Official Government Website
Administrative Actions (go back)

Securities

General

Bogus Brewing Inc. d/b/a Boise Brewing
Order of Exemption/Crowdfunding - 02/03/2017 (2017-7-02)
Bright Flash Development Inc.
Order of Exemption/Crowdfunding - 08/14/2014 (2014-7-04)
Exercise Institute Inc.
Order of Exemption/Crowdfunding - 10/28/2014 (2014-7-05)
GDE Corp. d/b/a Uniburr
Order of Exemption/Crowdfunding - 11/12/2014 (2014-7-06)
GdF Suez SA
Order Waiving Condition of Exemption 30-14-202(21) - 06/03/2010 (2010-7-16)
Gem State Angel Fund
Order of Exemption/Crowdfunding - 05/31/2016 (2016-7-03)
Idaho's Bounty Co-op, Inc.
Order of Exemption/Crowdfunding - 06/11/2015 (2015-7-05)
OTCQX Best Market
Order Designating a Recognized Securities Manual - 11/08/2016 (2016-7-03)
Registration Exemption for a Transaction In a Note, Bond, Debenture or Other Evidence Of Indebtedness Secured by a Mortgage or Other Security Agreement
General Order - 06/17/2005 (2005-7-19)
Registration Exemption for Transactions Between Financial Professionals and/or Clients Displaced as a Result of Hurricane Katrina
General Order - 09/16/2005 (2005-7-16)
Regulation A Tier 2
Order for Notice Filing of Regulation A Tier 2 Securities - 09/11/2015 (2015-7-09)
Treasure Valley Angel Fund, LLC
Order of Exemption/Crowdfunding - 01/20/2012 (2012-7-02)

Enforcement

Allegis Investment Advisors, LLC
Agreement and Order - 05/22/2017 (2016-7-01)
Avalon Equity Group, Inc.
Agreement and Order - 03/18/2019 (2017-7-15-R)
Banc of America Securities, LLC; Banc of America Investment Services, Inc.
Administrative Consent Order - 06/09/2009 (2009-7-13)
Bankers Life and Casualty Company; BLC Financial Services, Inc.
Consent Order to Cease and Desist - 09/06/2012 (2012-7-10)
Batten (James A.)
Agreement and Order - 02/22/2008 (2007-7-16)
Beacon Rock Investment Advisors, LLC; Feik (Adam Gregory)
Agreement and Order - 10/31/2013 (2011-7-19)
Bear, Stearns and Co. Inc.
Administrative Consent Order - 09/26/2003 (2003-7-18)
Brainard (James); Coventry LLC; Copper Creek LLC
Agreement and Order (amended) - 2/26/2013 (2010-7-17)
Brocker (Jenifer)
Agreement and Order - 08/11/2003 (2002-7-35)
Brookes Ventures, LLC d/b/a Aulterra International; Dandurand (Kim Armond)
Agreement and Order - 07/18/2016 (2014-7-07)
Brooks (Raymond Eugene)
Agreement and Order - 12/10/2018 (2017-7-15-O)
Browne (Jay R.)
Agreement and Order - 10/20/2003 (2003-7-28)
Budwee (Richard M. Jr.); Budwee Financial Planning Services, Inc.
Agreement and Order - 05/28/2004 (2003-7-45)
Bullock (Eric Francisco)
Agreement and Order - 09/19/2018 (2017-7-15-I)
C&C Capital, LLC; Longson (Chad E.); Christensen (McCord)
Agreement and Order - 05/20/2010 (2010-7-13)
Cache Private Capital Diversified Fund LLC
Agreement and Order - 01/18/2017 (2015-7-03)
Caisse (Scott Alan)
Cease and Desist Order - 08/04/2004 (2004-7-10)
Capital Financial Group, Inc.
Agreement and Order - 04/24/2006 (2006-7-07)
CitiGroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc.
Administrative Consent Order - 09/08/2003 (2003-7-30)
Citigroup Global Markets Inc.
Administrative Consent Order - 07/13/2015 (2015-7-06)
Citigroup Global Markets, Inc.
