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Securities enforcement orders

2009
Adriel J. Gaines
S-09-0045
Order Granting Conditional Securities Salesperson License
July 24, 2009
First Colonial Bank, LTD a/k/a Pac-Rim, Inc.
S-88-0011
Closure Certificate; Case History
April 1, 2009
John David Thurber
S-09-0016-4
Order to Cease and Desist, Order Denying Exemptions, Order Assessing Civil Penalties, and Consent to Entry of Order
March 29, 2010
Keeley Funds, Inc.
S-09-0008
Order to cease and desist, Order Assessing Securities Notice Filing Fees, and Consent to Entry of Order
February 20, 2009
Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phatasy Tours a/ka/ Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder
S-07-0043-19
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Joel Whaley Only
April 18, 2009
Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phatasy Tours a/ka/ Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder, and James Theeler
S-07-0043-13
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Douglas Laird Only
July 8, 2009
Morgan Stanley Charter Graham L.P. and Morgan Stanley Spectrum Select L.P.
s-09-0009
Order to Cease and Desist and Consent to Entry of Order
July 22, 2009
Owens Mortgage Investment Fund, A California Limited Partnership and Owns Securities Corporation
S-09-0020
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
September 21, 2009
REI Exchange, LLC, TMG Ventures, Inc., and Anthony C. Scwhartz
S-09-0041
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Default
November 12, 2009
Robert Warren Spruill, dba Brooke Auto Insurance Services and dba Brooke Agency Services Company, LLC
ID-09-0027
Order to Cease and Desist, Order Assessing Civil Penalty and Consent to Entry of Order
September 22, 2009
Susumu Alan Sasaki and MCCA Oregon Corporation
S-07-0056
Order to Cease and Desist, Order Denying Exemptions and Consent to Entry of Order
December 22, 2009
Yongsu Meade, aka Young Sue Meade, aka Sue Meade
S-09-0050
Order to Cease and Desist, Order Denying Exemptions from Securities Registration, and Consent to Entry of Order
September 21, 2009
2008
James Salvatore Georgen, Jr.
S-08-0014
Order to Cease and Desist, Order Denying Exemptions, Bar from Financial Industry, Assessment of Civil Penalty, and Consent to Entry of Order
December 1, 2008
Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A. Resort Holdings International, Inc., Resort Holdings International, S.A., World Phantasy Tours a/k/a Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder
S-07-0043
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Defaul Against Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phantasy Tours a/k/a Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Stephen Monroe, and Dale Lauder only
January 24, 2008
Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phatasy Tours a/ka/ Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder
S-07-0043-11
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Rick Greene Only
June 19, 2008
Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phatasy Tours a/ka/ Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder
S-07-0043-16
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Royal Edwards Only
March 20, 2008
Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phatasy Tours a/ka/ Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder
S-07-0043-17
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Kenneth Christensen Only
February 29, 2008
RJJ Pasadena Securities, Inc.
S-08-0034
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
December 10, 2008
2007
Douglas Goodrum, Alpha Energy, Inc., Alliance Resources Group, Inc., Alex Bailey, and Jay Reynolds
S-07-0025
Order Withdrawing Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Default Against Douglas Goodrum Only
March 8, 2008
Douglas Goodrum, Alpha Energy, Inc., Alliance Resources Group, Inc., Alex Bailey, and Jay Reynolds
S-07-0025 (B)
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Consent as to Alex Bailey Only
May 18, 2008
Douglas Goodrum, Alpha Energy, Inc., Alliance Resources Group, Inc., Alex Bailey, and Jay Reynolds
S-07-0025 (C)
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties Entered by Consent as to Douglas Goodrum Only
April 18, 2008
Elder Research Corporation, an Oregon corporation; Ronald R. Elder, and individual; and Rita M. Elder, and individual
S-07-0022
Order to Cease and Desist, Order Assessing Civil Penalty, and Consent to Entry of Order
James Hampton Simmons Jr
S-09-0054
Order Granting Conditional Securities Salesperson License
October 8, 2007
Michael Kelly, Yucatan Resorts a/k/a Avalon Resorts, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phantasy Tours a/k/a Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Rick Greene, Roget Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, Dale Lauder, and James Theeler
S-07-0043-15
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Lawrence Beard Only
December 16, 2008
Michael Kelly, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phantasy Tours a/k/a Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder
S-07-0043-12
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Roger Stewart Only
Michael Kelly, Yucatan Resorts, S.A., Resort Holdings International, Inc., Resort Holdings International, S.A., World Phantasy Tours a/k/a Majesty Travel a/k/a Viajes Majesty, Galaxy Properties Management, S.A., Gabriel Escalante, Ruttenberg and Associates Financial Marketing, Inc., Mark Ruttenberg, Rick Greene, Roger Stewart, Douglas Laird, Stephen Monroe, Lawrence Beard, Kenneth Christensen, Royal Edwards, Joel Whaley, and Dale Lauder, and James Theeler
S-07-0043-20
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to James Theeler Only
Southwest Exchange, Inc., a Nevada Corporation, dba Arrow 1031 Exchange, aka Southwest 1031 Exchange, Inc.
