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Enforcement Orders

Enforcement actions are organized by year. To open a list of orders, click on the year. Generally, orders ending with -B relate to banking, -S relate to securities, and -C relate to Consumer Finance. If you are looking for specific order but you cannot find it listed, please contact the Division.

2022
  • 21-123-C, 05/31/22, Mortgage Brokers of Alaska Corporation NMLS #1708957, Order Imposing Civil Penalties and Consent to Order
  • 22-34-S, 05/10/22, BlockFi Lending LLC, Cease and Desist and Consent Order
  • 22-28-S, 04/29/22, Brad Angasan, Order to Cease and Desist and Consent to Order
  • 22-21-S, 03/23/22, Raven Sheldon, Order Voiding Proxies and Consent to Order
  • 19-133-3-S, 03/11/22, TMTE, Inc., aka Metals.Com; Chase Metals, Inc.; Walter Kohl; Athena Hunter; Sean Reza; Jonathan Sachs; David Bleeden; and Randall Kohl, Consent Agreement as to Sean Reza
2021
  • 20-31-C, 12/31/2021, Chad Baker NMLS #329451, Multi-State Settlement Agreement and Consent Order
  • 19-133-3-S, 12/27/21, TMTE, Inc., aka Metals.Com; Chase Metals, Inc.; Walter Kohl; Athena Hunter; Sean Reza; Jonathan Sachs; David Bleeden; and Randall Kohl, Order to Cease and Desist and a Permanent Bar as to Randall Kohl and Consent to Order
  • 19-133-2-S, 12/27/21, TMTE, Inc., aka Metals.Com; Chase Metals, Inc.; Walter Kohl; Athena Hunter; Sean Reza; Jonathan Sachs; David Bleeden; And Randall Kohl, Order to Cease and Desist and a Permanent Bar as to David Bleeden and Consent to Order
  • 21-85-C, 12/20/21, Lisa Makoni NMLS #AK203684, Order Imposing Civil Penalties and Consent to Order
  • 19-171-C, 09/22/21, Rocket Mortgage LLC NMLS #3030, Multi-State Settlement Agreement and Order
  • 20-124-C, 09/20/21, Wave Financial Inc. and Wave Financial USA Inc. AK-MT-013154 NMLS #1846278, Order Assessing Civil Penalties and Consent to Order
  • 21-35-C, 08/31/21, Alaska USA Mortgage Company, LLC NMLS #AK157293, Order Imposing Civil Penalties and Consent to Order
  • 20-19-C, 06/23/21, ZenPayroll, Inc. d/b/a Gusto AK-MT-012300 NMLS #1737896, Order Assessing Civil Penalties and Consent to Order
  • 21-60-S, 06/17/21, Darrell Toby Brown, Order Voiding Proxies and Consent to Order
2020
  • 20-198-C, 12/19/20, Nationstar Mortgage LLC NMLS #2119, Multi-State Settlement Agreement and Consent Order
  • 19-123-S, 10/22/20, William Andrews, Order to Cease and Desist, Imposing Civil Penalties and Consent to Order
  • 17-156-B, 12/02/21, Advance Alaska LLC d/b/a Advance Til Payday, Final Order Imposing Civil Penalties
  • 19-126-S, 08/27/20, Richard Beasley, Notice of Final Cease and Desist Order Assessing Civil Penalty
  • 17-120-S, 07/23/20, Linda Denny and John Denny, Temporary Cease and Desist Order Effective Immediately, Assessing Civil Penalties, with Notice of Hearing Rights and Notice of Final Cease and Desist Order
  • 19-133-S, 07/20/20, TMTE, Inc., aka Metals.com; Chase Metals, Inc.; Walter Vera; Athena Hunter; Sean Reza; Jonathan Sachs; David Bleeden; and Randall Kohl, Temporary Cease and Desist Order Effective Immediately, Assessing Civil Penalties and Notice of Final Order
  • 19-92-S, 06/16/20, Raymond Austin, Temporary Cease and Desist Order Effective Immediately, Assessing Civil Penalties, with Notice of Hearing Rights and Notice of Final Cease and Desist Order
  • 19-100-S, 04/07/20, Solium Financial Services LLC, Consent Order
  • 19-231-S, 03/31/20, Securian Financial Services, Inc., Order Assessing Civil Penalties and Consent to Order
  • 19-18-S, 02/03/20, Anita Andrews; and Peter Andrews, Notice of Final Cease and Desist Order Assessing Civil Penalties
2019
  • 19-38-S, 12/13/19, Dominic Salvato, Temporary Cease and Desist Order Effective Immediately, Assessing Civil Penalties, with Notice of Hearing Rights and Notice of Final Cease and Desist Order
  • 18-266-B, 10/09/19, Affordable Loan Company License #45, Order to Pay Late Filing Fees and Consent to Order
  • 19-73-C, 10/04/19, David W. White, NMLS #AK200917, Order Imposing Civil Penalties and Consent to Order
  • 19-75-C, 09/19/19, Amber Gauthier, NMLS AK #988438, Order Imposing Civil Penalties and Consent to Order
  • 19-74-C, 09/17/19, Kelli K. White, NMLS AK#1367160, Order Imposing Civil Penalties and Consent to Order
  • 18-161-S, 08/02/19, Harley Sundown, Order to Cease and Desist, Imposing Civil Penalties and Consent to Order
  • 19-71-S, 07/19/19, Kenneth Cameron, Order to Cease and Desist, Imposing Civil Penalties and Consent to Order
  • 19-72-C, 07/12/19, Primary Residential Mortgage, Inc. NMLS #AK3094, Order Imposing Civil Penalties and Consent to Order
  • 19-29-C, 07/08/19, KM Capital Management, Inc. NMLS #AK186066, Suzan A. McCready, NMLS #AK189271, Order Imposing Civil Penalties and Consent to Order
  • 19-44-S, 05/22/19, Clarice Johnson, Order to Cease and Desist, Imposing Civil Penalties and Consent to Order
  • 17-170-S, 04/16/19, LPL Financial LLC, Administrative Consent Order
  • 18-133-C, 01/31/19, Jason Wooten NMLS #AK188808, Order Imposing Civil Penalties and Consent to Order
  • 18-134-C, 02/22/19, Adam J. Heafner NMLS #AK206051, Order Imposing Civil Penalties and Consent to Order
  • 18-135-C, 02/22/19, Justin L. Harris NMLS AK#289494, Order Imposing Civil Penalties and Consent to Order