Administrative Consent Order - 06/18/2009 (2009-7-07)
Conestoga Settlement Trust; Conestoga Settlement Services, LLC; Conestoga International, LLC
Agreement and Order - 07/23/2018 (2017-7-17)
Consolidated Wealth Holdings, Inc.; Spalding (John); Osborne (Deanna); Osborne (Scott)
Agreement and Order - 12/21/2015 (2015-7-02)
Covino (Peter Carmine, III)
Consent Order of Suspension - 05/30/2014 (2013-7-15)Order Denying Applications for Registration, and Notice of Hearing - 01/28/2014 (2013-7-15)
Credit Suisse First Boston LLC f/k/a Credit Suisse First Boston Corporation
Administrative Consent Order - 09/12/2003 (2003-7-22)
Crook (Douglas William)
Agreement and Order - 10/22/2018 (2017-7-15-K)
Deaton (Mark)
Agreement and Order - 08/24/2005 (2005-7-14)
Densmore (Anna M.)
Agreement and Order - 05/31/2013 (2011-7-11A)
Densmore Financial Group, Inc.; Densmore (Allan H.)
Agreement and Order - 04/15/2011 (2010-7-04)
Depew (Jay); Tradewind Investments
Agreement and Order - 07/07/2017 (2016-7-05)
Deutsche Bank Securities Inc.
Consent Order - 04/08/2010 (2010-7-09)
Deutsche Bank Securities, Inc
Administrative Consent Order - 07/15/2005 (2005-7-11)
DJM Enterprises; Team Concepts, L.P.; Team Builders, L.P.; Huffman (Michael); Underwood (Jeffrey D.), et al
Agreement and Order 01/27/2005 (2004-7-21)
E*Trade Securities LLC
Administrative Consent Order - 09/21/2012 (2012-7-12)
Eaton (Bruce B.); Stocknet, LLC
Consent Order To Cease and Desist - 12/11/2006 (2006-7-43)
Ecostructure Corporation a/k/a Ecostructure Financial; Ecostructure Capital, LLC; Winmark, Inc.; Winstein (Mark); and their agents and representatives
Agreement and Order - 02/05/2009 (2007-7-26)
Elison (Andrew Delos)
Agreement and Order - 12/09/2003 (2003-7-27)
Ellis (Stephen T.)
Order Denying Application for Investment Adviser Registration, and Notice of Opportunity for a Hearing - 02/12/2004 (2003-7-43)
EMI Sun Village, Inc; Sun Village Juan Dolio, Inc.; Sun Village Juan Dolio Associates,LLC
Consent Order To Cease and Desist - 07/16/2007 (2007-7-13)
Fairchild (David A.)
Agreement and Order - 06/27/2007 (2007-7-08)
Family Solution, Inc. (The) d/b/a NutriFun International; Thompson (R. Wayne)
Agreement and Order - 10/16/2003 (2002-7-28)
Fintegra, LLC
Consent Order - 07/02/2012 (2011-7-08)Order imposing Penalties and Notice of Opportunity for Hearing - 04/12/2012 (2011-7-08)
Front Row Tickets a/k/a Front Row Events operating as Frontrowevents.com; Pittarelli (Anthony); Tamara (Sam); Pilling (Robert); and their agents and representatives.
Cease and Desist Order - 08/21/2006 (2006-7-29)
Garden State Securities, Inc.
Agreement and Order - 12/22/2017 (2016-7-07)
George (Daniel Ray)
Agreement and Order - 11/01/2018 (2017-7-15-P)
Gidley (David A.)
Agreement and Order - 10/16/2003 (2003-7-29)
Gold Mountain Management LLC; Bied (Gregory Alan)
Agreement and Order - 06/29/2010 (2010-7-05)
Gold Mountain Management LLC; Bied (Gregorry Alyn) f/k/a Bied (Gregory Alan)
Agreement and Order - 04/20/2015 (2014-7-08)
Goldman Sachs & Co.
Administrative Consent Order - 04/27/2010 (2010-7-11)
Goldman, Sachs & Co.
