Home Page

Agency Directory

Investor Education &
Fraud Prevention

News Releases

Annual Reports/
 News Letters

Statutes,
Regulations
& Policies

Alabama Filing Requirements

Complaints

Helpful Web Sites
For Investor

 

 

 

 

 

Administrative Actions -2005


Order #

Date Issued
Respondents

Action

Contact
Case Number
CD-2005-0001
 

CO-2005-0001

01/04/2005
 

05/31/2005

Alan Scott Daniels
Daniels Capital Corporation

Alan Scott Daniels
Daniels Capital Corporation

Cease & Desist
 

Consent Order

Reuben Redd
 

Reuben Redd

S04-0245
 

 

SC-2005-0002

CO-2005-0002

OB-2005-0002

01/04/2005

07/31/2006

04/19/2007

Brian Alan Blackmon

Brian Alan Blackmon

Brian Alan Blackmon

Show Cause

Consent Order

Order to Bar

Chris Young

Randy McNeill

Ricky Locklar

S04-0125

 

CD-2005-0003

OV-2005-0003

01/24/2005

05/01/2006

Grove Financial Group, INC

Grove Financial Group, Inc
Leon Martex Grove III

Cease & Desist

Order to Vacate

Chris Young

Kim Lewis

S05-0021

 

CD-2005-0004 02/02/2005




 

06/23/2006

Lifeline Imaging, LLC
Richard E. King Jr.
Gerald L Friede
A. Charles Harris
Candice Lewis
Randy Morton

Lifeline Imaging, LLC.
Candice Lewis
Randy Morton

Cease & Desist




 

Final Order due to no Response

David Williams S04-0261
CD-2005-0005

 

 

 

 

 

CO-2005-0005

03/04/2005

 

 

 

 

 

10/18/2005

Caruba International, LLC
Tradewind Holding Company
Tradewinds Investments, INC.
Ivan F. Shew-A-Tjon
      (AKA Ivan F. Shew)
Stanley Shew-A-Tjon
Darryl Reason
Luther Carson
Rudolph Robles
Joel Williford
Shelly Fearson
Gwendolyn Long
Geraldine Smith
Mike Nowell

Caruba International, LLC.
Ivan F. Shew-a-tjon
Cease & Desist

 

 

 

 

 

Consent Order

Anita Smith

 

 

 

 

 

Anita Smith

S04-0422

 

 

 

 

 

S04-0422

CD-2005-0007 03/07/2005

 

03/19/2010

Riggabella Professional Services, INC.
Handleton Management Services
M. Kevin Mullen

All Respondence

Cease & Desist

 

Final Order Due to No Response

Steve Brantley S03-0081
CO-2005-0008 03/15/2005 Thomas Weisel Partners, LLC Consent Order Ricky Locklar S04-0431
CD-2005-0009 03/17/2005 Premium Income Corp.
   A/K/A Supply Premium Income Corp.
Complete Estate Services LLC.
Gerald Leo Rogers
  A/K/A Jay Rogers
Alexander Igor Shevchenko
Fredrick O. Delin
  A/K/A Fred O. Delin
Cease & Desist Steve Brantley S04-0434
OR-2005-0010 03/28/2005 L. H. Ross & Company, INC.
Franklyn Ross Michelin
Order of Revocation Anita Smith S05-0080
CO-2005-0011

Addendum A

03/31/2005 Deutsche Bank Securities, INC. Consent Order Ricky Locklar S04-0430
CD-2005-0012 04/07/2005 Southern Heritage, INC.
Freedom Quest USA
The Cookie Jar, L.L.P.
GITAM, L.L.C.
Blessing Center
Eagles Club International
Money Tree System SSR, L.L.C.
W. A. Cochran
   (AKA William A. Cochran)
Bob Glass
Mark E. Glass
Fredrick Steven Orleans
Alan Wright
Terry W. Bryant
William E. Frazier
Teresa Roberson
Lonnie E. Honeycutt
Jeffery Morrison
Terry J. Buck
David Easterbrooks
Guy W. Foster
Ike McCollum
Eddie Wood
John Pershing Smith
H. J. "Red" Tiner
Cease & Desist Anita Smith S05-0067
CD-2005-0013 04/07/2005 Phymed Partners, INC.
James Lamar McMichael
Nancy Wise McMichael
Cease & Desist Kim Lewis S03-0063