S-07-0015
Final Order to Cease and Desist and Denying Use of Exemptions Entered by Default
The Prudential Investment Portfolios, Inc., a Maryland corporation
S-07-0034
Order to Cease and Desist, Order Assessing Securities Notice Filing Fees and Consent to Entry of Order
2006
Unlimited Cash, Inc., Wayne Flesher, Douglas Network Enterprises, Inc., Nancy Khalial, Ruttenberg and Associates MVP, Inc., Mark Ruttenberg, Kenneth Begarowski, Randall Covelli, and Bill Boedeker
S-05-0040
Order ot Cease and desist, Denying Exemtions, and Assessing Civil Penalties, Entered by Consent as to Unlimited Cash, Inc., Wayne Flesher, Douglas Netowrk Enterprises, Inc., and Nancy Khalial Only
March 16, 2006
Unlimited Cash, Inc., Wayne Flesher, Douglas Network Enterprises, INc., Nancy Khalial, Ruttenberg and Associates MVP, Inc., Mark Ruttenberg, Kenneth Gebarowski, Randall Covelli, and Bill Boedeker
S-05-0040
Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Consent as to Bill Boedeker Only
July 27, 2006
2005
Christopher John Tento and James Joseph Honse
S-05-0054
Final Order to Cease and Desist Against James Hoseph Honse Entered by Default
August 15, 2005
Unlimited Cash, Inc., Wayne Flesher, Douglas Network Enterprises, Inc., Nancy Khalial, Ruttenberg and Associates MVP, Inc., Mark Ruttenberg, Kenneth Gebarowski, Randall Covelli, and Bill Boedeker
S-05-0040
Final Order to Cease and Desist, Denying Exemptions, and Assessing Civil Penalties, Entered by Default Against Ruttenberg and Associates MVP, Inc., Mark Ruttenberg, Kenneth Gebarowski, and Randall Covelli Only
September 16, 2005
2004
Alpha Telcom, Inc, Charles Tummino, Chris Clapp, Julie Blair Fingerson, Paul Farver, Melinda Farver, Janna Ramelli, and David Ramelli
A-03-0012
Stipulated Order to Cease and Desist, Denying Exemptions, Assessing Civil Penalties and Consent to Entry of Order as to Charles Tummino
July 14, 2004
Omni Advisor Group, Inc., Brian P. McGuane, Kevin E. Sullivan, Brent Burke, Chris Duda, Nora Fileccia, Bernie Lemke, and Gus Thomas
S-03-0039
Stipulated Order as to Respondents Omni Advisor Group, Inc., and Brian P. McGuane
February 24, 2004
2003
Alpha Telcom, Inc., ATC, Inc, Strategic Partnership Alliance, LLC, Paul Rubera, Charles tummino, Ross Rambach, Mark Kennison, David Winstead, and Julie Blair Fingerson
A-03-0012 (B)
Final Order to Cease and Desist, Denying Exemptions, And Assessing Civil Penalties by Default as to Alpha Telcom, Inc, ATC, Inc, Strategic Partnership Alliance, LLC, Paul Rubera, Ross Rambach, Mark Kennison, David Winstead, and Julie Blair Fingerson Only
December 15, 2003
DR Thaut, Inc., dba First Security Financial, and Dennis Reinold Thaut
A-02-0042
Order to Cease and Desist, Order Assessing Civil Penalty, Order Denying Use of Exemptions, and Consent to Entry of Order
April 30, 2003
Kathie A. Hitchcock and Janice Binion dba Four Steps to Wealth
A-02-0069
Order to Cease and Desist Order Assessing Civil Penalties and Consent to Entry of Order as to Janice Binion
February 4, 2003
2002
Epitome, LLC, a Washington Limited Liability Company; Robert Neace, Jr., and James Billington
A-02-0030
Order to Cease and Desist Order Assessing Civil Penalty and Consent to Entry of Order as to Respondent Robert Neace, Jr.
August 22, 2002
2001
2000
First Financial Planners, Inc.; FFP Securities, Inc.; FFP Advisory Services, Inc.,
A-00-0007
Order to Cease and Desist and Stipulations and Consent to Entry of Order by Respondents First Financial Planners, Inc.; FFP Securities, Inc., FFP Advisory Services, Inc.
February 11, 2000
1999
1998