Skip Maine state header navigation

Agencies | Online Services | Help

Skip First Level Navigation | Skip All Navigation

Maine.gov> PFR Home > Securities Home Page > Administrative Orders Alphabetical List

Administrative Orders - Arranged Alphabetically by Category

General

INTERIM ORDER EXEMPTING CERTAIN VENTURE CAPITAL AND OTHER PRIVATE FUND ADVISORS FROM INVESTMENT ADVISOR LICENSING REQUIREMENTS

-

Fees for Furnishing Records

-

Enforcement

AGM international Inc., a/k/a Money4U.net

-

-

Acument Securities, Inc. and William M. McCarty

-

-

-

Aggressive Advertising Associates, LLC and Raymon Oxuzidis

-

Roy E. Allen

-

-

Alpha Tel-Com Inc.; American Telecommunications Company Inc.; SPA Marketing LLC; Strategic Partnership Alliance LLC; Paul S. Rubera, Jr.; Ross R. Rambach; Mark Kennison; Timothy E. Grant, Sr.; Maynard Weinberg

-

-

Aptus Technology Corporation, Hirak Biswas, Joseph Orlando and Apurba Mukherjee

-

-

Odias A. Bachelder II

-

-

Larry Robert Balliet

-

Banc of America Securities LLC and Banc of America Investment Services, Inc.

-

Bankers Life and Casualty Company and BLC Financial Services, Inc.

-

Jesse Bean

-

-

Bear, Stearns & Co. Inc., Respondent.

-

-

Warren G. Berger III

-

Douglas G. Bezio

-

-

-

-

-

-

Peter C. Bishop

-

B.I.Z. Holdings, Inc. d/b/a U.S. Metals Schlecht Group, Inc. d/b/a U.S. Metals , Arthur Schlecht, Bernard I. Zeff, Martin Jainchill, Roberta Couri

-

-

Blue Chip Marketing Group Incorporated, Cashing in on Auctions, Victor Griffin and Nancy Miller

-

-

Bodell Overcash Anderson & Co., Inc.

-

Lindon S. Brown II

-

CIT Investments, Ltd., Citrades and Josh Howard

-

-

-

-

CPFS, Inc., Pinnacle Support Systems Inc., Larry C. Nelson, Donna T. Nelson, Craig N. Salomon and Thomas Greene

-

Citigroup Global Markets Inc. (f/k/a/ Salomon Smith Barney Inc.) Respondent.

-

-

-

James L. Clifford

-

-

-

James M. Clingensmith

-

-

-

Credit Suisse First Boston LLC f/k/a/ Credit Suisse First Boston Corporation, Respondent

-

-

Credit Suisse Securities (USA) LLC. 1 Madison Avenue, 9th Floor, New York, New York 10010

-

Joseph R. Daigneault

-

Debt Free Organic Foundation and Penny Gabardi and Julie Jacobs

-

David J. Deschaine and David J. Deschaine Installations, Inc.

-

Deutsche Bank Securities Inc., Respondent.

-

-

-

Downeast Capital, Inc. and Paul Newman

-

Paul A. Dyer

-

-

E*Trade Securities LLC

-

Edward D. Jones & Co., L.P.

-

Endeavor Management Solutions, LLC and James Ward Doyle

-

-

-

-

Richard A. Foley

-

Freedom Wealth Advisors, LLC and Laurie Bachelder

-

Garden State Securities, Inc.

-

Goldman, Sachs & Co., 85 Broad St., New York, NY 10004 CRD #361

-

-

-

H. Beck, Inc.

-

Halliday Financial, LLC

-

Michael L. Hancock

-

Gary L. Hobbs

-

-

Lucian D. Hodgman

-

-

-

Hurricane Katrina (Persons Displaced Due To)

-

Imperia Invest IBC, Werner Jahnsen and Steve Baker

-

The Integrity Funds

-

InteliCloud Holdings, Inc., Tech Financial Group, Jeffrey W. Friederichs, Justin E. Ackerman (aka Justin Edwards), Chris Johnson and Jason Fox

-

-

-

-

J.P. Morgan Securities Inc., 270 Park Avenue, New York, NY 10017

-

-

J. P. Morgan Securities, LLC

-

Jesup & Lamont Securities Corp. CRD #39056

-

Aleksei Kiselev

-

-

Edward W. Kipping dba Time Traders, Time Traders Inv. Group, Time Traders Inv, Inc., "Time Traders" All Employees, Coordinators, Managers, Recruiters Daniel Costa, Jess R. Medina, Jr., Charles Tompson, John Thompson, Brian Lappan, David Rubright

-

Lehman Brothers Inc. - Respondent

-

-

LendingClub Corporation and Renaud Laplanche

-

LH Ross & Company, Inc. and Franklyn Ross Michelin

-

-

Paul A. Ligor, Jr.

-

Robert Kenneth Lindell, Jr.

-

-

-

David R. Loeser and D.R. Loeser & Co., Inc.

-

LPL Financial LLC, Respondent.

-

Chad M. Luce

-

-

Steven K. Maidlow

-

-

Malory Investments LLC Ronald Stein and Sylvia Gorohoff

-

-

Harold Walter ("DJ") Maney III, d/b/a/ Maney Enterprises, Inc.

