Notices and Orders

On this page, you can browse Notices and Orders that the Securities Division has made public. If you would like to be contacted directly whenever a new Notice or Order is made public, please fill out Investor Contact Form to join our mailing list.

2014

In the matter of MYSAFEPAGE, Incorporated, and Kevin V. Robinson – Order to Cease and Desist (1/23/14).

In the matter of Stephen D. Lacy and The Lincoln Funds LP – Order to Cease and Desist (1/31/14).

In the matter of David Zebny, Z Restaurant Group LLC, and Café Epicerie Management Company, LLC d/b/a SGBD Restaurants, LLC – Order to Cease and Desist (3/10/14).

In the matter of Michael McCormack and Southern Star Media Group, LLC – Order to Cease and Desist (3/11/14).

In the matter of Claude D. McDougal and US Financial Alliance Consultants, LLC – Order to Cease and Desist (3/11/14).

In the matter of Robert Charles Couch, Oil 2 Holdings, Incorporated, and Couch Financial Serices, Incorporated – Order to Cease and Desist (3/10/14).

In the matter of Walter Wayne Brown and Twin Bridge Holdings, LLC – Order to Cease and Desist (3/20/14).

In the matter of Earl Hunter, III – Order to Cease and Desist (3/27/14).

In the matter of 7 Oaks Pharmaceutical Corp. – Consent Order (3/24/14).

In the matter of Fred Auzenne and BioNovix Incorporated – Order to Cease and Desist (2/20/14).

In the matter of Robert Nash (a/k/a “Bob Nash”) – Consent Order (3/31/14).

In the matter of James Mandel Hawkins – Consent Order (3/31/14).

In the matter of Leonard Owens, Michael Strong, Kenneth O’Connell, and Moncks Corner Finance, Inc. – Consent Order as to Respondent Kenneth O’Connell (4/11/14).

In the matter of Earl Hunter, III – Consent Order (4/16/14).

In the matter of OneMinuteNews.com, LLC – Consent Order (4/21/14).

In the matter of Michael McCormack and Southern Star Media Group, LLC – Consent Order (5/29/14).

In the matter of Charles H. Ruff and Clemson Grande LLC – Consent Order (6/5/14).

In the matter of Claus Christoph Foerster, CRD #1912949 – Summary Suspension and Rule to Show Cause (6/13/14).

In the matter of Craig Carlson – Consent Order (7/1/14).

In the matter of Robert W. Denton – Summary Suspension and Rule to Show Cause (7/2/14).

In the matter of J.P. Morgan Securities, LLC – Administrative Consent Order(7/3/14).

In the matter of David Craig Dameron and Liberty Advisors, LLC – Consent Order(7/3/14).

In the matter of Obsidian Financial Group, LLC – Consent Order(7/8/14).

In the matter of Leonard Owens, Michael Strong, Kenneth O’Connell, and Moncks Corner Finance, Inc. – Consent Order as to Respondent Leonard Owens (7/8/14).

In the matter of Leonard Owens, Michael Strong, Kenneth O’Connell, and Moncks Corner Finance, Inc. – Consent Order as to Respondent Michael Strong (7/8/14).

In the matter of Franklin D. McCrea, Jr. – Order to Cease and Desist (7/21/14).

In the matter of Wendell Freeman, a/k/a the Apostle of Reconciliation Ministry – Order to Cease and Desist ) 7/21/14.

In the matter of Daniel Y. Thomason, Sr., Daniel Y. Thomason, Jr., and Citizens Financial Services, Inc. – Consent Order as to Respondents Daniel Y. Thomason, Sr. and Citizens Financial Services, Incorporated (8/12/14).

In the matter of Arthur Vann – Order to Cease and Desist (8/28/14).

In the matter of Prim Securities, Inc. – Rule to Show Cause (8/28/14).

In the matter of Aletheia Securities, Inc. – Rule to Show Cause (8/28/14).

In the matter of KBR Capital Markets, LLC – Rule to Show Cause (8/28/14).

In the matter of Robert Charles Couch; Oil 2 Holdings, Inc.; and Couch Financial Services Incorporated – Consent Order (9/22/14).

In the matter of Cashbox Magazine, Inc. and Bruce Elrod – Order to Cease and Desist (10/16/14).

In the matter of Global Organizational Strategies, LLC and David Leavell – Order to Cease and Desist (10/16/14).

In the matter of Morgan Gold, LLC and David Allen – Order to Cease and Desist (10/16/14).