SC-2005-0014

OB-2005-0015
SC-2005-0014 04/07/2005 Franklin Financial Services Corp. Show Cause Kim Lewis S03-0063

CD-2005-0013


OB-2005-0015
OB-2005-0015 04/07/2005 Robert Michael Seahorn
John Colvin
Colin Prest
Order to Bar Kim Lewis S03-0063

CD-2005-0013

SC-2005-0014
CD-2005-0016 04/08/2005 Alden Lee Company, INC.
Richard Joseph Lee
Cease & Desist Chip Harrison S04-0377
CD-2005-0017 04/11/2005

 

06/15/2006

T. D. & Associates
Dennis Timpe
Michael Spradley

All Respondents

Cease & Desist

 

Final Order  due to no response

Chip Harrison S05-0091
CD-2005-0018








 

CO-2005-0018

04/11/2005








 

01/23/2006

Fortress Foundation INC.
G. T. Funds INC.
   (AKA:  Gods Trust Funds, INC.)
Leroy Hoback
Thomas Edward Crawford
O. Bruce Mikell
William E. Schwerdtfeger
Gloria N. Streig
Ra'nic Streig Schwerdtfeger
Raymond M. Streig

O. Bruce Mikell

Cease & Desist








 

Consent Order

Rossi Peters








 

Rossi Peters

S05-0035








 

 

CO-2005-0019 04/21/2005 The Meta Company, LLC
Gary A. Mitchell
Consent Order Rena Davis I05-0136
CO-2005-0020 04/22/2005 Prudential Securities INC. Consent Order Ricky Locklar S01-0024
CD-2005-0021



 

OV-2005-0021
 

05/03/2005



 

06/18/2008
 

Angel Construction, INC.
   AKA:  Angel Homes
   AKA:  Angel Investments
Brian Jeffrey Heller
Angela Marie Gustin

Angel Construction, INC.
   AKA:  Angel Homes
   AKA:  Angel Investments
Brian Jeffrey Heller
Angela Marie Gustin

Cease & Desist



 

Order to Vacate

Chip Harrison S04-0322
CD-2005-0022 05/05/2005

 

10/01/2008

Ronald Dover Holland
Curtis M Green
Revod Foundation INC.

All Respondents

Cease & Desist

 

Final Order due to no Response

Reuben Redd S03-0154
CD-2005-0023 08/1/2005 People in Profit Systems, INC.
PUREINVESTOR.COM, INC.
PIC Trust Limited
Bryan Marsden
Cease & Desist Chip Harrison S05-0095
OB-2005-0024 08/19/2005 Back Bay Capital, INC.
Capital Access Partners, LLC
Albert Tommie Carazolez
Order to Bar Mike Wilkerson S04-0243
CD-2005-0025

 

CO-2005-0025

08/25/2005

 

02/23/2006

OceanFront Equity Holdings, Inc.
IGS Capital Management Corp.
Bradley Pridemore

Oceanfront Equity Holdings, Inc.
IGS Capital Management Corp.
Bradley Pridemore

Cease & Desist

 

Consent Order

Chip Harrison

 

Chip Harrison

S05-0163

 

 

CD-2005-0026 08/25/2005

 

06/21/2006

Freedom Online, INC.
Theodore Mahoney
Paul Rangel

All Respondents

Cease & Desist

 

