Securities Disciplinary Action Reports

A

• 1 Global Capital, LLC
• 1 Global Capital, LLC
• Accura Transaction Management LLC
• Adams, Amina
• Advantage Real Estate Consultants, LLC
• Ajagbe, Adebowale
• Ako, Vladimir
• Allen, William
• Altruist Financial
• AMISH, PARIKH
• Antonelli Financial Advisors, LLC
• Antonelli, Suzanne
• Ascension Energy Group, Inc.
• ASI Capital Income Fund, LLC
• ASI Capital, LLC
• ASI Healthcare Capital Partners, LP
• Atos Limited
• Austin, David

B

• Baker, Anthony
• Banner Co-Op, Inc
• Bartera, Richard
• Bartolameolli, Nancy
• Basey, Jennifer
• Bazzi, Ali
• BC Holdings and Investments, LLC
• Beacon Learning Group, LLC
• Bescoe, Jason K.
• Biogenic, Inc.
• Bishop, Stephen
• Black Box Fund
• Bleim, Jeffery
• Blik, Jason
• BlockFi Lending LLC
• Blockweather Holdings, LLC
• Boettcher, John
• Bolinder, Ken
• Braman, Bryan E
• Brokerbank Securities, Inc
• Burman, Richard
• Butler, Kim
• Bylenga, James

C

• Cadez, Daniel, Jr.
• Cannas_Capital_LLC_CN_341359_CD_Order_3-31-2020_WEB
• Capsource, Inc.
• Casson, Christal Cimone
• CBIG CCS, LLC
• Chanlynn, Scott
• Charles Winn, LLC
• Cherniawski, Anthony
• Christians, Tamara
• Cicchelli, Ryan
• Cooperative Capital, LLC
• Corecap Investments, LLC
• Cortright, Jeffery
• Creative Wealth Strategies, Inc.
• CREO Global Capital, LLC; CN 344387; CRD 159771; Peter Savarino;CRD 1656139; CN 344388; Stipulation and Consent Order; 2-22-2022
• Crowdfreak
• Cryotherm USA, Inc.
• Cucinella, John
• Cunningham Energy LLC
• Cygnet Financial Freedom House

D

• Denali Wealth Management LLC
• Detroit Community Capital, LLC
• Deveny, Christopher
• Dijak, Timothy
• DNF Gap Funding, LLC
• Doyle, Drayson
• Dreamakers LLC
• Drew, Bernard
• Drew, Christel

E

• Eastridge Holdings LTD
• Elicanal_Ramil_
• Embry, Dale
• EnerFusion Inc.
• Equialt Fund, LLC
• Equialt, LLC
• EquityNet, LLC
• Estevez, Robert
• Evola, Jane

F

• Ferrera, Michael
• Ferwerda, Sandra
• Feyers, Kenneth
• First Nationle Solution LLC
• Flint 500, LLC
• Forrest, Gary A.
• Fulkerson Capital Management, LLC
• Fulkerson, David

G

• Genesis Fund, LLC
• GenVest III, LLC
• Genvest VI, LLC
• GenVest VII LLC
• Giffin Mortgage Company, Inc.
• Glaspie, Michael
• Goeken Group Corp.
• Goeken-Miles, Sandra
• Goldeneye Asset Management LLC
• Grand Mill Funding Corporation
• Gray, Patricia
• Greechan, Josette

H

• Hanson, Michael
• Harbinger Asset Management LLC
• Hartley, Daniel
• Harvey, Dorian; CN 339628; C&D
• Haven Investment Groups
• Haynes, Gary E.
• Heartland Production and Recovery, LLC
• Helmholdt 360 LLC
• Heninger, William
• Henry Ford Village, Inc.
• Holley, Larry
• Holman, Jack
• Hopkins, Mark; C&D Order

I

• IMS LTD LLC
• Independence Capital Co., Inc.

J

• JAC Investments
• Jagger, John
• Jatango, LLC
• JME Financial LLC
• Jodway, Jason

K

• Kazee, Michael A.
• King, Steven Willard
• Klager, Albert
• Knott Linda dba Together We Profit
• Knox, Sylvester
• Knuth, David
• Kobus, Joseph
• Krantz, Todd

L

• Leland Energy Inc.
• Leverett, Terry
• Lorado Capital LLC
• LPL Financial LLC
• Lupo, David

M

• Maccoll, John
• Mackey, Bender Wallace
• Mackrow Asset Management Group
• Main, Jordan Dean
• Manaia, Anthony
• Manaia Capital Management Inc.
• Martin, Christopher
• Maxad Associates, LLC
• McBrien, Robert
• McGaffey, Thaddeus
• McKinnon, Curtis
• Meadowbrook Investment Advisors, LLC
• MGMC LP
• Miller, Douglas
• Mintage Mining, LLC
• Minuskin, Julie
• Moore, Darwin
• Moreno, John
• Morley Jr., Robert B
• Morley Jr., Robert B
• Movsesian, George E.
• Mueller, Glenn
• Murphy, Dennis J.
• Myers, Damien M.