2018
  • 17-154-S, 03/29/19, Charles E. Fagerstrom, Order to Cease and Desist, Imposing Civil Penalties and Consent to Order
  • 17-324-C, 11/19/18, Quicken Loans Inc. NMLS #AK3030, Order Imposing Civil Penalties and Consent to Order
  • 18-235-B, 11/19/18, Northwest Trustee and Management Services, LLC, Order to Pay Late Filing Fees and Consent to Order
  • 18-111-C, 10/03/18, First Rate Financial, LLC NMLS #AK184451, Order Imposing Civil Penalties and Consent to Order
  • 17-217-C, 08/31/18, Yapstone Holdings, Inc. f/k/a Yapstone, Inc. and YapStone, Inc. d/b/a RentPayment, d/b/a VacationRentPayment, d/b/a DuesPayment, d/b/a StorageRentPayment, d/b/a ParishPay, Order Assessing Civil Penalties, and Consent to Order
  • 17-162-S, 07/11/18, Susettna King, Notice of Final Cease and Desist Order Assessing Civil Penalties
  • 18-125-S, 06/18/18, Ella Bennett, Order to Cease and Desist, Imposing Civil Penalties and Consent to Order
  • 18-24-C, 06/04/18, Virtua Funding LLC NMLS #1015993, Order to Pay Late Filing Fees, Imposing Civil Penalties and Consent To Order
  • 17-088-C, 06/04/18, Tiger Commissary Services, Inc., Order Assessing Civil Penalties and Consent to Order
  • 18-98-B, 05/16/18, Northrim Bank, Order to Pay Late Filing Fees and Consent to Order
  • 17-272-C, 04/04/18, Commonwealth Foreign Exchange, Inc., Order Assessing Civil Penalties and Consent to Order
  • 18-25-C, 03/29/18, Phillip Gibson II NMLS License #AK1623545, Final Order Denying License
2017
  • 17-287-C, 12/29/17, PHH Mortgage Corporation NMLS #2726, Multi-State Settlement Agreement and Consent Order
  • 17-140-C, 12/12/17, Creative Solutions Software Corp. d/b/a myPay Solutions, Consent Agreement
  • 17-232-C, 12/11/17, Associated Foreign Exchange, Inc., Order Assessing Civil Penalties and Consent to Order
  • 17-208-B, 12/04/17, Capital Premium Financing, Inc., Assessing Civil Penalties and Consent to Order
  • 17-204-S, 10/10/17, J. Randall Gladden, Consent Order
  • 17-213-C, 10/4/17, John Bose NMLS License #AK436456, Final Order Denying License
  • 16-67-S, 10/2/17, Codawn Consulting Corporation; Sentinel Capital Corp.; Christopher Bryan; Cody Roach; and Craig Wiginton, Consent Order as to Craig Wiginton
  • 17-212-C, 9/28/17, Hanif Sharif NMLS License #AK1079617, Final Order Denying License
  • 17-227-C, 9/28/17, Academy Mortgage Corporation NMLS #3113, Order Imposing Civil Penalties and Consent to Order
  • 17-281-C, 8/30/17, Ocwen Financial Corporation (Ocwen Loan Servicing #1852), Unopposed Motion to Enforce the Consent Judgment-Metric 29
  • 17-180-C, 08/23/2017, North American Financial Corp. NMLS #180736, Order to Surrender and Consent to Order
  • 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
  • 16-304-C, 12/15/16, CK Group Partnership, Order to Pay Late Filing Fees, Imposing Civil Penalties and Consent to Order
  • 15-6746-S, 11/28/16, Michael Scow, Final Cease and Desist Order Assessing Civil Penalties
  • 12-607-1-S, 10/26/16, SOSdisasterplan.com, Inc.; Martin Wade Bartel; and Frederick Miller, Consent Order to Pay a Civil Penalty as to Martin Wade Bartel
  • 16-263-C, 10/24/16, Angelica Collett NMLS #AK1503813, Final Order Denying License     
  • 14-1312-C, 10/12/16, Kathy J. Fernandez, Order Imposing a Civil Penalty and Consent to Order
  • 16-155-C, 8/4/16, Freedom Mortgage Corporation NMLS#2767, Order to Pay Late Filing Fees, Imposing Civil Penalties and Consent to Order
  • 16-137-S, 8/4/16, Steve Potter, Order to Cease and Desist, Imposing Civil Penalties and Consent to Order
  • 16-130-C, 7/27/16, American Advisors Group, Inc. NMLS #9392, Order Imposing Civil Penalties and Consent to Order
  • 15-6712-S, 7/20/16, Neal Palazzo CRD #4164798, Order to Cease and Desist Assessing a Civil Penalty and Consent to Order
  • 16-129-S, 7/15/16, Ferdinand Cleveland, Order Voiding Proxies and Consent to Order
  • 16-108-S, 7/7/16, Felix Hess, Notice of Final Cease and Desist Order Assessing Civil Penalties
  • 12-607-S, 6/10/16, SOSdisasterplan.com, Inc.; Martin Wade Bartel; and Frederick Miller, Notice of Final Cease and Desist Order Assessing Civil Penalties as to SOSdisasterplan.com, Inc. and Frederick Miller
  • 16-128-S, 6/1/16, Darren Cleveland, Order Voiding Proxies and Consent to Order
  • 16-97-S, 5/27/16, Charles Fagerstrom, Order to Cease and Desist, Imposing Civil Penalties and Consent to Order
  • 16-37-C, 5/6/16, Dana Leigh Boyse NMLS #AK1439780, Final Order Denying License
  • 15-519-C, 4/26/16, American Internet Mortgage, Inc. d/b/a AimLoan.com NMLS #2890, Order to Pay Late Filing Fees, Imposing Civil Penalties and Consent to Order
  • 15-520-C, 4/6/16, North American Financial Corp. NMLS #180736, Order to Pay Late Filing Fees, Imposing Civil Penalties and Consent to Order
  • 16-83-C, 4/18/16, Patti Ann Crosswhite NMLS #AK148977, Final Order Denying License
  • 16-6761-C, 4/6/16, Zoya Jamil NMLS #AK1442357, Final Order Denying License
  • 16-6780-C, 4/6/16, Terreia Syreeta Whitsett NMLS License #AK1222442, Final Order Denying License
  • 16-6762-C, 4/6/16, Izuey Bermudez NMLS License #AK1340059, Final Order Denying License
  • 15-1520-2-S, 4/18/16, Garland James, Final Cease and Desist Order Assessing a Civil Penalty
