Enforcement Actions  
 
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Southlake Energy, Inc. and Pendarvis, David Mitch and Harris, David Warren 
  Notice of Hearing [1/25/13 @ 10:00 a.m.] on David Harris’ Motion to Dismiss for Lack of Jurisdiction    Filed: 12/28/2012
  David Harris' Motion to Dismiss for Lack of Jurisdiction [without exhibits]    Filed: 12/27/2012
E*Trade Securities, LLC [ARS] 
  Consent Order    Filed: 12/21/2012
Portison Energy, Inc. and Harrison, Rob 
  Final Order to Cease and Desist    Filed: 12/20/2012
Maxim Global Republic, LLC and Alvarado, Gabe 
  Final Order to Cease and Desist    Filed: 12/18/2012
Accelerated Benefits Corp. and Romine, William W. (Bill) and American Financial Associates 
  Conservator's Report for September through November 2012    Filed: 12/14/2012
  Notice of Hearing [1/18/13 @ 9:00 a.m.] on Application for Conservator's Fees and Expenses for September through November 2012 and Application for Attorney Fees for September through November 2012    Filed: 12/14/2012
  HTM Conservator, LLC’s Application for Order Directing Payment of Policy Benefits [Hearing 1/11/13 @ 9:00 a.m. Judge Thomas E. Prince]    Filed: 12/5/2012
RAF Operating, LLC fka Big Oil, LLC 
  ODS' Application for Order Enforcing Administrative Subpoena and Authority in Support (RAF Operating, LLC fka Big Oil, LLC)    Filed: 11/27/2012
2001 Trinity Fund, LLC and Arrowood, Robert C. 
  First Amended Answer of Defendant Robert Arrowood    Filed: 11/20/2012
Dyer, Matthew Lynn [CRD 2426515] 
  Order Barring from Registration and from Association with a Broker-Dealer and/or Investment Adviser    Filed: 11/20/2012
2001 Trinity Fund, LLC and Arrowood, Robert C. 
  Answer [L. Win Holbrook, Trustee of 2001 Trinity Fund, LLC]    Filed: 11/13/2012
Schubert and Associates and Schubert, Marsha Kay and Schubert, Richard L. 
  Receiver's Accounting for October 2012    Filed: 11/8/2012
2001 Trinity Fund, LLC and Arrowood, Robert C. 
  Defendants' Answer    Filed: 11/7/2012
Portison Energy, Inc. and Harrison, Rob 
  Order to Cease and Desist and Notice of Opportunity for Hearing; Notice of Service on the Administrator and Affidavit of Compliance    Filed: 11/5/2012
Dyer, Matthew Lynn [CRD 2426515] 
  Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing on Enforcement Division Recommendation    Filed: 10/31/2012
Hobbs, Ray Karl and Domestic Development Co. 
  Final Order to Cease and Desist as to Domestic Develoopment Co., DDC O&G Corp., and Energy Revenue America, LLC    Filed: 10/31/2012
John Johanning, Inc. and Johanning, John 
  Order Revoking Registrations    Filed: 10/31/2012
McKeever, William D. [CRD 2243382] and Wells Fargo Advisors, LLC [CRD 19616] 
  Consent Order and Agreement    Filed: 10/31/2012
Maxim Global Republic, LLC and Alvarado, Gabe 
  Notice of Service on the Administrator and Affidavit of Compliance; Order to Cease and Desist and Notice of Opportunity for Hearin    Filed: 10/30/2012
Geary, Keith Douglas and Geary Securities, Inc. fka Capital West Securities and Frager, Norman  
  Norman Frager’s Withdrawal of Petitions of Appeals    Filed: 10/26/2012
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