Yearly Listing | Search Indiana Secretary of State - Securities: Administrative Actions      
Administrative Actions Yearly Listing
2017
Jan  Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
FileCause NoDate IssuedRespondentsActionsEntity Types
File DLR-1710-0081 10/18/2017
JOHNSON STREET MOTORS
Complaint Dealer
File DLR-1710-0082 10/18/2017
KLASSIQUE, LLC
Complaint Dealer
File DLR-1710-0083 10/18/2017
GARY'S AUTO SALES
Complaint Dealer
File DLR-1710-0080 10/13/2017
LUCKY 7 CAR STORE, LLC
Complaint Dealer
File 170051 AC 10/13/2017
STEADFAST MORTGAGE COMPANY, LLC
DANIEL SHULTS
Final Order
Consent Order
Securities
File DLR-1709-0074... 10/6/2017
INDIANA PUBLIC AUTO AUCTION, INC.
Final Order Dealer
File DLR-1709-0076 9/14/2017
CLOVERDALE AUTO EXCHANGE
Revocation Order Dealer
File DLR-1709-0073 9/12/2017
DISCOUNTED CARS, LLC
Complaint Dealer
File DLR-1709-0074... 9/12/2017
INDIANA PUBLIC AUTO AUCTION, INC.
Complaint Dealer
File 15-0012 AC... 9/6/2017
THOMAS J. WILSON
DARREN M. NEMETH
PHILIP J. SCHREIBER
Final Order Securities
File 17-0051 AC 8/29/2017
STEADFAST MORTGAGE COMPANY, LLC
DANIEL SHULTS
Complaint Securities
File 17-0046 CA 8/24/2017
RSF SOCIAL INVESTMENT FUND, INC.
Consent Agreement
Final Order
Securities
File 17-0042 CA 8/23/2017
MARTIN FINANCIAL MANAGEMENT, INC.
Cease and Desist Securities
File DLR-1708-0072 8/16/2017
INSURE ALL INSURANCE LLC
Summary Suspension Dealer
File DLR-1708-0071 8/14/2017
PLATINUM AUTOMOTIVE, LLC
Summary Suspension Dealer
File DLR-1707-0068... 8/14/2017
TEFENLILI MOTORS
Final Order Dealer
File 17-0043 AC... 8/14/2017
MANAGED SOLUTIONS
Consent Agreement
Final Order
Securities
File 17-0044 AC... 8/14/2017
ALLEGIANCE WEALTH MANAGEMENT GROUP, LLC
Final Order Securities
File DLR-1706-0058... 8/11/2017
ENGLE ROAD AUTO
Complaint Dealer
File DLR-1708-0070 8/11/2017
CLOS AUTO, INC.
Summary Suspension Dealer
File DLR-1706-0057... 8/4/2017
FRENCH LICK AUTO
Complaint Dealer
File DLR-1707-0066... 8/4/2017
JASMINE AUTO SALES, LLC
Complaint Dealer
File DLR-1708-0069 8/2/2017
IMAGE CARS
Complaint Dealer
File DLR-1706-0064... 8/1/2017
PRINCETON AUTO PARKE
Complaint Dealer
File DLR-1706-0061... 7/24/2017
TRUCK SOURCE, INC.
Final Order Dealer
File DLR-1705-0051... 7/24/2017
CIRCLE CITY AUTO CONNECTION
Final Order Dealer
File DLR-1706-0052 7/18/2017
BOWER SALES AND SERVICE, LLC
Revocation Order Dealer
File DLR-1706-0055 7/18/2017
AZTECA AUTO SALES
Revocation Order Dealer
File DLR-1706-0056 7/18/2017
MILLENIAL AUTO GROUP, LLC
Revocation Order Dealer
File DLR-1706-0060 7/18/2017
POWELL'S MOTOR HOLDINGS
Revocation Order Dealer
File DLR-1706-0061... 7/18/2017
TRUCK SOURCE, INC.