  • 15-6737-B, 3/21/16, Alaska Prepaid Card, LLC d/b/a Quyana Card, Order to Cease and Desist Imposing a Civil Penalty and Consent to Order
  • 16-6784-S, 3/13/2016, Terry D. Mann; John M. Holm; Lorianne N. Rawson; Manuel Anelon; and Charlene Roehl, Notice of Final Cease and Desist Order Assessing Civil Penalties
  • 16-6767-C, 3/1/2016, Charles Anthony Leonard Power NMLS License #AK1428742, Final Order Denying License
  • 15-1531-S, 2/22/16, Sitnasuak Native Corporation, Order to Cease and Desist Assessing Civil Penalties and Consent to Order
  • 15-1520-S, 1/28/16, Garden State Securities, Inc., Order to Cease and Desist Assessing a Civil Penalty and Consent to Order
2015
  • 15-1935-C, 12/31/15, Paul Christopher Cook NMLS License #AK375854, Final Order Denying License
  • 15-521-1-C, 12/11/15, Jim Kelly Insurance Agency NMLS #308380 and James L.H. Kelly NMLS #320947, Order to Pay Suspended Late Fees and Consent to Order
  • 15-1804-S, 12/3/15, LPL Financial LLC, Consent to Order
  • 15-1191-B, 12/1/15, Mucho Frio, Inc. d/b/a Alaska Cash Now, Order Imposing a Civil Penalty and Consent to Order
  • 15-1870-S, 11/30/15, Inland Real Estate Income Trust, Inc., Order Imposing a Civil Penalty and Consent to Order
  • 11/19/15, Prospect Mortgage, LLC, Settlement Agreement and Consent Order
  • 15-950-S,11/06/15,Citigroup Global Markets, Inc., Administrative Consent Order
  • 15-1197-S,11/02/15, Kenai Natives Association, Inc., Order to Cease and Desist, Imposing Prefiling Requirement, Assessing a Civil Penalty and Consent to Order
  • 14-1442-2-S, 10/23/15, Global Arena Capital Corp.; Barbara Desiderio; Jonah Engler; Hector Perez; Jonathan Sheklow; Peter Snetzko; and Joshua Turney, Order to Cease and Desist, Imposing Restitution and a Permanent Bar as to Peter Snetzko and Consent to Order
  • 15-521-C, 10/5/15, Jim Kelly Insurance Agency NMLS #308380 and James L.H. Kelly NMLS #320947, Order to Pay Late Filing Fees, Imposing Civil Penalties and Consent to Order
  • 15-1449-C, 09/24/15, Sterling Currency Group, LLC, Final Cease and Desist Order Imposing a Civil Penalty
  • 13-298-S, 08/20/15, Russell H. Armstrong, Stipulated Agreement and Order
  • 15-522-C, 08/18/15, Fairbanks Neighborhood Housing Services, Inc. NMLS #26603, and Laura Burke, NMLS #263911, Order to Pay Late Filing Fees, Imposing Civil Penalties and Consent to Order
  • 13-440-S, 08/11/15, Northwest Financial Advisors, Inc., Crown Capital Securities, L.P., Fidelity Financial Services, Inc., and Parley P. Giles; Amended Order to Cease and Desist, Assessing a Civil Penalty and Consent to Order
  • 14-1660-B, 08/10/15, Hard Rock Pawn & Loan, LLC, Order to Cease and Desist, Imposing a Civil Penalty, and Consent to Order
  • 15-1200-S, 08/07/15, Ventures Capital Partners, LLC, Order Imposing a Civil Penalty and Consent to Order
  • 14-1442-S, 07/30/15,Global Arena Capital Corp.; Barbara Desiderio; Jonah Engler; Hector Perez; Jonathan Sheklow; Peter Snetzko; and Joshua Turney, Final Cease and Desist Order as to Global Arena Capital Corp.; Barbara Desiderio; Jonah Engler; Hector Perez; Jonathan Sheklow; and Joshua Turney
  • 15-523-C, 07/28/15, Radian Services, LLC NMLS #379429, Order to Pay Late Filing Fees, Imposing Civil Penalties and Consent to Order
  • 15-716-C, 07/28/15, Shawn Joseph McCaffrey NMLS License #AK1008204, Final Order Denying License
  • 15-881-S, 07/06/15, Otter Creek Partners and Christine Dahl, Order to Cease and Desist Assessing Civil Penalties and Consent to Order
  • 15-474-S, 06/01/15, Franklin Strategic Mortgage Portfolio, Order Imposing a Civil Penalty and Consent to Order
  • 15-466-S, 06/01/15, Franklin Tax-Free Trust, Order Imposing a Civil Penalty and Consent to Order
  • 15-568-S, 05/22/15,McKinley Capital Non-US Small Cap Growth Fund, Order Imposing Civil Penalty and Consent to Order
  • 14-2262-C, 05/19/15, Tyler William Randolph (an individual), Tyler William Randolph Other Trade Name: Tyler Randolph State Farm Insurance, and Tyler Randolph Insurance Agency Inc., Order to Pay Late Filing Fees, Imposing Civil Penalties and Consent to Order
  • 15-369-C, 05/19/15, Mary Christine Jacobi NMLS License #AK840760, Final Order Denying License
  • 14-1755-B, 04/14/15, Advance Alaska, LLC dba Advance Til Payday, Order to Cease and Desist Imposing a Civil Penalty and Consent to Order
  • 14-1428-1-S, 04/14/15, Fuad Ahmed, Final Order Denying Broker-Dealer Agent Registration
  • 14-1428-2-S, 04/14/15, Success Trade Securities, Final Order Denying Broker-Dealer Firm Registration
  • 14-2298-C, 04/13/15, The New Day Financial, LLC dba New Day USA, Settlement Agreement and Consent Order
  • 15-304-S, 04/06/15, 137 Holdings VII, LLC, Order Imposing a Civil Penalty and Consent to Order
  • 14-2474-C, 03/23/15, Gary Gray, NMLS License #AK334102, Final Order Denying License Renewal
  • 14-1898-S, 03/16/15, Eric V. Bartoli and St. Andrews Investments, LLC, Final Cease and Desist Order Effective Immediately, Assessing Civil Penalties, with Notice of Hearing Rights and Notice of Final Cease and Desist Order
  • 15-35-C, 01/26/15, Lisa St. John, NMLS License #AK589350, Final Order Denying License Renewal
  • 14-476-C,01/26/15, Hanif Sharif, NMLS License #AK1079617, Final Order Denying License Renewal
