Division of Banking and Securities

Enforcement Orders

Welcome to the Enforcement Orders webpage

Enforcement actions are organized by year.  Clicking on the year will show you all orders issued that year. Generally, orders ending with -B are Banking orders, orders ending with -S are Securities orders, and orders ending with -C are Consumer Finance orders. If you are looking for older orders, or know of a specific order issued by the Division but you cannot locate it on our website, please contact the Division.

2017
  • 17-126-S, 5/17/17, Shee Atiká, Inc., Consent Order
  • 17-114-S, 5/9/17, Pamela Craig, Temporary Cease and Desist Order Effective Immediately, with Notice of Hearing Rights and Notice of Final Cease and Desist Order
  • 17-103-2-S, 5/9/17, Laurence Garrity and Lillian J. Young, Consent Order
  • 17-91-C, 4/28/17, Fairbanks Neighborhood Housing Services, Inc. NMLS #266203, Order to Pay Suspended Late Fees and Consent to Order
  • 16-227-S, 4/19/17, Marie Tozier, Temporary Cease and Desist Order Effective Immediately, Assessing Civil Penalties, with Notice of Hearing Rights and Notice of Final Cease and Desist Order
  • 16-229-S, 4/19/17, Barbara Mazonna, Temporary Cease and Desist Order Effective Immediately, Assessing Civil Penalties, with Notice of Hearing Rights and Notice of Final Cease and Desist Order
  • 17-40-S, 4/13/17, Charles Fagerstrom, Temporary Cease and Desist Order Effective Immediately, to Pay Suspended Penalty, Assessing Civil Penalties, with Notice of Hearing Rights and Notice of Final Cease and Desist Order
  • 17-49-S, 3/13/17, Austin Ahmasuk, Temporary Cease and Desist Order Effective Immediately, Assessing Civil Penalties, with Notice of Hearing Rights and Notice of Final Cease and Desist Order
  • 17-8-C, 3/3/17, CMG Mortgage, Inc. d/b/a CMG Financial, Order Imposing Civil Penalties and Consent to Order
  • 16-67-S, 2/8/17, Codawn Consulting Corporation; Sentinel Capital Corp.; Christopher Bryan; Cody Roach; and Craig Wiginton, Temporary Cease and Desist Order Effective Immediately, Assessing Civil Penalties, With Notice of Hearing Rights and Notice of Final Cease and Desist Order
  • 16-333-C, 1/10/17, Chad Douglas DeGange NMLS #AK968934, Final Order Denying License
2016
2015
2014
2013
2012
2011
2010
2009
2008
2007
2006
2005
2004
2003
  • 03-12-S, 12/3/03, Daymond K. Geary, Rodney P. Whitehead, Mark G. Morris, IHH Construction, IHH Electrical, IHH Development, Inc., IHH Industries, Inc., Consent Agreement
  • 04-09-S, 10/30/03, Citigroup Global Markets, Inc., Consent Order
  • 03-04-S, 10/29/03, Edward D. Jones and Co., LP, and Peter Van Flein, Consent Order
  • 04-12-S, 10/10/03, Corporate Property Associates 15 Inc., Summary Disallowance of Exemption
  • 04-08-S, 09/11/03, Credit Suisse First Boston LLC, Consent Order
  • 04-03-S, 09/11/03, J.P. Morgan Securities, Inc., Consent Order
  • 04-01-S, 08/29/03, Bear, Stearns & Co., Inc., Consent Order
  • 04-06-S, 08/29/03, US Bancorp Piper Jaffray, Inc, Consent Order
  • 04-07-S, 08/29/03, UBS Warburg, LLC & UBS PaineWebber, Inc, Consent Order
  • 04-04-S, 08/20/03, Lehman Brothers, Inc., Consent Order
  • 04-10-S, 08/01/03, Robert Beans, Sr., Consent Agreement with Robert Beans
  • 03-10-S, 06/27/03, Lotus Management, Global Strategies Ltd., Bud Riley, Loren Poole, Cheryl A. Boos, Final Order
  • 04-02-S, 05/23/03, Goldman, Sachs & Co., Consent Order
  • 04-05-S, 05/23/03, Morgan Stanley & Co., Consent Order
2002
  • 02-03-S, 1/30/02, DBA, Inc., and Tom N. Vaughn, Final Order to Cease and Desist and Imposing Civil Fine
  • 02-09-S, 6/20/02, Kake Tribal Corporation, Consent Agreement
  • 02-10-S, 8/4/02, Merrill Lynch, Pierce, Finner, & Smith, Inc., Administrative Consent Order
  • 03-06-S, 10/15/02, Kenai Natives Association, Inc., Consent Agreement
2001
2000
1999
1998
1997
1996
1995
  • 91-6-C, 5/18/95, American Microtel, Inc.; Charles C. Davis; John D. Hight; James D. Greenbaum, Entry of Permanent Final Order to Cease and Desist and Levy of Fines
  • 96-05-S, 12/11/95, M.L. Stern & Co. Inc., Consent Agreement
  • 96-04-S, 10/30/95, Loken Aviation Inc.; Craig Loken; Aral Loken; Inian, Inc.; Lynden, Inc.; Albert N. Ball Sr., Consent Agreement
  • 96-03-S, 10/19/95, A.S. Goldmen & Company, Consent Agreement
  • 95-04-S, 06/29/95, International Technologies Group; The Intech Group; The Intech Group, Inc.; The Intech Group Montgomery SMR System; David W. Williams; Marvin Butler; Mike Carter, Consent Agreement
  • 95-06-S, 05/23/95, Sheila D. Miller, Outlook Financial Services, Order Imposing Civil Fine
  • 1994
    1993
    1992
    1991
    1990
    1989
    1988
    1987
    1986
    1985
    1984
    1983
    1982
    1981
    1980
    1979
    1978
    1977
    1976
    1975
    1974
    1973
    1971