2018 Notices and Orders

In the matter of James “Chris” Alexander – Order to Cease and Desist (1/22/18)

In the matter of G2 Asset Management, LLC and Gustavo Guzman – Order to Cease and Desist (1/22/18)

In the matter of Melvin Leonard Wimmer, Jr. and Cornerstone Capital of Greenwood, LLC – Consent Order (2/15/18)

In the matter of Martin R. Hunter, National Institute for Inventors – Order to Cease and Desist (2/28/18)

In the matter of Swiss Gold Global, Inc. and Genesis Mining, Ltd. – Order to Cease and Desist (3/9/18)

In the matter of First Merchant Network, and Edward Morgan – Order to Cease and Desist (3/16/18)

In the matter of Ulundria Horsey Byrd – Order to Cease and Desist (3/28/18)

In the matter of Sandlapper Securities, LLC – Order to Suspend the Broker-Dealer Registration (5/2/18)

In the matter of Blackbox Pulse, LLC and Thomas L. Lanzana (a/k/a Thomas L. Lanza) – Order to Cease and Desist (5/7/18)

In the matter of Jeffery Alan Rosen (a/k/a Jeff Rosen), Robert L. Cashman (a/k/a Bob Cashman), Leland Energy, Inc., PowerOne Corporation, Community Merchant Solutions, Hallmark Venture Group, and Service Team, Inc. – Order to Cease and Desist (5/7/18)

In the matter of Elliot Orlando Davis (a/k/a Elliot Davis, a/k/a Elliott Davis, d/b/a Hush, Inc., d/b/a Hush Entertainment, Inc., d/b/a Heavyweight Entertainment, Inc.) – Order to Cease and Desist (5/7/18)

In the matter of Cunningham Energy, LLC, James Lockhart, Kevin Thibeau, Jan Peter Bolton, Scott Johnson, and Douglas Hardwick – Order to Cease and Desist (5/9/18)

In the matter of Sandlapper Securities, LLC, – Order to Reinstate the Broker-Dealer Registration (5/16/18) 

In the matter of ShipChain, Inc. (d/b/a/ ShipChain.io) – Order to Cease and Desist (5/21/18)

In the matter of First Nationale Solutions, LLC and Perry J. Santillo – Order to Cease and Desist (5/24/18)

In the matter of Nicholas Joseph Lopez, Jr. (d/b/a NC Capital Investments, LLC, d/b/a LowCountry Apps, LLC) – Order to Cease and Desist (5/25/18) 

In the matter of Windsor Street Capital, LP – Order to Revoke Broker-Dealer Registration (6/6/18)

In the matter of Ameriprise Financial Services, Inc. – Consent Order (06/28/18) 

In the matter of Jeffery Alan Rosen (a/k/a Jeff Rosen), Robert L. Cashman (a/k/a Bob Cashman), Leland Energy, Inc., PowerOne Corporation, Community Merchant Solutions, Hallmark Venture Group, and Service Team, Inc. – Consent Order as to Jeffery Alan Rosen (a/k/a Jeff Rosen) (7/9/18)

In the matter of Hightower Financial Partners, LLC, IARD# 172962 and Christopher Taylor, CRD# 3251069 – Administrative Order Revocation of Investment Adviser and Investment Adviser Representative Registrations (7/9/18)

In the matter of Daniel R. Holtzman, Kadee, LLC and Crossroads Investments, LLC – Order to Cease and Desist (7/9/18)

In the matter of Nicole M. Soriano (a/k/a Marie Soriano, d/b/a Looking for Local, LLC, d/b/a Looking for Local Gifts & More, LLC) – Administrative Order to Cease and Desist (7/9/18)

In the matter of Jeffery Alan Rosen (a/k/a Jeff Rosen), Robert L. Cashman (a/k/a Bob Cashman), Leland Energy, Inc., PowerOne Corporation, Community Merchant Solutions, Hallmark Venture Group, and Service Team, Inc., – Consent Order as to PowerOne Corporation (7/16/18)

In the matter of Swiss Gold Global, Inc. and Genesis Mining, Ltd., Order dismissing respondent Genesis Mining, Ltd. from Administrative Order to Cease and Desist (7/26/18)

In the matter of ShipChain, Inc. (d/b/a ShipChain.io) – Order to Vacate Administrative Order to Cease and Desist (7/26/18)

In the matter of Jeffery Alan Rosen (a/k/a Jeff Rosen), Robert L. Cashman (a/k/a Bob Cashman), Leland Energy, Inc., PowerOne Corporation, Community Merchant Solutions, Hallmark Venture Group, and Service Team, Inc., – Consent Order as to Robert L. Cashman (a/k/a Bob Cashman), Hallmark Venture Group and Service Team, Inc. (7/27/18)

In the matter of Cunningham Energy LLC, James Lockhart, Kevin Thibeau, Jan Peter Bolton, Scott Johnson, and Douglas Hardwick – Consent Order as to Respondent Jan Peter Bolton (8/10/18)

In the matter of Cunningham Energy LLC, James Lockhart, Kevin Thibeau, Jan Peter Bolton, Scott Johnson, and Douglas Hardwick, – Consent Order as to Respondent Kevin Thibeau (8/10/18)

In the matter of Cunningham Energy LLC, James Lockhart, Kevin Thibeau, Jan Peter Bolton, Scott Johnson and Douglas Hardwick – Consent Order as to Respondent Scott Johnson (8/10/18)

In the matter of Glenn A. Zingarino -Order to Cease and Desist (8/22/18)

In the matter of Ramesh Kris Nathan (a/k/a Kris Nathan) and Relativity Research Fund, Inc., – Order to Cease and Desist (8/22/18)

In the matter of Kelly Jones (d/b/a Career Development Services International, LLC), – Order to Cease and Desist (8/22/18)

In the matter of Michael A. Dozier – Order to Cease and Desist (8/27/18)

In the matter of Matthew J. Jones – Order to Cease and Desist (8/27/18)

In the matter of Hightower Financial Partners, LLC, IARD# 172962, and Christopher Taylor, CRD# 3251069 – Consent Order (8/27/18)

In the matter of J.J.B. Hilliard, W.L. Lyons, LLC – Consent Order (8/30/18)

In the matter of George Hopkins Wood, Jr., – Consent Order (8/30/18)

In the matter of Richard Eugene Chelten – Consent Order (8/30/18)

In the matter of Nicholas Joseph Lopez, Jr. (d/b/a NC Capital Investments, LLC, d/b/a LowCountry Apps, LLC) – Consent Order (9/10/18)

In the matter of Michael Lessard, CRD# 5968857- Consent Order (9/12/18)

In the matter of Financial West Group, Inc., CRD No. 16668 – Order for the Suspension of Broker-Dealer Registration (9/19/18)

In the matter of John N. Cucinella and Mackrow Asset Management Group – Order to Cease and Desist (9/21/18)

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