N

• Nelms Robert Ian
• Neubauer, Ronald
• New Haven Capital Holdings, L.L.C.
• Nixon, Greg
• Norkus, Philip
• Northern Star Capital Management, LLC
• Northridge Holdings LTD
• NYPPEX, LLC; CRD-IARD 47654; ENF-22-020055; NOI to Revoke Broker-Dealer; 4-14-2022; WEB

O

• Odum, Jeremy
• OE Capital Venture, LLC
• Ohel, Ziv
• Olayan, Darren
• Olson, Todd
• Oppenheimer & Co. Inc.
• Orfin, Daniel
• OSAD LLC
• Osei, Kwaku
• Oyin Damola Abatan

P

• Patriots Energy Group, Inc.
• Peckat, Andrew
• Percipience, LLC
• Persin, Leslie
• Persin, Leslie
• Peterson, Houston
• Pett, Raymond Max
• Phase 2 Investment Advisers, LLC
• Poyet, David
• Prather Investment Management, LLC
• Prather Jr., Kenneth
• ProEquities Inc.
• Profits Run, Inc.
• Purshe Kaplan Sterling, Inc.

Q

R

• Raymond James & Associates, Inc.
• Reading, Robin
• Recovery Park
• Reed, Kevin M.
• Research Money Management, LLC
• Retire Happy, LLC
• Richer, Ronald
• Ricky Darrell Flatt
• River East Financial LTD
• Roberson, Lawrence C&D
• Roberts, Nicholas
• Romer III, Ernest J.
• Rookus, Scott
• Roumeyah, Christopher
• Royal Advisers LLC
• Royal Securities Company
• Rubarth, Robert
• Rupp, Joshua

S

• Safety of Principle Wealth Management, LLC
• SAMI Investments, LLC
• Saoud, William
• Saoud, William
• Savarino, Peter
• Sawyer, Mark
• Scheib, Mustafa
• Scholl, David
• Schroeder, Richard
• Schultz, Scott
• Schutte, Jerry
• Schutte, Jerry Allen
• Scott Schultz Closed-End Funds, Inc
• Sesi, Sam J.
• Seski, Mark
• Severn Funding & Investment Ltd.
• Shaar 2, LLC
• Sheen, Fulton
• Shippell, Brian O.
• Shirah, Clifford W.
• Sigma Advantage Investments, LLC
• SLB Creations Inc.
• Sloma, Robert J.
• Smith, Alex
• Smith, Eric
• Smith, Jeffrey
• Solium Financial Services, LLC
• Southern Trust Securities, Inc.
• Stein, Lonnie
• Stevens, Carey
• Stoll, Josh
• Swart, Anthony Kevin

T

• TeamHarveyUSA Realty Inc
• Teschke, Eric
• TGA MANAGEMENT
• Thamer, Orville Gowan
• The Cadez Group, LTD.
• The Practical Investor, LLC
• Thompson, Stephen
• Timmer, Edwin
• Titus, Preston
• Treasure Enterprise LLC
• Trombatore, Frank

U

• Unity Investment Group I, LTD
• University Capital Solutions, LLC

V

• Victory H2O Distribution, LLC
• Videtta, David
• Visalus, Inc.
• Vista Grand Villa
• Vungarala, Gopi

W

• Walters, Mike
• Wealth Management
• Webb, Jesse Lynn
• Wedgewood Properties LLC
• Weiler, Jaimy
• Weller, Ron
• Wells, Russell
• WEB-Welther_Oaks_LLC
• Wesleyan Investment Foundation, Inc
• Westenbarger, Jaime
• White, Lorraine
• Wiemer, Ronald
• Wood, Michael and Legacy Planning & Associates
• Wood, Michael John
• Woodard, Jennifer
• Woodbridge Mortgage Investment Fund 1, LLC
• Woodbridge Mortgage Investment Fund 2, LLC
• Woodbridge Mortgage Investment Fund 3, LLC
• Woodbridge Mortgage Investment Fund 3A, LLC
• Woodbridge Mortgage Investment Fund 4, LLC
• Woodbridge Structured Funding, LLC
• Woodcrest Investments LLC
• Woodshed Agency, LLC
• Wozniak, Gary
• Wright, Philip

X

Y

• Young, Jason
• Yowell, Jeremy

Z

• Zack, Douglas
• Zayti, Mark
• Zuvan Technologies, Inc.