Revocation Order Dealer
File DLR-1707-0068... 7/18/2017
TEFENLILI MOTORS
Revocation Order Dealer
File DLR-1707-0067 7/12/2017
K AUTO SALES
Complaint Dealer
File 17-0043 AC... 7/11/2017
MANAGED SOLUTIONS
Complaint Securities
File 17-0044 AC... 7/11/2017
ALLEGIANCE WEALTH MANAGEMENT GROUP, LLC
Complaint Securities
File 17-0009 CA 7/11/2017
INDY ADVISORS LLC
Complaint Securities
File 17-0040 CA 7/7/2017
TUCKER, ALBIN & ASSOCIATES INC.
Consent Agreement
Final Order
Securities
File DLR-1706-0057... 7/7/2017
FRENCH LICK AUTO
Complaint Dealer
File DLR-1703-0035... 7/6/2017
QUALITY/T.L. & A. SERVICES
Final Order Dealer
File DLR-1707-0066... 7/6/2017
JASMINE AUTO SALES, LLC
Complaint Dealer
File DLR-1706-0064... 7/3/2017
PRINCETON AUTO PARKE
Complaint Dealer
File DLR-1706-0065 7/3/2017
COUPE' DE VILLE AUTO SALES
Complaint Dealer
File DLR-1706-0063 6/30/2017
DREAMMAKERS AUTOMOTIVE, LLC
Complaint Dealer
File DLR-1706-0062 6/26/2017
DRIVE AWAY AUTO SALES
Complaint Dealer
File DLR-1706-0054... 6/26/2017
TOLLESTON AUTO SALES
Complaint Dealer
File DLR-1706-0058... 6/20/2017
ENGLE ROAD AUTO
Complaint Dealer
File DLR-1706-0059 6/20/2017
WHOLESALE KINGS, LLC
Complaint Dealer
File 17-0039 CA 6/20/2017
STEVEN M. ERWIN
Consent Agreement
Consent Order
Securities
File 17-0028 CA 6/16/2017
BROUGH INVESTMENT ADVISORS
Consent Agreement
Final Order
Securities
File DLR-1706-0054... 6/16/2017
TOLLESTON AUTO SALES
Complaint Dealer
File DLR-1706-0053 6/16/2017
A-TEAM AUTO BROKERS, LLC
Complaint Dealer
File 17-0036 CA 6/15/2017
SCOTT WAYNE CLAMPITT
Consent Agreement
Final Order
Securities
File 17-0033 CA 6/14/2017
ABOVE & BEYOND INVESTMENTS, LLC
Consent Agreement
Final Order
Securities
File 17-0030 CA 6/12/2017
APERIO WEALTH MANAGEMENT, LLC
Consent Agreement
Final Order
Securities
File 17-0032 CA 6/12/2017
PHYSICIANS WEALTH MANAGEMENT, INC.
Consent Agreement
Final Order
Securities
File 17-0026 CA 6/9/2017
MACKHOUSE CAPITAL, LLC
Consent Agreement
Final Order
Securities
File 17-0027 CA 6/8/2017
NORTH SOUTH CAPITAL, LLC
Consent Agreement
Final Order
Securities
File 17-0034 CA 6/8/2017
MCC FINANCIAL ADVISORS, LLC
Consent Agreement
Final Order
Securities
File 17-0025 CA 6/7/2017
WEALTH MANAGEMENT PARTNERS LLC
Consent Agreement
Final Order
Securities
File 17-0014 CA 6/1/2017
OLYMPIC FINANCIAL, LLC
Consent Agreement
Final Order
Securities
File 17-0016 CA 6/1/2017
SPECTRUM
Consent Agreement
Final Order
Securities
File 17-0018 CA 6/1/2017
THORNE INSURANCE AND FINANCIAL SERVICES, INC
Consent Agreement
Final Order
Securities
File 17-0007 CA 6/1/2017
CENTER FOR FINANCIAL DESIGN, INC.
