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Administrative and Criminal Proceedings 2006 All Archives

Howard F. Bascom d/b/a Bascom Capital and Howard F. Bascom as an individual : Summary Order Howard F. Bascom d/b/a Bascom Capital and Howard F. Bascom as an individual : Summary Order
Intermountain Marketing Associates, LLC: Order of Sanctions Intermountain Marketing Associates, LLC: Order of Sanctions
Howard F. Bascom d/b/a Bascom Capital and Howard F. Bascom as an individual : Summary Order of Susp Howard F. Bascom d/b/a Bascom Capital and Howard F. Bascom as an individual : Summary Order of Susp
Rodney A. Russell: Cease and Desist Order Rodney A. Russell: Cease and Desist Order
Default Order: Quadra Pay Land, LLC Default Order: Quadra Pay Land, LLC
Thomas R. DeBerry: Stipulation for Consent Order Thomas R. DeBerry: Stipulation for Consent Order
Mark W. Mahaffie - Financial Designs Wealth Management: Consent Order Mark W. Mahaffie - Financial Designs Wealth Management: Consent Order
John R. Hanahan Yukon Capital Management, Inc: Consent Order John R. Hanahan Yukon Capital Management, Inc: Consent Order
Quadra Pay Land, LLC: Cease and Desist Order and Notice of Intent to Invoke Administrative Sanction Quadra Pay Land, LLC: Cease and Desist Order and Notice of Intent to Invoke Administrative Sanction
Abul Kasem Mohammad Mahbubullah: Notice of Intent to Invoke Administrative Sanctions Abul Kasem Mohammad Mahbubullah: Notice of Intent to Invoke Administrative Sanctions
Mario B. Dimartino d/b/a Patriot Oil & Gas, LLC.: Cease and Desist Order Mario B. Dimartino d/b/a Patriot Oil & Gas, LLC.: Cease and Desist Order
AFG Capital Management, Inc. Summary Order of Suspension and Cease and Desist Order  DATE:  Septemb AFG Capital Management, Inc. Summary Order of Suspension and Cease and Desist Order DATE: Septemb
Scott Brian Kaye: Sentenced for Securities Fraud Scott Brian Kaye: Sentenced for Securities Fraud
Rodney A. Russell DBA Idealife Health Centers Inc. Rodney A. Russell DBA Idealife Health Centers Inc.
Leonard S. Jackson, Jr./Asset Allocation Concepts, L.L.C: Memorandum of Understanding Leonard S. Jackson, Jr./Asset Allocation Concepts, L.L.C: Memorandum of Understanding
Wachovia Capital Markets: Consent Order Wachovia Capital Markets: Consent Order
Waddell & Reed: Consent Order Waddell & Reed: Consent Order
Scott Brian Kaye: Guilty of Securities Fraud Scott Brian Kaye: Guilty of Securities Fraud
James A Hall: Consent Order/Censure James A Hall: Consent Order/Censure
Fareri Financial Services, Inc.:Order to Deny Registration as a Broker-Dealer Fareri Financial Services, Inc.:Order to Deny Registration as a Broker-Dealer
Fareri Financial Services, Inc.: Notice of Intent to Deny Registration as a Broker-Dealer Fareri Financial Services, Inc.: Notice of Intent to Deny Registration as a Broker-Dealer
Jeffrey D. Lopez: Order of Sanctions Jeffrey D. Lopez: Order of Sanctions
CSC Outlet Store & Francisco Figueroa, Jr.: Cease & Desist Order CSC Outlet Store & Francisco Figueroa, Jr.: Cease & Desist Order
NationsGas, David Britt Mangum and E. Jackson Burke: Consent Order NationsGas, David Britt Mangum and E. Jackson Burke: Consent Order
Caobo (Word) Company and Paul H. Willms: Cease and Desist Order Caobo (Word) Company and Paul H. Willms: Cease and Desist Order
Leslie Martin Arnold Leslie Martin Arnold
Jeffrey D. Lopez: Serves Prison Sentence for Securities Convictions Jeffrey D. Lopez: Serves Prison Sentence for Securities Convictions
Franz E. Bader: Memorandum of Understanding Franz E. Bader: Memorandum of Understanding
Brokerage Firm Edward Jones: Consent Order Brokerage Firm Edward Jones: Consent Order
Gerald W. Hartman, Jr: Emergency Cease & Desist Order Gerald W. Hartman, Jr: Emergency Cease & Desist Order
Monique Conrad a/k/a Monique L. Jenkins: Emergency Cease and Desist Order Monique Conrad a/k/a Monique L. Jenkins: Emergency Cease and Desist Order
George A. Crawford: Final Order George A. Crawford: Final Order
Jeffrey D. Lopez: Sentenced to 75 months for Securities Fraud Jeffrey D. Lopez: Sentenced to 75 months for Securities Fraud