DIGITAL BROADCAST CORPORATION | | | investor protection violation | 2006 | VA-SEC | $6,000 |
COMTEL, INC. | | | investor protection violation | 2007 | VA-SEC | $10,000 |
UBS FINANCIAL SERVICES, INC. | UBS | financial services | investor protection violation | 2007 | VA-SEC | $100,000 |
CORNERSTONE MINISTRIES | | | investor protection violation | 2007 | VA-SEC | $5,000 |
COMMONWEALTH CHURCH FINANCE INC. | | | investor protection violation | 2007 | VA-SEC | $78,000 |
REBEL HOLIDAY | | | investor protection violation | 2007 | VA-SEC | $110,000 |
FASHION TECHNOLOGY VENTURES | | | investor protection violation | 2007 | VA-SEC | $125,000 |
CHILDREN OF AMERICA, INC. | | | investor protection violation | 2007 | VA-SEC | $6,000 |
REGAL NAILS, LLC | | | investor protection violation | 2007 | VA-SEC | $21,000 |
FIRST GEORGETOWN SECURITIES INC. | | | investor protection violation | 2007 | VA-SEC | $22,500 |
THEODORE J. HOGAN & ASSOCIATES | | | investor protection violation | 2007 | VA-SEC | $53,117 |
TROPICAL SMOOTHIE ET AL. | | | investor protection violation | 2008 | VA-SEC | $26,000 |
C & D MANAGEMENT COMPANY | | | investor protection violation | 2008 | VA-SEC | $15,000 |
McKean County 3 Well, LLP, | | | investor protection violation | 2008 | VA-SEC | $10,000 |
L-O-T Development Wells, LLP | | | investor protection violation | 2008 | VA-SEC | $20,000 |
enTerra Seven, LLP | | | investor protection violation | 2008 | VA-SEC | $20,000 |
KAT-5-2, LLP | | | investor protection violation | 2008 | VA-SEC | $20,000 |
KAT-5, LLP | | | investor protection violation | 2008 | VA-SEC | $30,000 |
Great Oklahoma Oil Deal, LLP | | | investor protection violation | 2008 | VA-SEC | $50,000 |
Pennsylvania 3 Well Development, LLP | | | investor protection violation | 2008 | VA-SEC | $105,000 |
ENTERRA ENERGY, LLC | | | investor protection violation | 2008 | VA-SEC | $255,000 |
SAXBY'S COFFEE, INC. | | | investor protection violation | 2008 | VA-SEC | $14,000 |
BEYOND JUICE, INC. | | | investor protection violation | 2008 | VA-SEC | $150,000 |
H. BECK, INC. | | | investor protection violation | 2008 | VA-SEC | $60,000 |
AMERIPRISE FINANCIAL SERVICES | Ameriprise Financial | financial services | investor protection violation | 2008 | VA-SEC | $780,000 |
FIRM GRIP BUSINESS MANAGEMENT | | | investor protection violation | 2008 | VA-SEC | $70,000 |
DA-VI NAILS INTERNATIONAL | | | investor protection violation | 2008 | VA-SEC | $9,250 |
GREYSTONE CAPITAL | | | investor protection violation | 2008 | VA-SEC | $15,000 |
King Lombardi Acquisitions, Inc. d/b/a VR Business Brokers | | | investor protection violation | 2008 | VA-SEC | $10,000 |
CHANCELLORSVILLE FINANCING | | | investor protection violation | 2008 | VA-SEC | $140,000 |
DECKER EQUITIES, LP | | | investor protection violation | 2008 | VA-SEC | $205,000 |
CITIGROUP GLOBAL MARKETS | Citigroup | financial services | investor protection violation | 2008 | VA-SEC | $22,000 |
JTH TAX, INC. D/B/A LIBERTY TAX SERVICE | | | investor protection violation | 2008 | VA-SEC | $10,000 |
FROOTS FRANCHISING COMPANIES | | | investor protection violation | 2009 | VA-SEC | $6,000 |