Administrative Consent Order - 08/25/2003 (2003-7-21)
Gordon Bolster Advisors LLC; (Bolster) Gordon Lee
Agreement and Order - 02/21/2018 (2017-7-18)
Gray (Delbert W)
Agreement and Order of Summary Suspension - 01/29/2003 (2003-7-06)
Grigorieff (Bill John)
Agreement and Order - 04/26/2018 (2017-7-17-A)
Hallmark Investments Inc.
-Order Denying Application For Registration And Notice Of Opportunity For Hearing - 05/04/2017 (2017-7-08)
Harrison Investments, LLC; Densmore Financial Group, Inc.; Densmore (Allan H.)
Agreement and Order - 04/15/2011 (2010-7-02)
Hegemony Partners, LP; Interfund Capital Corp.; Hepworth (David D.)
Agreement and Order - 12/03/2009 (2009-7-21)
Helgeson (James Daniel)
Agreement and Order - 09/28/2018 (2017-7-15-J)
Hofhines (Bradley Kay)
Agreement and Order - 11/06/2018 (2017-7-17-D)
Holm (Douglas Paul)
Agreement and Order - 06/21/2011 (2011-7-03)
Hopkins Financial Services, Inc.
Agreement and Order - 01/05/2012 (2009-7-03)
Hughes (Gorden); Hughes Investment Group, Inc.
Agreement and Order - 07/31/2017 (2017-7-11)
Idaho Real Estate Solutions LLC
Agreement and Order - 08/16/2007 (2007-7-25)
IFM Humanitarian Fund LLC, formerly an Idaho Limited Liability Company; Mitchell (Keith Eugene)
Order to Cease and Desist and Imposing Sanctions against Respondents and Notice of Opportunity for a Hearing - 06/04/2003 (2002-7-26)
Impact, Inc.; Impact Net Worth; Impact America; Impact-America.com; Impact Lending; Impact Corporate; Impact Net Worth, LLC; Catledge (James B.)
Consent Order To Cease and Desist - 07/19/2007 (2007-7-14)
Investments Eternal; Eagle International Ministries; Black (Dale R.); Black (Paula)
Agreement and Order - 01/12/2005 (2004-7-16)
J.P. Morgan Securities, Inc.
Administrative Consent Order - 09/02/2003 (2003-7-25)
John Thomas Financial; Molinaro (Michael R.); Lorenzo (Gregg C.)
Agreement and Order - 07/16/2009 (2008-7-11)
Johnson (Ronald W.)
Agreement and Order - 05/24/2004 (2004-7-04)
JPMorgan Chase & Co.
Administrative Consent Order - 07/30/2009 (2009-7-20)
Karel (Vondean Renee)
Vacate Order of Summary Suspension of Broker-Dealer Agent Registration - 07/24/2007 (2005-7-18)Idaho Supreme Court Decision - 06/27/2007 (2005-7-18)District Court Decision - 05/16/2006 (2005-7-18)Hearing Officers Decisions - 10/19/2005 (2005-7-18)Order of Summary Suspension of Broker Dealer Agent Registration - 06/09/2005 (2005-7-18)
Kern (Robert E.)
Consent Order of Conditional Broker-Dealer Agent Registration - 09/06/2012 (2012-7-09)
Kornfeld (Barry Michael); First Financial Tax Group
Agreement and Order - 04/03/2018 (2017-7-15-C)
Lehman Brothers, Inc.
Administrative Consent Order - 09/08/2003 (2003-7-23)
Leland Energy, Inc.
Agreement and Order - 06/21/2013 (2012-7-04B)
Lifelong Investment Management Services LLC; Lee (Eric)
Agreement and Order - 02/23/2017 (2017-7-03)
Litster (Jeremy)
Agreement and Order - 07/22/2013 (2013-7-08)
LIV Management, LLC
Agreement and Order - 03/19/2013 (2013-7-02)
Lost Rivers Hospital District d/b/a Lost Rivers Medical Center; Tibbitts (Steve); Burroughs (Kathy); Van Etten (Cary); Vaden (Bob); Lagomarsino (Ann); Jensen (Warren); Pacheco (Debbie); Drussell (Sandra)
Agreement and Order - 04/11/2003 (2003-7-09)
LPL Financial LLC
Consent Order - 12/21/2015 (2015-7-10)
LPL Financial LLC
Consent Order - 12/31/2018 (2018-7-03)
Matheson (Daniel J.)