-

-

Marketing Solutions International, Inc. and Consolidated Marketing Group, LC

-

-

Matrix Petroleum, Inc., Thomas R. Watkins, and Brock Watkins

-

-

Merrill Lynch, Pierce, Fenner & Smith Incorporated

-

-

-

Mid-Continent Oil and Gas, Inc., Steven Lee White, Casey Ladymon and Chad Willis

-

-

-

Mid-Ohio Securities Corp., Richard Desich, Thomas Gordon Cloud, Thomas Gordon Cloud Jr., Cloud & Associates Consulting, Inc., First Choice Management Services, Inc., and Gary Van Waeyenberghe

-

-

-

Morgan Asset Management, Inc., at all relevant times a wholly owned subsidiary of MK Holdings, Inc., a wholly owned subsidiary of Regions Financial Corp.; and Morgan Keegan & Co., Inc., at all relevant times a wholly owned subsidiary of Regions Financial

-

Morgan Stanley & Co., Inc. - Respondent.

-

-

-

Kevin J. Nainiger

-

New Life Corporation of America d/b/a National Community Foundation and Paul E. Richard

-

-

Nichols Investment Management & James W. Nichols

-

-

Ronald M. Nickerson

-

-

Nitro Web Hosting Services, Inc., d/b/a Compassionate Clicks, and Lawrence B. Marcus

-

-

-

-

North Atlantic Securities, L.L.C., Michael J. Dell'Olio and Associates, L.L.C. and Michael J. Dell'Olio

-

-

Option Mint, Kensington I.P. Limited, David Pearlman and Walter Johnson

-

-

-

-

Parasol Films II, Inc., Parasol Films II, LLC, Erik Baquero, Dean McDaniel, Daniel Duarte, Nicholas Melisse

-

-

-

James L. Paris Financial Services, Inc., James L. Paris and Carmen G. Paris

-

-

Stephen D. Pate

-

David Elliot L'Hoir, PayDay Today! U.S.A., Inc., and PayDay Today! U.S.A. Com, Inc.

-

-

John S. Pettigrew

-

-

Dominique D. Pinault

-

-

-

-

Paul J. Pombriant

-

-

Richard W. Preston

-

ProEquities, Inc.

-

Prosper Marketplace, Inc.

-

-

Pruco Securities Corporation

-

-

Raymond James & Associates, Inc., and Raymond James Financial Services, Inc.,

-

RBC Capital Markets Corporation

-

RBC Capital Markets, LLC

-

The Real Estate Man, LLC and Gregory P. Violette

-

-

Thomas D. Renison

-

Revere Securities LLC

-

Rosewood Energy, LLC, d/b/a Rosewood Energy, Inc., and Clement I. Ejedawe

-

-

-

Salem Advisory Group, LLC and Kevin J. Colley

-

Thomas H. Saliba and Spar Cove Associates, Inc., DBA Saliba Managed Funds

-

Saltwater Harbor Financial, LLC and Eric Simonds

-

Keith Seltzer, d/b/a KDS Funding

-

SF Investments, Inc.

-

SMI Management & Research, LLC & Mark E. Andrews

-

-

-

Ronald S. Snow

-

-

Warren C. Spencer

-

-

Startup Essentials, LLC

-

-

Stifel, Nicolaus & Company, Incorporated, CRD #793, 501 North Broadway, St. Louis, Missouri 63102

-

Gregory E. Strong

-

TD Ameritrade, Inc.

-

Hope Scharf Tengonciang and Donald Poulin

-

-

-

Thomas Weisel Partners LLC, Respondent.

-

-

Tonge Investment Services and Richard Smith Tonge

-

Trinity Consulting Services, LLC; American Certificate & Title Company; Andres Calvo; David Todd Zussman; Kevin C. Grom; Andrew L. Warden

-

-

-

-

UBS Financial Services, Inc.

-

UBS Warburg LLC, 677 Washington Boulevard, Stamford, Connecticut 06901 CRD #7654; UBS PainWebber Inc., 1285 Avenue of the Americas, New York, New York 10019 CRD #8174

-

-

U.S. BANCORP PIPER JAFFRAY INC., 800 Nicollet Mall Suite 800, Minneapolis, MN 55402 - Respondent.

-

-

UVEST Financial, Inc.

-

Van Ness Investments, LLC / Linda G. Van Ness

-

VC Direct Solutions, Carlos Palomo and Victoria L. Adenusi

-

Wachovia Capital Markets, LLC

-

Wachovia Securities, LLC and Wachovia Capital Markets, LLC

-

Web Booth Inc. a/k/a The Web Booth Corporation; Waterstones Ltd.; Future Communications Marketing Inc.; John E. Perry; Brian S. Wright; Timothy E. Grant, Sr.; Robert H. Edmunds, III

-

-

Wells Fargo Investments LLC

-

Wise Financial Marketing Solutions, LLC and iBridge Equity, LLC

-

-

Woso Energy Corporation, Osinmen E. Sunday, Oziengbe E. Williams, and Merricks J. Prudhomme, Sr.

-

-

 

Last Updated: June 27, 2018 4:38 PM