  • 11-1258-2-S, 01/23/15, Flatiron Capital Partners, LLC; Flatiron Systems, LLC; Spyglass Equity Systems, LLC; Landmark Asset Management, Inc.; David Howard II; and Martin Rybak, Final Cease and Desist Order as to Flatiron Capital Partners, LLC; Flatiron Systems, LLC; Spyglass Equity Systems, LLC; Landmark Asset Management, Inc.; and Martin Rybak
  • 11-1258-S, 01/16/15, Flatiron Capital Partners, LLC; Flatiron Systems, LLC; Spyglass Equity Systems, LLC; Landmark Asset Management, Inc.; David Howard II; and Martin Rybak, Order to Cease and Desist, Imposing a Civil Penalty and Consent to Order for Respondent David Howard II
  • 14-1170-S, 01/09/15, Ukpeagvik Inupiat Corporation and David Leavitt, Jr., Order to Cease and Desist Assessing Civil Penalties and Consent to Order
2014
  • 12-85-S12/04/14, Troy Stafford and Patrick Williams, Final Cease and Desist Order, Assessing Civil Penalties
  • 14-475-C, 09/10/14, Dartmouth Capital, LLC, Consent Order Assessing a Civil Penalty
  • 14-714-S, 08/15/14, J.P. Morgan Securities, LLC, Administrative Consent Order
  • 14-1012-S, 06/20/14, Jessie Dave Holmes, Stipulated Agreement and Order
  • 11-364-S, 06/17/14, Joseph Troiano, Final Cease and Desist Order, Imposing a Civil Penalty
  • 14-143-C, 6/17/14, HomeState Mortgage Company, LLC, John Carman and Lisa Falon, Imposing a Civil Penalty and Consent to Order
  • 5000-10-013-C, 06/17/14, Shelton Barber, Final Order to Cease and Desist, Assessing a Civil Penalty
  • 11-737-S, 05/08/14, Lorrie Saunders-Irwin, Order to Cease and Desist, Assessing a Civil Penalty and Consent to Order
  • 14-100-S, 04/17/14, Abbey Capital Multi Manager Fund, Ltd., Order Imposing a Civil Penalty and Consent to Order
  • 11-724-S, 3/24/14, Sage Financial LLC; Matthew A McLaren, dba Sage Financial, a sole proprietorship; Matthew A McLaren; and James E. Livingston, Cease and Desist, Imposing Permanent Bar, Denying use of Exemptions, Assessing a Civil Penalty and Consent to Order
  • 14-149-C, 3/14/14, Bill.com, Inc. dba BDC Payment Services, Inc., Order to Cease and Desist, Assessing Civil Penalties and Consent to Order
  • 14-1168-C, 2/26/14, Ocwen Financial Corporation and Ocwen Loan Services, Inc., 3300-F-07/13 Settlement Agreement and Consent Order
  • 12-029-S, 2/19/14, VirtualMetrix, Inc., Order Imposing a Civil Penalty and Consent to Order
  • 13-1095-S, 2/03/2014, Fortune Oil & Gas, LLC, Russell L. Vera and R. Gerald Bailey, Final Cease and Desist Order Assessing Civil Penalties
  • 5000-10-014-C, 1/27/2014, First Rate Financial, LLC, Order to Cease and Desist, Assessing Civil Penalties and Consent to Order
  • 13-580-C, 1/24/2014, Donald D. Dyer, Order Imposing Civil Penalty and Consent to Order
2013
  • 13-2136-C, 12/31/2013, McKinley Mortgage Company, LLC, Charles Preston, and Tobias Preston; Order to Surrender Mortgage License and Mortgage Loan Originator License, Pay Late Filing Fees, Imposing a Civil Penalty and Consent to Order
  • 13-1246-S, 12/11/2013, James Thomas Gonski individually and dba Valley Financial Services, Order to Cease and Desist, Assessing Civil Penalties, and Consent to Order
  • 13-2031-S, 12/10/2013, Daniel Digiacomo, Final Cease and Desist Order
  • 13-764-S, 12/4/2013, Fractal Medical Solutions, Inc. and Fractal OnCall Solutions, LLC, Order to Cease and Desist, and Consent to Order
  • 13-1986-C, 11/18/2013, D Trade, Inc and Dinar Trade, Inc., Order to Cease and Desist, Assessing a Civil Penalty, and Consent to Order
  • 13-1399-S, 10/31/2013, RBC Capital Markets, LLC, Administrative Consent Order
  • 13-1828-S, 10/14/2013, UBS Financial Services, Inc., Cease and Desist Order, Assessing Civil Penalties and Consent to Order
  • 11-805-4-B,10/01/13, Geneva Roth Ventures, Inc., Geneva Roth Capital, Inc., Oakmont Funding, Inc., Mark E. Curry, LoanPointUSA and LoanPointUSA.com, Dismissal of Mark E. Curry
  • 11-805-3-B, 9/30/2013, Geneva Roth Ventures, Inc., Geneva Roth Capital, Inc., Oakmont Funding, Inc., Mark E. Curry, LoanPoint USA and LoanPointUSA.com, Consent Order
  • 11-708-S, 9/30/2013, Arbor Capital Management, Inc.,Robert D. Sheldon, and Matthew B. Kolesky, Order to Cease and Desist, Assessing Civil Penalty and Consent To Order
  • 12-678-S, 8/1/2013, Challenger Mining, LLC, Order to Cease and Desist, Assessing Civil Penalty, and Consent to Order
  • Settlement Agreement - Amerisave Mortgage Corporation, 7/31/13, Amerisave Mortgage Corporation
  • 12-0947-S, 6/7/2013, Michael Claiborne, Order Imposing Permanent Bar, Denying Use of Exemptions and Consent to Order
  • 12-1146-S, 6/6/2013, Qanirtuuq, Inc., Order to Cease and Desist and Consent to Order
  • 12-1590-S, 5/7/2013, Alaska Gold Venture, LLC, Order to Cease and Desist, Assessing Civil Penalties and Consent to Order
  • 11-860-S, 4/17/13, Morgan Keegan & Company, Inc., Morgan Asset Management, Inc., Administrative Consent Order
  • 12-0915-S, 3/15/2013, Sea Lion Corporation, Order Imposing Prefiling Requirement, Assessing a Civil Penalty and Investigation Costs, and Consent to Order
  • 12-0815-S, 2/19/2013, Touchstone Funds Group Trust, Order Imposing a Civil Penalty and Consent To Order
  • 12-899-S, 1/29/2013, Uvest Financial Services Group, Inc., Cease and Desist Order, Assessing Civil Penalties and Consent to Entry of Order
2012