Final Order due to no response

Chip Harrison S05-0217
CD-2005-0027 08/25/2005 Alpine Petroleum, LLC
Jim Morrisett
Cease & Desist Chip Harrison S05-0153
CD-2005-0028 09/07/2005 Quadra Pay Land, LLC
Eavenson Family LP
Michael Eavenson
Lorenzo Williams
Cease & Desist Mike Wilkerson S05-0090
CD-2005-0029
 

Addendum A

09/06/2005
 

01/04/2006





 

05/24/2006

Mobile Billboards of America, Inc.
Tommy White

Mobile Billboards of America, Inc.
Tommy White
Jackie P. Adams
Tim Bradshaw
J. Wendell Brigance
James E. Lush
Sandra Lush

All Respondents

Cease & Desist
 

Cease & Desist





 

Final Order due to no response

Mike Wilkerson
 

Mile Wilkerson

S02-0378
 

 

CD-2005-0030 09/06/2005 TLC Investments LLC.
David Lynn Goss
Cease & Desist Mike Wilkerson S03-0128
CD-2005-0031 09/07/2005



 

05/25/2006

Universal Luxury Coaches, LLC.
Tommy White
James P. Hollis
John Lang
Scott Spur

All Respondents

Cease & Desist



 

Final Order due to no response

Mike Wilkerson S04-0379
SC-2005-0032

 


CO-2005-0032

09/26/2005

 


10/05/2005

Morgan Keegan & Company
Woodley Harnnon Bagwell
John Allen Jones IV
Hampton F Hook
Robert Shawn Ellison

Morgan Keegan & Company
Show Cause

 


Consent Order

Randy McNeil

 


Randy McNeill

S00-0093

 


 

OB-2005-0033 09/26/2005 Robert Shawn Ellison Order of Bar Randy McNeil S00-0093
OB-2005-0034 09/26/2005 Hampton F. Hook Order of Bar Randy McNeil S00-0093
OB-2005-0035 09/26/2005 John Allen Jones IV Order of Bar Randy McNeil S00-0093
LR-2005-0036 09/26/2005 George Earl Bagwell Order of Limited Reinstatement Randy McNeil S00-0093
RC-2005-0037 09/26/2005 Woodley Hannon Bagwell Order of Limited Registration & Censor Randy McNeil S00-0093
CD-2005-0038
 

CO-2005-0038

09/12/2005
 

08/14/2006

Biotelligent, Inc.
Heny Ayati

Biotelligent, Inc.
Heny Ayati

Cease & Desist
 

Consent Order

Chip Harrison
 

Chip Harrison

S05-0218
 

 

CD-2005-0039

CD-2005-0039
Addendum

09/12/2005

06/13/2006

 

12/19/2008

Womans Wall Street, Inc

Womans Wall Street, Inc
John Lowson
Heny Ayati

All Respondents

Cease & Desist

Cease & Desist

 

Final Order due to no response

Chip Harrison

Chip Harrison

S05-0216

 

CD-2005-0040 09/23/2005 Christopher Kyle Croft
CK Capital Trading
Cease & Desist Steve Brantley S05-0264
CO-2005-0041 09/15/2005 Waddell & Reed, Inc.
W & R Insurance Agency, Inc.
Consent Order Kim Lewis S05-0099
SC-2005-0042


 

SC-2005-0042A


 




 

OR-2005-0042

 




 

OB-2005-0042



 

CO-2005-0042

09/05/2005


 

06/11/2009


 

12/21/2009


 

12/21/2009

 

02/04/2010


 

06/23/2011

08/02/2011

 

12/13/2011

Aura Financial Services
Timothy M. Gautney
Laura Gautney Black
Loyd Gilford King

Aura Financial Services
Timothy M. Gautney
Loyd Gilford King
John Wesley Woodruff, Jr.

All Respondents


 

Aura Financial Services
Timothy M. Gautney
Loyd Gilford King

Aura Financial Services
Timothy M. Gautney

 

John Wesley Woodruff, Jr.

John Wesley Woodruff, Jr.

