黑料社区

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

In the matter of EPS Advisors and David C. Dameron 鈥� 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 鈥� Cease and Desist Order (2/14/13)

In the matter of Susan Lockwood 鈥� 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 鈥� Order to Cease and Desist (2/21/13).

In the matter of Jonathan W. Brooks, J. Brooks Financial, Inc. 聽鈥� 聽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 鈥� 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 鈥� Order to Cease and Desist (2/25/13).

In the matter of George Marshall Heffernan 聽鈥� 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 鈥揅omplaint (3/5/13)

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

In the matter of Roman Novak, Radoslav Novak,聽 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 鈥� Temporary Restraining Order Extension (3/15/13).

In the matter of Richard L. Routh and Invictus University 鈥� 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 鈥� 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) 鈥� 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 鈥� Amended Complaint (4/15/13).

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

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

In the matter of John M. McIntyre and Silver Oak Land Management, LLC 鈥� 聽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 鈥� 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 鈥� Order Appointing Receiver (4/29/13).

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

In the matter of Gregory C. Priester 鈥� Order to Cease and Desist (5/6/13).

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

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

In the matter of Hudson Valley Capital Management, LLC CRD #24162 鈥� Summary Suspension of Broker-Dealer Registration (6/6/13)

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

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

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

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

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

In the matter of James Rodney McGee, II 鈥� 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 鈥� 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 鈥� 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. 鈥� Order to Cease and Desist (6/20/13)

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

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

In the matter of Susan Lockwood 鈥� Consent Order (7/2/13)

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

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

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

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

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

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

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

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

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

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

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

In the matter of Curb Appeal Properties, Inc. and Richard Van Blarcom (a/k/a 鈥淩ick Van Blarcom鈥�) 鈥� Consent Order (9/3/13).\

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

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

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

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

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

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

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

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

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

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

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

In the matter of Coastal Carolina Healthcare Associates, LLC, and Milton Rooks 鈥� Consent Order (11/15/13)

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

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

In the matter of Leonard Owens, Michael Strong, Kenneth O鈥機onnell, and Moncks Corner Finance, Inc. 鈥� Order to Cease and Desist (11/27/13).

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

In the matter of Robert Nash (a/k/a Bob Nash) 鈥� 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)