  • 12-900-S, 12/17/2012, ProEquities, Inc., Cease and Desist Order, Assessing Civil Penalties and Consent To Order
  • 12-898-S, 11/21/2012, Bankers Life and Casualty Company and BLC Financial Services, Inc., Cease and Desist Order, Assessing Civil Penalty and Consent To Order
  • 12-827-S, 11/13/2012, Gana-A ‘Yoo, Limited, Order to Cease and Desist, Imposing Prefiling Requirement Assessing Investigation Costs and Consent To Order
  • 11-250-S, 09/13/2012, ICON Funds, Inc., Order Assessing Civil Penalty and Consent To Order
  • 11-736-S, 09/06/2012, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc., Administrative Consent Order
  • 11-838-S, 08/20/2012, Doppelganger Productions, LLC, Order Assessing Civil Penalty And Consent To Order
  • 11-1247-S, 05/17/2012, E*TRADE Securities LLC, Administrative Consent Order
  • 14-046-C, 04/04/2012, Ally Financial Inc. (formerly GMAC, Inc.), and affiliates GMAC Mortgage, LLC dba Ditech, Consent Judgement to Comply with Servicing Standards and Consumer Relief Requirements
  • Settlement Agreement - James B. Nutter & Company, 03-19-2012, James B. Nutter & Company
  • 11-815-S, 1/30/2012, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Administrative Consent Order
2011
  • 10-1035-C, 10/10/2011, CashCall Incorporated, Consent Order
  • 10-05-S, 06/13/2011, The 13th Regional Corporation, Final Order to Cease and Desist and to Prefile Materials
  • 10-08-S, 01/28/2011, Morgan Stanley & Co. Incorporated, Administrative Consent Order
  • 10-14-S, 01/18/2011, Goldman, Sachs & Co., Administrative Consent Order
  • 10-20-S, 01/04/2011, CA Gold, LLC, Consent Order
2010
  • 10-15-S, 12/23/2010, Deutsche Bank Securities, Inc., Administrative Consent Order
  • 10-860-C, 12/20/10,  Nationwide Mortgage Concepts, LLC, Consent Order
  • 10-1084-C, 12/20/10, Thomas Hayes, Consent Order
  • 10-11-S, 12/14/2010, Banc of America Securities, LLC. and Banc of America Investment Services, Inc., Administrative Consent Order
  • 10-10-S, 12/14/2010, UBS Securities, LLC. and UBS Financial Services Inc., Administrative Consent Order
  • 10-16-S, 11/23/2010, RBC Capital Markets Corporation, Administrative Consent Order
  • 10-02-S, 11/09/2010, Citigroup Global Markets, Inc., Consent Order
  • 10-12-S, 11/05/2010, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Administrative Consent Order
  • 10-17-S, 11/04/2010, Wells Fargo Investments, LLC., Administrative Consent Order
  • 10-19-S, 10/28/2010, TD Ameritrade, Inc., Administrative Consent Order
  • 10-18-S, 10/27/2010, Stifel, Nicolaus & Company, Inc., Administrative Consent Order
  • 10-13-S, 10/26/2010, JPMorgan Chase & Co., Administrative Consent Order
  • 10-07-S, 10/19/2010, Wachovia Securities, LLC., and Wachovia Capital Markets, LLC., Administrative Consent Order
  • 10-06-S, 10/07/2010, Baron Investment Fund Trust, Consent Order
  • 10-09-S, 10/04/2010, Credit Suisse Securities (USA) LLC., Administrative Consent Order
  • 10-04-S, 08/11/2010, Prosper Marketplace, Inc., Consent Order
  • 4000-10-001-C, 04/20/2010, PreCash., Consent Order
  • 4000-09-001-C; 4000-09-002-C, 01/05/2010, MJB Francisco Corporation, Consent Order
2009
  • 4000-08-015-C, 08/26/2009, EzForex.com, Consent Order
  • 5000-09-006-C, 08/17/2009, Susan McCready, Consent Order
  • 5000-09-007-C, 08/17/2009, KM Capital Management, Inc., Consent Order
  • 4000-08-017-C, 08/4/2009, Times of Money Ltd., Remit2home, Remit2india, et al., Consent Order
  • 4000-08-003-C; 4000-08-019-C, 07/21/2009, Naya Lazaro DBA Frontier Gifts, Consent Order
  • 4000-09-003-C, 07/21/2009, Amazon Payments Inc., Consent Order
  • 4000-09-002-C, 06/03/2009, Trans-Fast Remittance, LLC DBA New York Bay Remittance, Consent Order
  • 4000-08-001-C, 06/01/2009, Danny Lazaro DBA MoneyLine, Consent Order
  • 4000-09-004-C, 05/28/2009, Lucky Money, Inc., Consent Order
  • 4000-09-001-C, 05/21/2009, Express Padala, Consent Order
  • 5000-09-001-C, 05/20/2009, Residential Acceptance Network, Inc., Consent Order
  • 4000-08-014-C, 04/10/2009, Travelex Currency Services, Inc., Consent Order
  • 4000-09-018-C, 03/02/2009, BPI Express Remittance Corp., Consent Order
  • 4000-08-004-C, 01/23/2009, Crewman Services of Florida, Inc. DBA Crewmen Services of Ketchikan, Consent Order
2008
  • No enforcement actions issued.
2007
  • 07-01-S, 2/23/2007, Robert Burk, Final Order to Cease and Desist and Imposing a Prefiling Requirement
2006
  • 06-09-S, 6/27/2006, The 13th Regional Corporation, Consent Order
  • 06-02-S, 3/9/2006, Index Analysis Pool, LP, Index Analysis Services, George Heffernan, aka George W. Marshall, General Partner and Fund Manager, Final Order to Cease and Desist and for the Payment of a Fine
2005
  • 06-06-S, 11/02/05, Outlook Inc. an Alaska Corporation doing business as Outlook Financial Services and Sheila D. Miller, President, Sheila D. Miller, individually, Consent Agreement
  • 05-05-S, 08/12/05, Pureinvestor.com, Bryan Marsden, PIPS, Inc., PIC Trust Limited, Westoby Works, Team JollyPIPSter, LLC, Gary R. Westoby, Deborah M. Westoby, Torben Ole Jolnaes, Final Order to Cease and Desist
  • 05-02-S, 3/9/05 Chugach Alaska Corporation and Chugach for the Future Committee, Order Approving Withdrawal of Complaints
2004
  • This section is under construction.