 

Loyd Gilford King

Show Cause


 

Show Cause


 

Final Order
due to
Insufficient Response

Order to
Revoke
 

Final Order for Refusal to
Accept
Delivery

Order of Bar

Final Order
Due to no
Response

Consent Order

Ricky Locklar


 

Mike Wilkerson


 


 

 

S03-0008
CD-2005-0044 10/12/2005
 

10/03/2006

NJ Affordable Homes Corp.
Wayne Puff

All Respondents

Cease & Desist
 

Final Order due to no response

Mike Wilkerson S05-0220
CD-2005-0046 10/18/2005 Eagle Storage & Development, LLC
Michael J. Bowen
Tony Smalling
Scott Williams
Cease & Desist Mike Wilkerson S05-0219
CD-2005-0047 10/19/2005 Christopher Reyes
Nexidis Platinum Wealth Building
     Systems
Cease & Desist Reuben Redd S05-0001
CD-2005-0048 11/02/2005

 

04/12/2007

Jayel Accounting Consultants, Inc
W. Joe Phillips
Linda D. Phillips

All Respondents

Cease & Desist

 

Final Order due to no response

Mike Wilkerson S05-0028
CD-2005-0049 11/09/2005 Celecast Inc.
Heath F. Hyneman
Kimberly Gallops Anthony
Cease & Desist Rossi Peters S05-0141
CD-2005-0050





 

OV-2005-0050

11/09/2005





 

03/15/2006
 

06/21/2006

Horizon Medical Group, Inc.
Martin J Kern
Barry Sternberg
Living Trusts of America
Craig R. Lundahl
First Trust Company of Onaga,
      N.A.

First Trust Company of
    Onaga,  N.A.

All Respondents

Cease & Desist





 

Order to Vacate
 

Final Order due to no response

Chip Harrison





 

Chip Harrison

S03-0039





 

 

CD-2005-0051




Addendum A




OV-2005-0051

OV-2005-0051


 

CO-2005-0051

11/29/2005




12/16/2005




12/16/2005

08/09/2006


 

08/09/2006

Gravity Entertainment, Inc.
Entertainment Holdings, Inc.
Steven F. Gagnon
Marshall F. Carson

Gravity Entertainment, Inc.
Entertainment Holdings, Inc.
Steven F. Gagnon
Marshall F. Carson

Marshall F. Carson

Gravity Entertainment, Inc
Entertainment Holdings, Inc
Steven F. Gagnon
Marshall F. Carson

Gravity Entertainment, Inc
Entertainment Holdings, Inc
Steven F. Gagnon
Marshall F. Carson

Cease & Desist




Amended Cease & Desist



Order to Vacate

Order to Vacate


 

Consent Order

Mike Wilkerson




Mike Wilkerson




Mike Wilkerson

Mike Wilkerson


 

Mike Wilkerson

S05-0234




 




 




 

 

CD-2005-0052 12/13/2005 Conecuh Brands LLC
Kenny May
Cease & Desist Steve Brantley S05-0139
CD-2005-0053





 

CO-2005-0053



 

CO-2005-0053

12/14/2005






 

05/14/2008



 

05/14/2005

Northstar Energy, Inc.
Larry M. Koonce
Paul M. Esposito
Texas Securities Partners, Inc.
Brian Alan Guinn
Tony Eugene Morrison
James Gregory Rice
Christopher R. Madrid

Texas Securities Partners, INC.
Brian Alan Guinn
Tony Eugene Morrison
James Gregory Rice
Christopher R. Madrid

Northstar Energy, INC.
Larry M. Koonce
Paul M. Esposito

Cease & Desist






 

Consent Order



 

Consent Order

Steve Brantley






 

Randy Jones



 

Randy Jones

S05-0415
SC-2005-0054 12/14/2005 Texas Securities Partners, Inc.
Brian Alan Guinn
Tony Eugene Morrison
James Gregory Rice
Christopher R. Madrid
Show Cause Steve Brantley S05-0415

  Privacy Statement  |  Contact Us