Notices and Orders

In the matter of Lake Greenwood Developers, LLC, William E. Gilbert, and Jan Bradshaw – Consent Order as to William E. Gilbert (5/17/13).

In the matter of Richard L. Routh and Invictus University – Consent Order (5/17/13).

In the matter of Gary Bish, Robert A. Pikaart, John Mitchell, and Grand Strand Enterprises, Inc. – Consent Order as to Respondent Robert A. Pikaart (5/2/13).

In the matter of Jonathan W. Brooks, Tracy Brooks, J. Brooks Financial, Inc., Brooks Real Estate Holdings, LLC and Compass Academy. LLC – Order Appointing Receiver (4/29/13).

In the matter of Jonathan W. Brooks, Tracy Brooks, J. Brooks Financial, Inc., Brooks Real Estate Holdings, LLC and Compass Academy. LLC – Order Authorizing The Appointment of a Receiver (4/22/13).

In the matter of Tracy L. Neily (a/k/a Tracy Atwell) and Professional Planning of Easley, LLC – Consent Order (4/19/13).

In the matter of John M. McIntyre and Silver Oak Land Management, LLC – Order to Cease and Desist (4/19/13).

In the matter of Joey R. Preston – Consent Order (4/15/13).

In the matter of Jonathan W. Brooks, Tracy Brooks, J. Brooks Financial, Inc., Brooks Real Estate Holdings, LLC and Compass Academy, LLC – Amended Complaint (4/15/13).

In the matter of Compass Energy Holdings, Inc. and Peter Iodice – Order to Cease and Desist (2/25/13).

In the matter of George Marshall Heffernan  – Order to Cease and Desist (2/25/13).

In the matter of Lake Greenwood Developers, LLC, William E. Gilbert and Jan Bradshaw – Order to Cease and Desist (2/21/13).

In the matter of Jonathan W. Brooks, J. Brooks Financial, Inc., Brooks Real Estate Holdings, LLC and Compass Academy, LLC – Temporary Restraining Order Extension (3/25/13).

In the matter of Richard L. Routh and Invictus University – Order to Cease and Desist (3/22/13)

In the matter of Jonathan W. Brooks, J. Brooks Financial, Inc., Brooks Real Estate Holdings, LLC, and Compass Academy, LLC – Temporary Restraining Order Extension (3/15/13).

In the matter of Susan Lockwood – Notice Of Intent to Seek the Revocation of Investment Adviser Representative and Broker-Dealer Registrations (2/21/13).

In the matter of Jonathan W. Brooks, J. Brooks Financial, Inc., Brooks Real Estate Holdings, LLC, and Compass Academy, LLC –Complaint (3/5/13)

In the matter of Jonathan W. Brooks, J. Brooks Financial, Inc., Brooks Real Estate Holdings, LLC, and Compass Academy, LLC –Temporary Restraining Order (3/5/13).

In the matter of Jonathan W. Brooks, J. Brooks Financial, Inc.  –  Summary Suspension of Investment Adviser, Investment Adviser Representative and Broker-Dealer Agent Registrations (2/25/13)

In the matter of Jonathan W. Brooks, J. Brooks Financial, Inc – Notice of Intent to Seek Revocation of Investment Adviser, Investment Adviser Representative and Broker-Dealer Agent Registrations (2/25/13)

In the matter of EPS Advisors and David C. Dameron – Notice of Intent to Revoke Broker-Dealer Agent Registration, and Deny Investment Adviser Application (2/14/13).

In the Matter of Curb Appeal Properties, Inc. and Richard Van Blarcom – Cease and Desist Order (2/14/13)

In the Matter of East Coast Investments and Jonathan D. Patton – Consent Order (1/8/13).

 

 

View past Notices and Orders.

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