Agreement and Order - 12/10/2018 (2017-7-15-M)
McDonald Investments, Inc.
Agreement and Order - 10/23/2003 (2003-7-01)
McIntosh (W.M. "Bill")
Consent Order to Cease and Desist - 10/20/2010 (2010-7-01)
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Consent Order - 06/18/2009 (2009-7-14)
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Consent Order - 12/29/2011 (2011-7-17)
Millennial Financial Group, Inc.; Mackey (Tyree); King (Jeremy); Miner (Pat G.)
Consent Order signed by Pat G. Miner - 09/30/2008 (2007-7-35)
Morgan Asset Management, Inc.; Morgan Keegan & Company
Administrative Consent Order - 09/19/2012 (2012-7-05)
Morgan Stanley DW Inc.
Agreement and Order - 02/07/2006 (2005-7-30)
Morgan Stanley & Co. Incorporated
Administrative Consent Order - 05/05/2010 (2010-7-07)
Morgan Stanley & Co., Incorporated
Administrative Consent Order - 09/02/2003 (2003-7-20)
Multi-Financial Securities Corporation; Batten (James A.); Lodge (James E.)
Agreement and Order - 06/07/2004 (2002-7-17)
Niece (Richard C.); Gardner (Philip); Seascape Management Co., LLC; First Security Investor Services, Inc.; Van Kasper LLC
Agreement and Order - 09/27/2005 (2005-7-27)
Niece (Richard C.); Gardner (Philip); Seascape Management Co., LLC; Wells Fargo Securities LLC
Agreement and Order - 10/27/2005 (2005-7-29)
Palmer (Daren L.); Trigon Inc.
Consent Order to Cease and Desist and Acknowledgement - 01/27/2009 (2009-7-02)
Pennaluna and Company
Agreement and Order - 04/01/2013 (2013-7-01)
Preston (Timothy Fred)
Agreement and Order - 03/30/2004 (2003-7-40)
Primary Enterprises, Inc. d/b/a Low Book Auto Sales; Crane (Howard A.)
Settlement Agreement and Order - 07/29/2014 (2010-7-22)
ProEquities, Inc.
Consent Order - 09/24/2012 (2012-7-13)
Profits Plus Capital Management, LLC
Agreement and Order - 01/18/2013 (2010-7-20)
Ray (Doyle G.); Financial Consulting Incorporated
Agreement and Order - 09/03/2013 (2010-7-08)
Raymond James & Associates, Inc.; Raymond James Financial Services, Inc.
Administrative Consent Order - 10/03/2011 (2011-7-15)
RBC Capital Markets Corp.
Administrative Consent Order - 07/14/2009 (2009-7-15)
RBC Capital Markets, LLC
Administrative Consent Order - 01/17/2014 (2013-7-10)
Roberts (Douglas S.)
Agreement and Order - 12/17/2013 (2013-7-08A)
Roberts (Teddy L.)
Agreement and Order - 06/12/2017 (2017-7-09)
Rodgers (Trecia D.) d/b/a Rodgers Financial Services
Agreement and Order - 01/16/2008 (2007-7-38)
Royal Wealth Management, Inc. d/b/a Northstar Capital; Royal (Brian M.)
Agreement and Order - 12/27/2012 (2011-7-11)
Russ Trading Inc.; Russo (Nicolas Jr.); Cactus Partners LP.
Agreement and Order - 05/19/2017 (2017-7-10)
Schiess (Gary)
Agreement and Order - 01/29/2004 (2003-7-38)
SeaQuest Holdings LLC; Covino (Vince)
Agreement and Order - 03/17/2017 (2017-7-05)
Set Advisors LLC
Agreement and Order - 07/28/2008 (2007-7-39)
Shaw (Michael RW) a/k/a Michael R. Shaw d/b/a Michael Shaw Ministries and d/b/a MSM Ministries,
Consent Order To Cease and Desist - 10/12/2006 (2006-7-24)
Simon (Peter A.) d/b/a Financial Planning Solutions
Consent Order To Cease And Desist - 01/04/2010 (2009-7-26)
Simpson (Mark Cole); Simpson Hughes Financial LLC
Agreement and Order - 04/27/2015 (2013-7-14)
Smiley (Jack Lee); Iraqi Investment (The)
Summary Cease and Desist Order and Notice - 06/02/2005 (2005-7-15)
Smith (Paul Horton, Sr.)
