amended Order to Cease and Desist, Order Assessing Civil Penalties Entered by Default as to Linda Pfeiffer Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley Haragan, Leta Mae Haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece and Michael Whelan |
S-05-0029-3 |
Order to Cease and Desist and Consent to Entry of Order as to Greg Diamond Only |
| Rex A. Haragan, dba Bountiful LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley Haragan, Leta Mae Haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece and Michael Whelan |
S-05-0029-3 |
Order to Cease and Desist and Consent to Entry of Order as to Greg Diamond Only |
| Rex A. Haragan, dba Bountiful, LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley Haragan, Leta Mae Haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece, and Michael Whelan |
S-05-0029 |
Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Michael Whelan Only |
| Rex A. Haragan, dba Bountiful, LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley Haragan, Leta Mae Haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece, and Michael Whelan |
S-05-0029 |
Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Leta Mae Haragan Only |
| Rex A. Haragan, dba Bountiful, LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley Haragan, Leta Mae Haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece, and Michael Whelan |
S-05-0029 |
Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Shawn McCorkle Only |
| Rex A. Haragan, dba Bountiful, LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley Haragan, Leta Mae Haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece, and Michael Whelan |
S-05-0029 |
Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Riley Haragan Only |
| Rex A. Haragan, dba Bountiful, LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley Haragan, Leta Mae Haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece, and Michael Whelan |
S-05-0029 |
Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Nancy Alexander Only |
| Rex A. Haragan, dba Bountiful, LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley Haragan, Leta Mae Haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece, and Michael Whelan |
S-05-0029 |
Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Mary Ann Mathis Only |
| Rex A. Haragan, dba Bountiful, LLC; Kenneth G. Titus, Sr., dba Redwood Trust, Nancy Alexander, Willie Banks, Aaron Bolleddula, Greg Diamond, Lisa Diamond, Riley Haragan, Leta Mae Haragan, Christa Kirby, Mary Ann Mathis, Shawn McCorkle, Jeff Preece, and Michael Whelan |
S-05-0029 |
Order to Withdraw Third Amended Order to Cease and Desist, Order Assessing Civil Penalties, and Notice of Right to Hearing as to Christa Kirby Only |
| Rhodes Econometrics, Inc., and Charles Wesley Rhodes, Jr., doing business individually and under the names "The Rhodes Company," "Professional Practice Planning Service," and "PPPS," |
S-06-0036 (A) |
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties. Order of Revocation of Investment Adviser Representative License of Charles Wesley Rhodes, Jr. |
| Roger A. Chinn, Gerald "Jerry" H. Chinn, and Sanford "Dusty" Webb |
A-01-0039 |
Final Order by Default as to Roger A. Chinn and Sanford "Dusty" Webb |
| Ronald L. McLain, Constance McLain and IQ Travel & Entertainment, Inc. |
S-05-00 |
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order |
| RV Financial Inc. |
O-00-0022 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Savory Telecom, Inc., and International Internet & Telecom, Inc. |
S-06-0026 |
Order to Cease and Desist, Order Assessing Securities Registration Fees and Consent to Entry of Order |
| Schield Management Company |
O-93-0013 |
Cease and Desist Order, Order Assessing Civil Penalty, and Consent to Order |
| Sehat Enterprises, Inc. |
M-05-0047-3 |
Final Order to Cease and Desist and Order Assessing Civil Penalities by Default |
| Senior Homeowners Financial Services, Inc. |
O-02-0021 |
Final Order by Default - Revocation of Mortgage Banker/Broker License and Imposition of Civil Penalties |
| Sierra Pacific Mortgage Company, Inc. |
O-02-0036 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Skylink Communications Corporation, an Oregon Corporation (fka Nendels Corporation and Skylink Telecommunications Corporation); and Northwest Communications, Inc., an Oregon Corporation |
A-01-0045 |
Final order to Cease and Desist, Denial of Exemptions, and Assessment of Civil Penalties, Entered by Default Against All Respondents |
| Smith Barney Income Funds |
O-95-0020 |
Order to Assess Civil Penalties and Consent to Entry of Order |
| Southwest Exchange, Inc., a Nevada Corporation, dba Arrow 1031 Exchange, aka Southwest 1031 Exchange, Inc. |
S-07-0015 |
Final Order to Cease and Desist and Denying Use of Exemptions Entered by Default |
| Special Mortgage Solutions of Oregon Inc. |
O-02-0048 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Stanley R. Stearns and San Clemente Securities |
A-00-0028 |
Order to Cease and Desist and Assessing Civil Penalties and Stipulations and Consent to Entry of Order by Respondent Stanley R. Stearns |
| Stanley R. sterans and San Clemente Securities |
A-00-0028 |
Order to Cease and Desist and Assessing Civil Penalties and Stipulations and Consent to Entry of Order by Respondent Stanley R. Stearns |
