黑料社区

In the matter of James 鈥淐hris鈥� Alexander 鈥� Order to Cease and Desist (1/22/18)

In the matter of G2 Asset Management, LLC and Gustavo Guzman 鈥� Order to Cease and Desist (1/22/18)

In the matter of Melvin Leonard Wimmer, Jr. and Cornerstone Capital of Greenwood, LLC 鈥� Consent Order (2/15/18)

In the matter of Martin R. Hunter, National Institute for Inventors 鈥� Order to Cease and Desist (2/28/18)

In the matter of Swiss Gold Global, Inc. and Genesis Mining, Ltd. 鈥� Order to Cease and Desist (3/9/18)

In the matter of First Merchant Network, and Edward Morgan 鈥� Order to Cease and Desist (3/16/18)

In the matter of Ulundria Horsey Byrd 鈥� Order to Cease and Desist (3/28/18)

In the matter of Sandlapper Securities, LLC 鈥� Order to Suspend the Broker-Dealer Registration (5/2/18)

In the matter of Blackbox Pulse, LLC and Thomas L. Lanzana (a/k/a Thomas L. Lanza) 鈥� Order to Cease and Desist (5/7/18)

In the matter of Jeffery Alan Rosen (a/k/a Jeff Rosen), Robert L. Cashman (a/k/a Bob Cashman), Leland Energy, Inc., PowerOne Corporation, Community Merchant Solutions, Hallmark Venture Group, and Service Team, Inc. 鈥� Order to Cease and Desist (5/7/18)

In the matter of Elliot Orlando Davis (a/k/a Elliot Davis, a/k/a Elliott Davis, d/b/a Hush, Inc., d/b/a Hush Entertainment, Inc., d/b/a Heavyweight Entertainment, Inc.) 鈥� Order to Cease and Desist (5/7/18)

In the matter of Cunningham Energy, LLC, James Lockhart, Kevin Thibeau, Jan Peter Bolton, Scott Johnson, and Douglas Hardwick 鈥� Order to Cease and Desist (5/9/18)

In the matter of Sandlapper Securities, LLC, 鈥� Order to Reinstate the Broker-Dealer Registration (5/16/18)听

In the matter of ShipChain, Inc. (d/b/a/ ShipChain.io) 鈥� Order to Cease and Desist (5/21/18)

In the matter of First Nationale Solutions, LLC and Perry J. Santillo 鈥� Order to Cease and Desist (5/24/18)

In the matter of Nicholas Joseph Lopez, Jr. (d/b/a NC Capital Investments, LLC, d/b/a LowCountry Apps, LLC) 鈥� Order to Cease and Desist (5/25/18)听

In the matter of Windsor Street Capital, LP 鈥� Order to Revoke Broker-Dealer Registration (6/6/18)

In the matter of Ameriprise Financial Services, Inc. 鈥� Consent Order (06/28/18)听

In the matter of Jeffery Alan Rosen (a/k/a Jeff Rosen), Robert L. Cashman (a/k/a Bob Cashman), Leland Energy, Inc., PowerOne Corporation, Community Merchant Solutions, Hallmark Venture Group, and Service Team, Inc. 鈥� Consent Order as to Jeffery Alan Rosen (a/k/a Jeff Rosen)听(7/9/18)

In the matter of Hightower Financial Partners, LLC, IARD# 172962 and Christopher Taylor, CRD# 3251069 鈥� Administrative Order Revocation of Investment Adviser and Investment Adviser Representative Registrations (7/9/18)

In the matter of Daniel R. Holtzman, Kadee, LLC and Crossroads Investments, LLC 鈥� Order to Cease and Desist (7/9/18)

In the matter of Nicole M. Soriano (a/k/a Marie Soriano, d/b/a Looking for Local, LLC, d/b/a Looking for Local Gifts & More, LLC) 鈥� Administrative Order to Cease and Desist (7/9/18)