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, 08/04/02, Merrill Lynch, Pierce, Fenner, & Smith, Inc., Administrative Consent Order
  • 03-06-S, 10/15/02, Kenai Natives Association, Inc., Consent Agreement
2001
  • 02-04-S, 09/28/01, Nu Life Investment Technology and Ken Fisher, Final Order
  • 02-01-S, 11/6/01, Coastal Resources Corporation, Richard F. O'Connor, its president and CEO, and Rose Conant, its secretary, Final Order
2000
  • 00-06-S, 1/20/00, Christopher Gordon Fike, Consent Agreement
  • 00-08-S, 2/23/00, Bradley David Eisner, Consent Agreement
  • 00-09-S, 2/25/00, Michael Richard MacCaull, Consent Agreement
  • 00-05-S, 3/23/00, Kikiktagruk Inupiat Corporation, Consent Agreement
  • 00-15-S, 5/09/00, Karen R. Hansen, Consent Agreement
  • 00-11-S, 5/31/00, HotYellow98.com, Inc.; Troy Warren, President and CEO; Francis R. Law, Chief Financial Officer, Consent Agreement
  • 00-13-S, 5/21/00, Winthorpe Grant, Inc., First Goreign Holding Corp.; Gill Michael Pasculli, Jr.; Lawrence Joseph Salice, Consent Agreement
  • 00-14-S, 6/5/00, Thomas C. Byrne; Pearse Tone Hedge Fund L.P., Final Order
  • 00-12-S, 6/8/00, Grand Ballot, J. Tony Jones; Dean Westlakes; Tina Harris, Final Order
  • 00-01-S, 9/22/00, New Millennium, Ltc. and Charles A. Dodge; Melvin Lee Cline, Harvest Management Ltd.; Robert Welch; Nolan Welch, Settlement Agreement
1999
  • 99-06-S, 1/29/99, Larry Krasny and L.K. Management Co., Inc., Consent Agreement
  • 99-03-S, 2/5/99, D.H. Blair & Co., Inc., Consent Order
  • 99-07-S, 3/9/99, Frank R. Peterson Sr.; Katherine Belanger; Carl Teuber, Final Order to Cease and Desist and Imposing a Civil Fine
  • 99-12-S, 6/17/99, John E. Crespinel, Consent Agreement
  • 00-03-S, 10/7/99, Doug Fine and Migration LLC, Consent Agreement
  • 99-10-S, 10/11/99, William Forhan and Integrated Marketing Professionals, Inc., Consent Agreement
  • 00-02-S, 12/13/99, Future First Financial Group, Inc.; Randy Stelk, President, Consent Agreement
1998
  • 98-4-S, 2/23/98, Z3 Capital Corporation; Steven Zubkis, Consent Agreement
  • 98-6-S, 3/12/98, Samantha Delay-Wilson, Final Order to Cease and Desist and Imposing Civil Fine
  • 98-9-S, 4/6/98, Citizens Power of Alaska, LLC; The Energy Group, Inc., Consent Agreement
  • 98-7-S, 6/10/98, Raejean S. Bonham; World Plus, Inc., Notice of Opportunity for Hearing Regarding a Civil Fine and a Permanent Cease and Desist Order for Flase Filings with the Administrator of Securities
  • 98-11-S, 6/24/98, Susan E. Wells; Bernadine L. Atchison, Final Order to Cease and Desist, to Void Proxies, and to Impose Prefiling Requirement
  • 98-10-S, 6/26/98, Paul J. Keil, Final Order to Cease and Desist and Imposing a Civil Fine
  • 98-10-S, 9/11/98, Syed Zaidi, Final Order to Cease and Desist and Imposing a Civil Fine
1997
  • 97-2-C, 1/13/97, Davis, James, & Chase-Kraaima, P.C. DBA; Davis, James, & Chase-Kraaima, Inc., Order of Cancellation
  • 97-4-S, 2/5/97, Rick Nelson; Derenty Tabios, Order to Void Certain Proxies and Imposing Civil Fine
  • 97-6-S, 4/8/97, Shilanski and Associates, Inc.; Floyd L. Shilanski, Consent Agreement and Order
  • 97-9-S, 6/24/97, Goldbelt, Inc.; Randy Wanamaker; Robert Martin, Jr., Final Amended Order #97-09S Order to Cease and Desist
  • 98-3-S, 8/12/97, LS International, Inc; Bart Thompson; Charles Lichter, Consent Agreement
1996
  • 96-09-S, 2/21/96, PaineWebber Incorporated, Consent Agreement
  • 95-02-S, 4/17/96, Internet Communications; Rosalind Venable; Eric Kerensky, Internet Communications Anchorage System SMR California Financial Services, Inc.; Charles D. King; Ronald L. Tobin
  • 96-11-S, 7/05/96, Titan Fisheries Corporation; Thomas H. Morgan, Consent Agreement
  • 96-135-S, 7/12/96, Before the Securities Administrator State of Alaska, Consent Order Adopting Definitive Agreement Resolving Dispute Regarding the Lloyd's of London Market
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
  • 94-05-S, 1/31/94, J.W. Bullard & Company Inc., Consent Agreement
  • 95-01-S, 8/30/94, Global Energy Inc.; Rob Mitchell; William R. Schumm; Robo Enterprises, Inc.; David G. Rose, Consent Order
  • 95-03-S, 12/13/94, Stewart Petroleum Company, Consent Agreement
1993
  • 92-7-S, 3/17/93, John G. Eubanks; Alaska Pacific Rim Resources Inc., Amended Final Order to Cease and Desist and Order to Levy Fines
  • 94-1-S, 7-6-93, First Wilshire Securities Management Management, Inc., Agreement and Order
  • 94-3-S, 11-22-93, Prudential Securities Incorporated, Final Consent Order
1992
  • 92-6-S, 4/24/92, Brooks Campbell & Co., Inc; Gregory Kenneth Anderson, Order Imposing Fine and Censures
  • 92-5-S, 7/17/92, Mark Anthony, Findings, Conclucion, Determination and Order
1991
  • 90-7-S, 1/18/91, Affiliated Superior Productions, Inc, Post Hearing Final Order Cease & Desist Order No. 90-7
  • 91-8-S, 3/28/91, Bailey Bishop & Carlisle, Inc, Findings of Fact, Conclusions of Law and Final Order
  • 92-9-S, 11/15/91, First Investors Corp., Agreement