| Stephen Harold Smither, aka Steven H. Smither, GGN, GG Network, GGN Gemologocal Services, GGN Brokers, and GGN Ideal Diamond Brokers |
A-01-0011 |
Order to Cease and Desist and Assessing Civil Penalties and Stipulations and Consent to Entry of Order by Respondents |
| Stohr Capital Group Inc. dba Source Financial |
O-02-0032 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| Sucess Cconcept Enterprises, Inc dba Success POS; Ameripos dba Vision One dba WBCI; David Tarr; David Ross; Brandon Clarey; and Frank Mineo |
A-03-0013 |
Order to Cease and Desist, Denying Exemptions, and Assessing/Suspending Civil Penalties as to Success Concept Enterprises, Inc dba Success POS and David Tarr |
| Sunshine Elise Merie Simmons |
S-07-0009-2 |
Order to Cease and Desist, Order Barring From Industry, Order Denying Exemptions, Order Imposing Civil Penalties, and Consent to Entry of Order |
| Taramar Venture Capital, LLC; KNC Software, LLC dba Kidsnet Connect; Marvin Butler, Peter M. Fagnant, and Dawn Lillie aka Dawn Lillie Flores |
A-02-0022 |
Order to Cease and Desist Order Assessing Civil Penalty Order Denying Exemptions and Consent to Entry of Order as to Peter M. Fagnant |
| Taramar Venture Capital, LLC; KNC Software, LLC dba Kidsnet Connect; Marvin Butler, Peter M. Fagnant, and Dawn Lillie aka Dawn Lillie Flores |
A-02-0022 |
Final Order by Default as to Taramar Venture Capital, LLC; KNC Software, LLC dba Kidsnet Connect; Marvin Butler; and Dawn Lillie aka Dawn Lillie Flores |
| The January 2007 Rescission Offering of Morgan Stanley DW Inc. and/or Morgan Stanley & Co. Incorporated |
2007-WVR-01 |
Order Granting Waiver Pursuant to ORS 59.045 (1) (b) |
| The Loan Co. Inc. dba TLC Mortgage |
O-02-0018 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| The Marketplace Mortgage Company |
O-00-0020 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| The Prudential Investment Portfolios, Inc., a Maryland corporation |
S-07-0034 |
Order to Cease and Desist, Order Assessing Securities Notice Filing Fees and Consent to Entry of Order |
| The Sheffield Group and M.D. Ruth |
A-00-0008 |
Final Order to Cease and Desist and Assessing Civil Penalties |
| Thomas Dale Kienlen and Thomas D. Kienlen Corp., dba Market Momentum, S&P Option Trader, and S&P Option Trader Daily Fax Service |
A-00-0011 |
Order to Cease and Desist, Assessing Civil Penalty, and Denying Exemptions and Consent to Entry of Order |
| Thomas Weisel Partners, LLC |
S-05-00004 |
Administrative Consent Order |
| Thomas Weisel Partners, LLC |
S-05-00004 |
Administrative Consent Order |
| Timothy Colin McGuire; and American Assets Management Corporation, Inc. |
A-02-0029 |
Order to Cease and Desist Order Assessing Civil Penalty and Consent to Entry of Order |
| Trendtrac Incorporated |
O-94-0015 |
Cease and Desist Order, Order Assessing Civil Penalty, and Consent to Entry of Order |
| U.S. Securities, Intl. Corp. and William Coppa |
A-02-0040 |
Stipulated Order to Cease and Desist and Assessing Civil Penalties Stipulation and Consent to Entry of Order |
| U.S. Securities, Intl. Corp. and William Coppa |
A-02-0040 |
Stipulated Order to Cease and Desist and Assessing Civil Penalties Stipulation and Consent to Entry of Order |
| Ultimate Ventures, Inc., a Canadian corporation, Cameron Kuipers, an individual, Assurance Financial, Inc., an Idaho corporation, and K. Barth Williams, an individual |
S-03-0048 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order as to Assurance Financial, Inc., and K. Barth Williams |
| Ultimate Ventures, Inc., Cameron Kuipers, Assurance Financial, Inc., and K. Barth Williams |
S-03-0048 |
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Default Against Respondents Ultimate Ventures, Inc., and Cameron Kuipers Only |
| Umraan Syed Hasan, aka Suvraan Hasan, aka Ron Hasan, and individual, dba Strategic Funds Group, LP, dba Strategic Hedge Fund, LP, and dba Strategic Mini Hedge Fund, LP |
S-05-0095 |
Final Order to Cease and Desist and Assessing Civil Penalties Entered by Default |
| Van Deventer & Hoch |
O-94-0014 |
Cease and Desist Order, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Van Eck Funds |
O-93-0006 |
Order Assessing Civil Penalties and Consent to Entry of Order |
| Waddell & Reed, Inc., and W & R Insurance Agency, Inc. |
S-05-0059 |
Stipulation and Final Order |
| Westamerica Investment Company dba Westamerica Investment Group |
O-96-0026 |
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order |
| Westminster Holdings, Ltd; Compclubcasino.com, Inc.; Ace Linden Moses (aka A. Lyndon Moses); Robert Israel Moses; Robert Hammerstein (aka Robert Haammerstein) |
A-02-0024 |
Final Order to Cease and Desist Denial of Exemptions and Assessment of Civil Penalties Entered by Default Against All Respondents |
| Westminster Securities Corporation |
A-03-0021 |
Order Denying Request to Set Aside Default Order and for Post Order Hearing |
| Westminster Securities Corporation |
A-03-0021 |
Final Order Revoking License Entered by Default |
| Windsor Capital Mortgage Corporation |
O-02-0046 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
| World Lending Group Inc formerly known as WMA Mortgage Services Inc |
O-01-0055 |
Cease and Desist Order and Consent to Imposition of Civil Penalties |