In the matter of Jeffery Alan Rosen (a/k/a Jeff Rosen), Robert L. Cashman (a/k/a Bob Cashman), Leland Energy, Inc., PowerOne Corporation, Community Merchant Solutions, Hallmark Venture Group, and Service Team, Inc., 鈥� Consent Order as to PowerOne Corporation (7/16/18)

In the matter of Swiss Gold Global, Inc. and Genesis Mining, Ltd., Order dismissing respondent Genesis Mining, Ltd. from Administrative Order to Cease and Desist (7/26/18)

In the matter of ShipChain, Inc. (d/b/a ShipChain.io) 鈥� Order to Vacate Administrative Order to Cease and Desist (7/26/18)

In the matter of Jeffery Alan Rosen (a/k/a Jeff Rosen), Robert L. Cashman (a/k/a Bob Cashman), Leland Energy, Inc., PowerOne Corporation, Community Merchant Solutions, Hallmark Venture Group, and Service Team, Inc., 鈥� Consent Order as to Robert L. Cashman (a/k/a Bob Cashman), Hallmark Venture Group and Service Team, Inc. (7/27/18)

In the matter of Cunningham Energy LLC, James Lockhart, Kevin Thibeau, Jan Peter Bolton, Scott Johnson, and Douglas Hardwick听鈥� Consent Order as to Respondent Jan Peter Bolton (8/10/18)

In the matter of Cunningham Energy LLC, James Lockhart, Kevin Thibeau, Jan Peter Bolton, Scott Johnson, and Douglas Hardwick, 鈥� Consent Order as to Respondent Kevin Thibeau (8/10/18)

In the matter of Cunningham Energy LLC, James Lockhart, Kevin Thibeau, Jan Peter Bolton, Scott Johnson and Douglas Hardwick 鈥� Consent Order as to Respondent Scott Johnson (8/10/18)

In the matter of Glenn A. Zingarino -Order to Cease and Desist (8/22/18)

In the matter of Ramesh Kris Nathan (a/k/a Kris Nathan) and Relativity Research Fund, Inc., 鈥� Order to Cease and Desist (8/22/18)

In the matter of Kelly Jones (d/b/a Career Development Services International, LLC), 鈥� Order to Cease and Desist (8/22/18)

In the matter of Michael A. Dozier 鈥� Order to Cease and Desist (8/27/18)

In the matter of Matthew J. Jones 鈥� Order to Cease and Desist (8/27/18)

In the matter of Hightower Financial Partners, LLC, IARD# 172962, and Christopher Taylor, CRD# 3251069 鈥� Consent Order (8/27/18)

In the matter of J.J.B. Hilliard, W.L. Lyons, LLC 鈥� Consent Order (8/30/18)

In the matter of George Hopkins Wood, Jr., 鈥� Consent Order (8/30/18)

In the matter of Richard Eugene Chelten 鈥� Consent Order (8/30/18)

In the matter of Nicholas Joseph Lopez, Jr. (d/b/a NC Capital Investments, LLC, d/b/a LowCountry Apps, LLC) 鈥� Consent Order (9/10/18)

In the matter of Michael Lessard, CRD# 5968857- Consent Order (9/12/18)

In the matter of Financial West Group, Inc., CRD No. 16668 鈥� Order for the Suspension of Broker-Dealer Registration (9/19/18)

In the matter of John N. Cucinella and Mackrow Asset Management Group 鈥� Order to Cease and Desist (9/21/18)

In the matter of Todd Allen van Natta (a/k/a Todd Allen, a/k/a Todd Vannatta) and Channel Remarketing, LLC (f/k/a Brokers Exchange, LLC) Order to Cease and Desist (9/26/18)

In the matter of John N. Cucinella and Mackrow Asset Management Group, Respondents -Consent Order (10/19/18)

Consent Order as to Defendant Gary Bohlke (10/26/18)

In the matter of Nathan 鈥淣ate鈥� Scolari 鈥� Consent Order (11/14/18)

In the matter of Glenn A. Zingarino 鈥� Consent Order (12/4/18)