2013 Notices and Orders

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

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

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.  –  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 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 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 Roman Novak, Radoslav Novak,  and Inter Reef Ltd. (d/b/a Profitable Sunrise) Order to Cease and Desist (3/13/13).

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 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 (3/25/13).

In the matter of Foster Rogers Wealth Management Group, LLC (IARD#143610), Cody Rogers (CRD #3068373). and Hamilton Foster (CRD #4862999) – Notice of intent to seek the revocation of investment adviser and investment adviser representative registrations (4/2/13)

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 Joey R. Preston – Consent Order (4/15/13).

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

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 Hudson Valley Capital Management, LLC CRD #24162 – Summary Suspension of Broker-Dealer Registration (6/6/13)

In the matter of EKN Financial Services, Inc., CRD #113525 – Rule to Show Cause (6/6/13)

In the matter of EKN Financial Services, Inc. CRD #113525 – Summar Suspension of Broker-Dealer Registration (6/6/13)

In the matter of Birkelbach Investment Securities, Inc.CRD #11490) – Summary Suspension of Broker-Dealer Registration (6/6/13) Summary Suspension of Broker-Dealer Registration

In the matter of Doley Securities, LLC CRD #7081 – Summary Suspension of Broker Dealer Registration (6/6/13)

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 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 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 Loral Langemeier, Coaching Resource Inc. d/b/a Choice Performance, and Live Out Loud, Inc. – Order to Cease and Desist (6/20/13)

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 Susan Lockwood – Consent Order (7/2/13)

In the matter of Charles L. Smith, and Benchmark Capital Investment, LLC – Order to Cease and Desist (7/5/13)

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

In the matter of Venulum, LTD. – Order to Cease & Desist (8/30/13)

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

In the matter of Michael Lovett – Consent Order (9/20/13)

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

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

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

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

In the matter of Daniel Mark Reynolds and Cheryl Ann Woods – Order to Cease and Desist (10/24/13)

In the matter of T. Bart Kelley – Consent Order (10/29/13)

In the matter of Obsidian Financial Group, LLC – Rule to Show Cause (11/1/13)

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 Coastal Carolina Healthcare Associates, LLC, and Milton Rooks – Consent Order (11/15/13)

In the matter of RBC Capital Markets, LLC – Administrative Consent Order (11/1/13)- Administrative Consent Order

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

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

In the matter of Meridian Capital Advisers, LLC (IARD #138310), and Jeffrey A. Masco (CRD #4221227) Masco Consent Order (12/30/13)