1990
  • 90-4-S, 2/20/90, Televend Northwest, Inc, Final Order to Cease and Desist
  • 90-03-S, 3/28/90, Parker Jameson, Inc, Stipulation and Consent Agreement
  • 90-5-S, 12/20/90, North Atlantic Corporation, Findings of Fact and Conclusions of Law and Order  
1989
  • 88-9-S, 6/12/89, Darnall, Kemna & Co., Inc, Consent Agreement and Amended Order
  • 89-1-S, 7/7/89, Pan Oceanic Investments, Inc, Final Order to Deny and Permanent Order to Cease and Desist with Findings of Fact and Conclusions of Law
  • 90-1-S, 8/14/89, Drexel Burnham Lambert Incorporated, Order #90-1 (Amended)
  • 88-2-S, 11/14/89, Allen R. Sacharow, Final Order to Cease and Desist
1988
  • 84-20-S, 1/7/88, Charles Leon Winkelman, Final Order
  • 88-5-S, 5/10/88, Modern Exploration, Inc.; Mark D. Jones; George K. Montgomery, Sr.; Gary Yost, Final Order to Cease and Desist
  • 89-2-S, 9/30/88, Sealaska Corporation, Findings of Fact and Conclusions of Law and Order
1987
  • 87-10-S, 1/8/87, S.E.A.-Trac, Inc., Final Order to Cease and Desist
  • 87-7-S, 1/30/87, Western International Petroleum Corporation; Kenneth White; Bob Underwood, Permanent Order to Cease and Desist
  • 87-12-S, 3/19/87, J.T. Sales Co., Inc., Final Order to Cease and Desist
  • 87-14-S, 3/24/87, Columbia Diversified, Inc.; Donald Berry; Robert C. Eisenman, Final Order to Cease and Desist
  • 87-15-S, 5/4/87, Divnick International, Inc., Final Order to Cease and Desist
  • 87-19-S, 8/25/87, Nassau Life Insurance Company, Ltd.; Kenneth A. Smith, Final Order to Cease and Desist, Revocation of Exemptions
  • 88-04-S, 10/28/87, William A. Leavitt; Daniel Leavitt; Eli A. Solomon; Maggie Ahmaogak, Final Permanent Order to Void Proxies
  • 88-11-S, 11/25/87, Resources Management of Colorado; Daniel J. Paluck; Jeffrey A. Wilson, Final Order to Cease and Desist
  • 88-12-S, 11/25/87, Silverbow Resources & Chemical Corporation; Raymond J. Whalen, Final Order to Cease and Desist
  • 88-10-S, 12/8/87, Financial Planning Consultants, Inc.; Holley Edwin Phipps, AKA Ed Phipps, Findings of Fact Conclusions of Law Notice of Revocation
1986
  • 86-17-S, 11/14/86, Caucus Distributors, Inc.; Mark Calney; William Leonard Jennings, III; Toni Jennings, Final Order to Cease and Desist
  • 86-5-S, 4/11/86, The Dallas Group, Inc.; Oran R. Schrank; Robert K. Scott, Final Order to Cease and Desist
  • 86-13-S, 4/10/86, Ponderosa Ranches, Permanent Order to Cease and Desist
  • 86-9-S, 3/18/86, Michael McGonigle; Patrick McGonigle; Melanie Rae; Terry Wayne; Oxi Oil Corporation; Oxi Oil 1985-A, Ltd.; Prospect Oil Corporation TWS, Inc., Permanent Order To Cease and Desist
  • 86-10-S, 3/18/86, Bronson Creek/Gorman Prospect; The Whited Corporation; Steven W. Blatter; Margaret S. Richards, Permanent Order to Cease and Desist
  • 86-11-S, 3/18/86, Hale #3 Prospect; L&L Enterprises; Rimrock Production Corporation; Larry Passavanti; Gary Rolf, Permanent Order to Cease and Desist
  • 86-12-S, 3/18/86, Janet S. Arnold; Charles J. Fitzgerald; Carl Harden; William H. Harrington; R. C. Mangrum; Harry Murdock; Robert L. Murdock; Mark J. Schafer; Terry Wayne; R. L. Yates; Energy Research Group; International Telemarketing Corp.; Northeast Exploration, Inc.; Rimrock Production Corporation; Rimrock Production Investment Corporation; Templeton Drilling Program #1; U.S.A. Schneider Nos. 3 & 4, Permanent Order to Cease and Desist
1985
  • 86-3-S, 11/12/85, John I. Christ, Sr., Final Order to Cease and Desist
  • 85-15-S, 11/7/85, Jerry Ward, Final Permanent Order to Cease and Desist, Order Voiding Proxies, and Order to Prefile Proxies and Proxy Statements
1984
  • 85-8-S, 12/6/84, Timber Crest Limited Offering 1984-1; Michael K. Kelly; Mark Webb, Findings of Fact, Conclusions of Law and Order
  • 85-6-S, 10/30/84, Apache Group, Inc. (AGI); Continental Coal Corporation (CCC); Gold Star Mining Corporation (GSMC); Austin Phillips, Broker, Permanent Order to Cease and Desist Order
  • 85-1-S, 9/6/84, First American Bank, Ltd.; Bankers Mutual Indemnity Co.; Gary J. Peterson; J.F. (Jim) Straw, Final Order to Cease and Desist
  • 85-4-S, 9/5/84, Agricultural Venture XII; A Hawaii Limited Partnership; Agriculture Venture XIV; A Hawaii Limited Partnership; Beatrice K. B. Chu; Edwin D. M. Chu; Edwin Chu, Inc.; A Hawaii Corporation; Richard Lee, Final Order to Cease and Desist
  • 85-2-S, 9/5/84, Petro-Tech; Energy Research Group, Corp.; Dee Rooney; Jerry Braverman; Braverman and Fagan Accountancy Corp., Final Order to Cease and Desist
  • 84-19-S, 11/5/84, Jim Desisto; Duchesne Green River Partnership; International Development Services; Worldwide Exploration, Inc., Final Order to Cease and Desist
  • 84-6-S, 7/10/84, Tom Ogden, Permanent Order to Cease and Desist
  • 84-6-S, 7/3/84, Elmer Pratt; Richard C. Landerman; Zell Mills; James D. Landerman; Parley Giles; Union Equities Corp.; Union Cinema Ltd; Certainty and Associates; and Trans-Coastal Equipment Leasing Ltd., Permanent Order to Cease and Desist