EnStyle Wedding Designs International, LLC | | | investor protection violation | 2009 | VA-SEC | $50,000 |
EASTCORP BUSINESS SERVICES | | | investor protection violation | 2009 | VA-SEC | $17,500 |
GRISWOLD SPECIAL CARE, INC. | | | investor protection violation | 2009 | VA-SEC | $15,000 |
NETTALON SECURITY SYSTEMS INC | | | investor protection violation | 2009 | VA-SEC | $7,200 |
ESS ENVIRONMENTAL, INC. | | | investor protection violation | 2009 | VA-SEC | $110,000 |
TENGFEI, INC. | | | investor protection violation | 2009 | VA-SEC | $33,000 |
INVESTOLOGY, INC. | | | investor protection violation | 2009 | VA-SEC | $7,000 |
Wealth Matters, Inc. | | | investor protection violation | 2009 | VA-SEC | $5,000 |
Phoenix Technologies LLC | | | investor protection violation | 2009 | VA-SEC | $30,000 |
SPA' LADI-DA FRANCHISE, INC. | | | investor protection violation | 2009 | VA-SEC | $72,928 |
Technology Communication Management, LLC | | | investor protection violation | 2009 | VA-SEC | $640,000 |
TEXAS BAR-B-Q FACTORY, ET AL. | | | investor protection violation | 2009 | VA-SEC | $8,300 |
Benefit Contract Administrators, Inc. et al. | | | investor protection violation | 2009 | VA-SEC | $11,347,906 |
LOG CABIN BBQ, LLC | | | investor protection violation | 2010 | VA-SEC | $59,216 |
THE SENIOR'S CHOICE INC. | | | investor protection violation | 2010 | VA-SEC | $17,500 |
SEDONA OIL & GAS CORPORATION | | | investor protection violation | 2010 | VA-SEC | $7,000 |
CAPITOL SECURITIES MANAGEMENT | | | investor protection violation | 2010 | VA-SEC | $15,000 |
LIFE PARTNERS, INC. | | | investor protection violation | 2010 | VA-SEC | $170,000 |
DREAM DINNERS, INC. | | | investor protection violation | 2010 | VA-SEC | $5,400 |
DOUGLAS AQUATICS, INC. | | | investor protection violation | 2010 | VA-SEC | $17,300 |
THE GLOVE LADY, LLC | | | investor protection violation | 2010 | VA-SEC | $54,472 |
PLAY N TRADE FRANCHISE, INC. | | | investor protection violation | 2010 | VA-SEC | $15,000 |
Skin Appeal Day Spa, Inc. | | | investor protection violation | 2010 | VA-SEC | $244,100 |
GREAT AMERICAN ADVISORS, INC. | | | investor protection violation | 2010 | VA-SEC | $20,000 |
Cellairis Franchise, Inc. | | | investor protection violation | 2010 | VA-SEC | $20,000 |
UBS FINANCIAL SERVICES, INC. | UBS | financial services | investor protection violation | 2010 | VA-SEC | $625,000 |
SCOTT & STRINGFELLOW LLC | | | investor protection violation | 2011 | VA-SEC | $25,000 |
SUMMIT WEALTH MANAGEMENT, LLC | | | investor protection violation | 2011 | VA-SEC | $9,350 |
FETCH! PET CARE INC. | | | investor protection violation | 2011 | VA-SEC | $7,700 |
Stratus Franchising, LLC | | | investor protection violation | 2011 | VA-SEC | $20,000 |
VERITRAX CORPORATION | | | investor protection violation | 2011 | VA-SEC | $1,550,000 |
THE BUFFALO EXTENSION LLP | | | investor protection violation | 2011 | VA-SEC | $15,000 |
TECSEC, INC. | | | investor protection violation | 2011 | VA-SEC | $5,000 |
NAI BLUESTONE REAL ESTATE | | | investor protection violation | 2011 | VA-SEC | $17,000 |
