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. 2024 24-18-S, 10/07/24, Plutus Financial Holdings Inc; Plutus Financial Inc; Plutus Lending LLC; ABRA Boost LLC; and William "Bill" Barhydt, Consent Order 24-108-S, 10/02/24, Jason Evans, Temporary Order Effective immediately, with Notice of Hearing Rights and Notice of Final Cease and Desist 24-77-C, 09/17/24, Plutus Financial Inc; Abra Trading LLC NMLS License #2387330; Plutus Financial Holdings Inc, Plutus Lending LLC; and William “Bill” Barhydt, Multistate Settlement Consent Order 21-73-C, 08/28/24, Alaska Fast Cash Anchorage, LLC AK-C-2034120 NMLS#2034120, Final Order Imposing Civil Penalties and Consent to Order and Alaska Fast Cash LLC, Alaska Fast Cash Fairbanks, LLC, Colem, Inc. Memorandum of Understanding 24-01-B, 07/19/24, Juno Payday Loans LLC NMLS License #2016999 AK Filing #10000957, Final Order Denying License Renewal 24-70-S, 06/21/24, Yvette Jack DeBlois, Order Voiding Proxies and Consent to Order 18-91-C, 06/07/24, David L. Cornwall, Patricia A. Cornwall, and Alaska Home Solutions, Inc., Amended Notice of Intent to Issue Order to Cease and Desist, Impose Civil Penalties, and Notice of Opportunity to Request a Hearing 22-72-2-S, 04/08/24, Celsius Network Inc.; Celsius Network Limited; Celsius US Holding LLC; Celsius Network LLC; Celsius Networks Lending LLC; and Celsius Lending LLC, Consent Order 22-129-C, 02/12/24, Raven Mortgage, LLC NMLS #1783683, Erich Heinrich NMLS #1024760, Brittany Quesnell NMLS #820704, Order Imposing Civil Penalties and Consent to Order 23-111-S, 02/24/24, Raymond James & Associates, Inc. and Raymond James Financial Services Inc., Consent Order 23-119-C, 02/16/24, Vision Mortgage, Inc. NMLS ID 1695479, Order to Pay Late Filing Fees, Imposing Civil Penalties and Consent to Order 24-0010-C, 01/29/24, Tiffany Ann May, NMLS# 1803262, Revocation Order 23-120-S, 01/04/24, TradeStation Crypto, Inc., Consent Order 2023 22-133-C, 12/22/23, Bankrate, LLC, NMLS #1427381, Order Assessing Civil Penalties and Consent to Order 23-107-S, 12/21/23, True Bullion, LLC DBA Gold Silver International Exchange, DBA GSI Exchange, and Anthony Allen Anderson, Consent Order 23-14-C, 10/16/23, ACI Worldwide Corp. ACI Payments, Inc. NMLS #936777, Multi-State Settlement Agreement and Consent Order 22-132-C, 09/01/23, Lendgo, Inc., NMLS #1693075, Order Imposing Civil Penalties and Consent to Order 22-87-S, 08/17/23, Tycoon Trading, LLC; Northern Financial Services, LLC; Daily Bread Fund, LLC; Garrett A. Elder; and Sarah E. Elder, Fourth Interim Temporary Cease and Desist Order, Assessing Civil Penalties, Ordering Restitution, & Effective Immediately 22-122-C, 07/28/23, Mortgage Brokers of Alaska Corporation NMLS #1708957, Order Imposing Civil Penalties and Consent to Order 23-86-C, 07/21/23, Prime Trust, LLC, NMLS# 2240901, Cease and Desist and Revocation Order 23-085-C, 07/21/23, CoinX, Inc, NMLS# 1091184, Notice of Intent to Issue Order to Cease and Desist and Suspension 23-41-S, 07/10/23, Robinhood Financial LLC, Administrative Consent Order 12-898-2-S, 05/23/23, Banker's -Life and Casualty Co. and BLC Financial Services, Inc., Amended Cease and Desist Order Assessing Civil Penalties and Consent to Order 23-12-S, 03/21/23, Nexo Capital, Inc., Consent Order 21-114-S, 02/28/23, Azachorok Incorporated, Order to Cease and Desist, Imposing Civil Penalties and Consent to Order 20-172-C, 01/30/23, TouchPay Holdings, LLC AK-MT-013525 NMLS #967396, Order Assessing Civil Penalties and Consent to Order 2022 21-117-C, 12/23/22, Kronos Saashr, Inc. AK-MT-014537 NMLS #1698726, Consent Order 22-110-C, 11/28/22, West Realm Shires Services Inc. dba FTX US NMLS ID 1957771, Cease and Desist and Suspension Order 22-109-C, 11/28/22, BlockFi Trading LLC NMLS ID 1873137, Cease and Desist and Suspension Order 22-87-S, 11/10/22, Tycoon Trading, LLC; and Garrett A. Elder, Third Interim Temporary Cease and Desist Order, Assessing Civil Penalties, Ordering Restitution, & Effective Immediately 22-15-2-S, 11/07/22, Yak-Tat Kwaan, Inc., Amended Temporary Order to Cease and Desist, Assessing Civil Penalties, With Notice of Hearing Rights and Notice of Final Cease and Desist Order 21-063-C, 10/19/22, Finance of America Mortgage LLC NMLS #1071, Order Imposing Civil Penalties and Consent to Order 22-71-C, 10/05/22, Nadine Estelle Winters NMLS #AK1486674, Order Imposing Civil Penalties and Consent to Order 21-64-C, 10/05/22, Fairbanks Neighborhood Housing Services NMLS #266203, Order Imposing Civil Penalties and Consent to Order 19-133-4-S, 09/16/22, 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 Athena Hunter 22-70-S, 09/03/22, Voyager Digital LLC, Order to Cease and Desist, Notice of Intent to Impose Civil Penalties, Notice of Intent to Charge Costs, and Notice of Opportunity to Request a Hearing 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 19-18-S, 12/20/19, Anita Andrews; and Peter Andrews, Temporary Cease and Desist Order Effective Immediately, Assessing Civil Penalties, with Notice of Hearing Rights and Notice of Final Cease and Desist Order 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 17-8-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-s, 12/04/14, 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