  • 84-17-S, 6/1/84, Heritage Market Research Corporation; Larry Cole; Richard Mason; and Willie C. Smith, Permanent Order to Cease and Desist
  • 84-15-S, 5/14/84, Alaska Oil Leases; Lynn Alexander; and National Land Services Inc., Final Order to Cease and Desist
  • 84-16-S, 5/7/84, United Petrosearch Ltd. and Patrick McGinnis, Final Order to Cease and Desist
  • 84-12-S, 4/2/84, Chapin & Associates Inc.; Scott Chapin; and Karl Criddle, Permanent Order to Cease & Desist
  • 84-5-S, 1/16/84, Universal Exploration Inc.; Jonathan Jordan; David M. Leventhal; K. Robert Martin; and Petro Star Oil Corporation, Final Order to Cease and Desist
1983
  • 84-2-S, 12/20/83, Alaskan Oil Development Corporation; Federal Property Record, Inc.; David Swain; and Margie Welch, Findings of Fact, Conclusions of Law and Order
  • 83-6-S, 7/25/83, Arthur J. Fisher; Arthur J. Fisher Co.; International Southwest, Inc.; Carol V. Leonard; P.H.O.B. Club; Med-I-Dent Labs, Inc.; and Magico, Determination and Final Order
1982
  • 83-1-S, 9/14/82, Monarch Oil and Gas Corporation; Monarch Oil and Gas, Ltd.; One Allen Center; John Allen; Merrill Berg; Duane King; Edward Lewis; Greg Reinker; Joan Slazik; and Robert Stein, Permanent Order to Cease and Desist
  • 83-09-S, 7/9/82, Certain Proxy Materials Distributed to Shareholders of Koniag, Inc., Finding of Fact, Conclusions of Law and Order
  • 82-12-S, 5/24/82, Structured Shelters, Inc.; Robert Iles; Projections UN-LTD; Floyd Shilanski; and Gene Clinton, Findings of Fact Conclusions of Law and Final Order
  • 82-13-S, 3/24/82, FoodSource, Inc.; David A. Dixon; FoodSource Sales Corporation; Eileen Wilson; Heidei Pearson; and Elmer Pratt, Permanent Order to Cease and Desist
  • 82-18-S, 2/1/82, Committee to Save the 13th c/o Trethewey, Brink, Rossi, Todd, and Clayton; 13th Regional Corporation; Frank D. Pierce, Jr.; Raymond E. Combs; Michael L. Stepetin; Barbara D'Cafango; Billy B. Johnson; and Thelma Marie Roberts; Permanent Order Relating to Filing of Proxy Materials
1981
  • 81-11-S, 11/6/81, American Gold and Diamond Corporation A Utah Corporation; John Crooks; Frank L. Davis; Dennis Frank, Gem-Mart Consultants, Inc.; and Independent Jewelry Appraisers, Findings of Fact, Conclusions of Law and Order
  • 81-12-S, 3/19/81, David G. Bolz and David G. Bolz and Associates, Inc., Permanent Order to Cease and Desist
  • 81-9-S, 2/10/81, Bonneville Energy; Bonneville Fuels, Inc.; Differential Drilling, Inc.; George Jaquith; Charles L. Murray; Murray Petroleum, Inc.; and Michael D. Russell, Final Order of Exemption Revocation
  • 81-6-S, 1/19/81, Curtis Zeek; Leek Oil Corporations; and Jay W. Henderson d/b/a Chemco Engineering, Inc., Permanent Order to Cease and Desist
1980
  • 81-1-S, 9/29/80, The International Mining Exchange, Inc.; Jay L. Merck; Trenton H. Parker; Eric Swartz; James T. Wilson, Final Order to Cease and Desist
  • 80-9-S, 8/6/80, Eugene Robinson and Robinson Enterprises, Final Order to Cease and Desist
  • 80-10-S, 6/2/80, California Trading Group and Michael A. Galagano, Permanent Order to Cease and Desist
  • 80-13-S, 4/28/16, Alaska Gold Mining and Oil & Gas Leasing Service, Inc; Ivan W. Russ; Abner G. Russell; Gerald T. Russell also known as Jerry Russel; and Penny Thompson, Final Order to Cease and Desist
  • 80-8-S, 2/19/80, Kenneth E. Smith, Permanent Order to Cease and Desist
  • 79-16-S, 1/4/80, Uniserv, Inc.; Navcor, Inc.; Divisions of Accusonics; Jack Kaye; and all Directors, Officers, Agents, and Employees of Cherry Hill, New Jersey, Permanent Order
1979
  • 80-1-S, 9/18/79, Peter M. Berrie and the Alaska Chaco Company - No. One, A Limited Partnership, Permanent Order to Cease and Desist
  • 79-14-S, 7/13/79, American Currency Exchange, Inc; Edwin Bederson; Currency Specialists, Inc.; Kenneth M. Zenn; Pacific Currency Exchange, Inc.; Paul Symons; and William B. Williams; Permanent Order to Cease and Desist
1978
  • 78-13-S, 10/9/78, Dennis L. Waldock, Final Order
  • 78-14-S, 6/14/78, Royal American Chinchilla, Inc.; Universal Acceptance, Inc.; Donald W. Bishop; Kenneth R. Larsen; and Carl Fischer, Final Order to Cease and Desist
  • 78-11-S, 3/3/78, Gregory Lynn Russel, Order of Revocation of Registration
  • 78-7-S, 3/2/78, Golden Record Library and Al Lefkowitz, Final Order to Cease and Desist
1977
  • 77-4-S, 6/27/77, Financial Marketing Systems, Inc.; William J. Adams; and R.I. Sorensen, Permanent Cease and Desist Order
1976
  • 76-5-S, 2/24/76, Edward Brown Securities, Inc., Order of Denial of Registration as a Broker-Dealer
1975
  •  
1974
  • 74-20-S, 5-24-74, Spa Athletics Club, Inc.; Palm Springs & European Health Spa, Inc.; Herbert Calhoun; Michael Bianco, Permanent Cease and Desist Order
1973
  • 73-5-S, 5/22/73, Alaska Resources Fund, Permanent Order Denying Registration of Securities
1971
  • 71-3-S, 10/13/71, Claude Armstrong and Development Corporation of America (DEVCO), Order to Cease and Desist