In the matter of Claus Christoph Foerster – Consent Order (10/17/14).

In the matter of Richard Edward Holliday – Order to Show Cause (4/8/14).

In the matter of Richard Holliday – Consent Order (10/23/14).

In the matter of Shawn M. Wheeland, and BuyWithIntegrity.com, Inc. d/b/a, BidWithIntegrity.com – Order to Cease and Desist (10/31/14).

In the matter of John B. Kern – Order to Cease and Desist (10/31/14).

In the matter of John Strength, Brittney O’Daniel, and Cancun Enterprises, LLC – Order to Cease and Desist (10/31/14).

In the matter of John M. McIntyre and Silver Oak Land Management – Order (11/20/14).

2013

In the matter of Coastal Carolina Healthcare Associates, LLC – Consent Order(11/19/13).

In the matter of Rhett Kendrick and Legacy System Services – Order to Cease and Desist (11/27/13).

In the matter of Daniel Y. Thomason, Sr., Daniel Y. Thomason, Jr., and Citizens Financial Services, Inc. – Order to Cease and Desist (11/27/13).

In the matter of Amy Leben, Robert Leben, Structured Finance Group Corporation, Gary L. Bohlke, and Robert Semisch – Complaint (12/11/13).

In the matter of Charles A. Ruff and Clemson Grande Lakefront Condominiums LLC – Order to Cease and Desist (11/27/13).

In the matter of Leonard Owens, Michael Strong, Kenneth O’Connell, and Moncks Corner Finance, Inc. – Order to Cease and Desist (11/27/13).

In the matter of Robert Nash (a/k/a Bob Nash) – Order to Cease and Desist (12/4/13).

In the matter of Jonathan Reid Steading – Consent Order (10/18/13).

In the matter of Charles L. Smith and Benchmark Capital Investment, LLC – Consent Order (11/13/13).

In the matter of James Rodney McGee, II – Consent Order (11/13/13).

In the matter of James Mandel Hawkins – Cease and Desist Order (10/18/13).

In the matter of Compass Energy Holdings, Inc. and Peter Iodice – Consent Order (9/26/13).

In the matter of Venulum LTD – Consent Order (9/25/13).

In the matter of Loral Langemeier, Coaching Resources, Inc., d/b/a Choice Performance, and Live Out Loud, Inc. – Consent Order (9/17/13).

In the matter of Curb Appeal Properties, Inc. and Richard Van Blarcom (a/k/a “Rick Van Blarcom”) – Consent Order (9/3/13).

In the matter of Cape Securities, Inc. – Reinstatement of Broker-Dealer Registration (8/30/13).

In the matter of Cape Securities, Inc. – Rule to Show Cause (8/29/13).

In the matter of Cape Securities, Inc. – Summary Suspension (8/29/13).

In the matter of Jonathan W. Brooks and J. Brooks Financial, Inc. – Order of Revocation of Investment Adviser, Investment Adviser Representative and Broker-Dealer Agent Registrations (7.31/13).

In the matter of 1792 Securities, LLC – Order Revoking Registration by Default (7/31/13).

In the matter of Hudson Valley Capital Management, LLC – Order Revoking Registration by Default (7/31/13).

In the matter of Birkelbach Investment Securities, Inc. – Order Revoking Registration by Default (7/31/13).

In the matter of Doley Securities, LLC – Order Revoking Registration by Default (7/31/13).

In the matter of EKN Financial Services, Inc. – Order Revoking Registration by Default (7/31/13).

In the matter of 1792 Securities, LLC – Rule to Show Cause (6/20/13).

In the matter of 1792 Securities, LLC – Summary Suspension of Broker-Dealer Registration (6/20/13).

In the matter of Foster Rogers Wealth Management Group, LLC, Cody Rogers, and Hamilton Foster – Order Revoking Registration by Default as to Respondent Hamilton Foster (6/13/13).

In the matter of Foster Rogers Wealth Management Group, LLC, Cody Rogers, and Hamilton Foster – Order Revoking Registration by Default as to Respondent Foster Rogers Wealth Management Group, LLC (6/13/13).

In the matter of James Rodney McGee, II – Notice of Intent to Seek Censure and Civil Penalty (6/10/13).

In the matter of Foster Rogers Wealth Management Group, LLC, Cody Rogers, and Hamilton Foster – Order Revoking Registration by Default as to Respondent Cody Rogers (6/7/13).

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 Gregory C. Priester – Order to Cease and Desist (5/6/13).

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).

 

 

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