Agreement and Order - 11/13/2008 (2008-7-10)
Sonic Universal Investment Club d/b/a sonic.universal.com; Wilder (Daryl A.); and their agents and representatives
Consent Order to Cease and Desist - 05/09/2003 (2003-7-02)
Spears (Mary F)
Agreement and Order - 06/14/2005 (2005-7-01)
Spencer (Karl Kent) d/b/a Yes Funding
Consent Order to Cease and Desist - 06/27/2011 (2011-7-02)
Stone (James C.) d/b/a JCS Advisory
Consent Order To Cease and Desist - 05/27/2010 (2010-7-14)
Straight Line Investment Group LLC; Davis (Melissa); Papin (Jerry A., Jr.)
Agreement and Order - 02/08/2018 (2017-7-13)
Strategic Capital Alternatives, LLC
Agreement and Order - 07/05/2012 (2012-7-04)
Sun Valley Advisors, Inc.; Jessen (Neil M.)
Agreement and Order - 04/03/2017 (2017-7-07)
Thomas Weisel Partners, LLC
Administrative Consent Order - 05/24/2005 (2005-7-10)
Tolman (Rulon Lee)
Agreement and Order - 03/22/2016 (2015-7-02-B)
Turner (Shane Michael), an individual, and Network Financial Services, LLC operating as Network Investments
Cease and Desist Order - 04/18/2006 (2006-7-14)
TWH Annuities & Insurance Agency, Inc.
Agreement and Order - 10/22/2018 (2017-7-15-L)
U.S. Bancorp Piper Jaffray Inc.
Administrative Consent Order - 09/18/2003 (2003-7-24)
UBS Securities LLC; UBS Financial Services, Inc.
Administrative Consent Order - 04/27/2010 (2010-7-10)
UBS Warburg LLC; UBS PaineWebber, Inc.
Administrative Consent Order - 08/22/2003 (2003-7-19)
UCI Wealth Advisors LLC; Higgins (Travis)
Agreement and Order - 09/13/2016 (2015-7-03)
Ultimate Holdings Corporation; Rieser (William R.)
Agreement and Order - 05/03/2019 (2018-7-01)
UVEST Financial Services Group, Inc.
Consent Order - 02/05/2013 (2013-7-04)
Wachovia Capital Markets, LLC
Findings of Fact Conclusions of Law Consent Order - 05/10/2007 (2007-7-18)
Wachovia Securities, LLC; Wachovia Capital Markets, LLC
Administrative Consent Order - 06/22/2009 (2009-7-22)
Wade (Randall Martin); First Wall Street Corporation
Agreement and Order - 06/16/2006 (2006-7-22)
Walker (Timothy Ray)
Agreement and Order - 10/15/2018 (2017-7-15-Q)
Ward (Jerry), individually and Jerry Ward d/b/a Med-Life
Consent Order to Cease and Desist - 06/22/2009 (2009-7-11)
Watts (Walter Wesley)
Agreement and Order - 03/17/2010 (2009-7-25)
Whiting (Kim)
Agreement and Order - 01/29/2004 (2003-7-39)
Williams (Kelvin Barth); Assurance Financial, Inc.
Agreement and Order - 06/08/2004 (2003-7-10)
Woodbridge Mortgage Investment
Consent Order To Cease And Desist - 05/02/2018 (2017-7-15)
World Group Securities, Inc.; Schiess (Gary); Whiting (Kim)
Agreement and Order - 01/29/2004 (2003-7-31)
www.5yearbond.com; Revell (Benjamin)
Cease and Desist Order - 12/13/2005 (2005-7-32)