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
  • 14-556-C, 7/18/17, Rodrigo Ballon NMLS #272011, Order Imposing a Civil Penalty and Consent to Order
  • 17-40-S, 7/12/17, Charles Fagerstrom, Notice of Final Cease and Desist Order to Pay Suspended Civil Penalty and Assessing Civil Penalties.
  • 16-227-2-S, 6/28/17, Marie Tozier, Consent Order
  • 17-76-B, 6/15/17, Jansen Family Trust Company, Order Imposing a Civil Penalty and Consent to Order
  • 17-141-C, 6/13/17, FNC Insurance Agency, Inc., Consent Agreement Assessing Civil Penalties
  • 17-114-S, 6/9/17, Pamela Craig, Final Cease and Desist Order
  • 17-126-S, 5/17/17, Shee Atiká, Inc., Consent 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    
  • 16-229-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
  • 17-49-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