VALIANT HEALTH CARE, INC. | | | investor protection violation | 2012 | VA-SEC | $92,528 |
WINDOW WORLD, INC. | | | investor protection violation | 2012 | VA-SEC | $8,000 |
The New Dimension Group, LLC | | | investor protection violation | 2012 | VA-SEC | $11,000 |
TRIUNE, LLC | | | investor protection violation | 2012 | VA-SEC | $30,000 |
ATLANTIC SUN CONTROL, INC. | | | investor protection violation | 2013 | VA-SEC | $20,000 |
EWC FRANCHISE, LLC | | | investor protection violation | 2013 | VA-SEC | $13,000 |
TENGFEI, INC. | | | investor protection violation | 2013 | VA-SEC | $32,000 |
BRAZELTON LOAN PARTNERS | | | investor protection violation | 2013 | VA-SEC | $22,168 |
AAMCO TRANSMISSIONS, INC. | Icahn Enterprises | diversified | investor protection violation | 2013 | VA-SEC | $10,000 |
CHANELLO'S INTERNATIONAL, INC. | | | investor protection violation | 2013 | VA-SEC | $12,500 |
CAPITAL BUSINESS CONSULTANTS LLC | | | investor protection violation | 2013 | VA-SEC | $9,000 |
ALL ABOUT HONEYMOONS FRANCHISE | | | investor protection violation | 2013 | VA-SEC | $12,000 |
BROOKLYN WATER BAGEL FRANCHISE | | | investor protection violation | 2013 | VA-SEC | $6,000 |
HERITAGE FINANCIAL SYSTEMS, & | | | investor protection violation | 2013 | VA-SEC | $53,335 |
ALEXANDER PERRY CORPORATION | | | investor protection violation | 2013 | VA-SEC | $62,000 |
ANY TEST FRANCHISING, INC. | | | investor protection violation | 2013 | VA-SEC | $35,000 |
FOODNET FRANCHISING, INC. & | | | investor protection violation | 2013 | VA-SEC | $12,500 |
FINTEGRA, LLC | | | investor protection violation | 2014 | VA-SEC | $120,000 |
MULLINS INVESTMENT SERVICES | | | investor protection violation | 2014 | VA-SEC | $6,000 |
BIO-FUEL DEVELOPMENT COMPANY | | | investor protection violation | 2014 | VA-SEC | $9,300 |
INDEPENDENT FINANCIAL GROUP, LLC | | | investor protection violation | 2014 | VA-SEC | $35,000 |
PACIFIC WEST SECURITIES, INC. | | | investor protection violation | 2014 | VA-SEC | $50,000 |
URBAN BAR-B-QUE COMPANY | | | investor protection violation | 2014 | VA-SEC | $5,000 |
MIDATLANTIC IRA, LLC | | | investor protection violation | 2014 | VA-SEC | $7,500 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2014 | VA-SEC | $9,500 |
MR. OIL SAVER, LLC | | | investor protection violation | 2014 | VA-SEC | $23,000 |
Manhattan Pizza Company, LLC and Luv'nberry | | | investor protection violation | 2014 | VA-SEC | $15,000 |
J.W. KORTH & COMPANY, LP | | | investor protection violation | 2015 | VA-SEC | $10,000 |
C & C Franchising, Inc. d/b/a Jani-King of Hampton Roads | | | investor protection violation | 2015 | VA-SEC | $29,000 |
ELITE SPORTS ENTERPRISES, INC. | | | investor protection violation | 2015 | VA-SEC | $22,000 |
TMA Franchise Systems, Inc. d/b/a The Mosquito Authority | | | investor protection violation | 2015 | VA-SEC | $22,500 |
Sherri's Fun Foods, Inc. d/b/a Sherri's Crab Cakes | | | investor protection violation | 2015 | VA-SEC | $5,000 |
BLUE LIGHTNING ENTERPRISES INC. | | | investor protection violation | 2015 | VA-SEC | $5,000 |