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Enforcement Actions

 

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Lane Langley
	Petition for Permanent Injunction and other Equitable Relief    Filed: 8/29/2002
	Special Appearance and Request for Enlargement of Time in Which to Answer or Plead Further [Harlan S. Pinkerton, Jr. and Fred C. Cornish]    Filed: 9/23/2002
	Answer    Filed: 11/7/2002
	Permanent Injunction    Filed: 11/7/2002

 

Larry E. Mack, an individual, and dba Southwest Income Management; Richard E. Riner, an individ
	Petition for Permanent Injunction and other Equitable Relief    Filed: 10/29/2004
	Agreement [Larry Mack]    Filed: 11/17/2004
	Final Judgment of Permanent Injunction and other Equitable Relief [Larry E. Mack]    Filed: 11/22/2004
	Entry of Appearance, Waiver of Service, and Stipulation and Consent    Filed: 11/22/2004
	Order to Cease and Desist, and Agreement [Richard E. Riner]    Filed: 12/16/2004

 

Lawton Loan Investment Corporation
	Order allowing LLIC to implement the Liquidation Plan    Filed: 12/30/2004

 

Legacy Trading, Inc., Legacy Trading Co., LLC, Mark Alan Uselton, and Stephen (Skip) Boruchin
	Order Initiating Investigation    Filed: 9/13/2006
	Order overrule Respondent Boruchin's motion to quash    Filed: 9/20/2006

 

Legacy Wealth Management, LLC [CRD 133078] and Biddy, Jasper E., IV
	Order and Agreement    Filed: 8/24/2008
	Summary Order Suspending Registrations    Filed: 5/25/2007
	Order Reinstating Registrations    Filed: 7/3/2007
	Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing on Recommendation; Second Summary Order Suspending Registrations    Filed: 7/23/2007
	Respondents' Objection to Second Summary Order Suspending Registrations and Request for Immediate Hearing    Filed: 7/27/2007
	Entry of Appearance [Patricia Labarthe]    Filed: 8/6/2007
	Order Setting Hearing on Second Summary Order    Filed: 8/8/2007
	Order Denying Motion and Continue Hearing    Filed: 9/6/2007
	Order Setting Hearing and Notice of Hearing [9/13/07 @ 10:00 a.m.]    Filed: 9/6/2007
	Order Continuing Hearing [indefinite date]    Filed: 9/13/2007
	Agreement, and Final Order    Filed: 10/10/2007
	First Amendment to Agreement    Filed: 2/14/2008

 

Life & Wealth Management and Slack, James K. and Stock-to-Cash Program and Emerging Money Corp.
	Order Suspending Registrations as to James Kenneth Slack and IMCI Advisors, LLC    Filed: 11/26/2008
	Agreement relating to Activities of Alexander Captial Markets LLC    Filed: 1/14/2009

LifeTime Capital, Inc. and H. Thomas Moran II
	Agreement, and Order to Cease and Desist    Filed: 5/6/2005