Consent Agreement
Final Order
Securities
File DLR 16-0130 AC... 6/1/2017
F & Y AUTO SALES, INC.
Consent Agreement
Final Order
Dealer
File 17-0022 CA 5/31/2017
THOMAS JAY MCALLISTER
Consent Agreement
Final Order
Securities
File 17-0024 CA 5/31/2017
PRIVATE WEALTH MANAGEMENT GROUP
G.M. WILSON
Consent Agreement
Final Order
Securities
File 15-0005 SC 5/25/2017
CORPORATE I COMMUNICATIONS & TECHNOLOGY, INC.
TERRY L. PHILLIPS
Final Order Securities
File 17-0012 CA 5/23/2017
LIBERTY FINANCIAL ADVISORS, LLC
Final Order Securities
File 17-0017 CA 5/23/2017
STRONG FINANCIAL SERVICES CORPORATION
Final Order Securities
File DLR-1705-0051... 5/16/2017
CIRCLE CITY AUTO CONNECTION
Revocation Order Dealer
File DLR-1703-0036 5/4/2017
CLOS AUTO, INC.
Complaint Dealer
File DLR-1705-0047 5/4/2017
TOP CHOICE AUTO, LLC
Complaint Dealer
File DLR-1705-0048 5/4/2017
DAVIS AUTO SALES
Complaint Dealer
File DLR-1701-0013... 5/4/2017
NOEL JR. AUTO REBUILDERS & SLS
Agreed Entry Dealer
File DLR-1704-0044 5/3/2017
RTC MOTORS, LLC
Denial Order Dealer
File DLR-1701-0018... 5/3/2017
JJ & SONS AUTO SALES, LLC
Agreed Entry Dealer
File 17-0005 CA 5/2/2017
BLUE CRAB PARTNERS, LLC
Consent Agreement
Final Order
Securities
File 14-0232 SC... 5/2/2017
EMMY & IZZY, INC. D/B/A JIMMY JOHN'S
BRADLEY ROBERT WAGGONER
Final Order Securities
File 17-0002 CA 4/19/2017
LEVIATHAN FINANCIAL MANAGEMENT
STANLEY BLAKE HALL II
Consent Agreement
Final Order
Securities
File DLR-1703-0035... 4/11/2017
QUALITY/ T.L. & A. SERVICES
Complaint Dealer
File DLR-1702-0032 4/10/2017
HOOSIER CAR & TRUCK
Complaint Dealer
File DLR-1701-0013... 4/10/2017
NOEL JR AUTO REBUILDERS & SLS
Complaint Dealer
File 17-0004 CD 4/6/2017
ALLEN INVESTMENTS & MANAGEMENT, L.P.
RYAN JACOB ALLEN
Cease and Desist Securities
File DLR-1702-0030 4/4/2017
SHAVER MOTORS OF ALLEN COUNTY, INC.
Revocation Order Dealer
File DLR-1703-0037 4/3/2017
ALL AMERICAN AUTO SALES
Revocation Order Dealer
File DLR-1703-0034 3/31/2017
AAA AUTO SALVAGE
Cease and Desist Dealer
File DLR-1701-0011... 3/31/2017
MARANATHA AUTO SALES
Final Order Dealer
File DLR 16-0130 AC... 3/24/2017
F & Y AUTO SALES, INC.
Complaint Dealer
File DLR-1701-0019... 3/22/2017
INFINITY AUTOMOTIVE
Consent Agreement
Final Order
Dealer
File DLR-1701-0015... 3/21/2017
STEVE HANKINS CORVETTE SALES
Agreed Entry Dealer
File 17-0003 CA 3/21/2017
FINANCIAL CREDIT SERVICE, INC.
Consent Agreement
Final Order
Securities
File DLR-1701-0002 3/17/2017
GOODWIN AUTO
Revocation Order Dealer
File DLR-1701-0011... 3/17/2017
MARANATHA AUTO SALES
Revocation Order Dealer
File DLR-1702-0023... 3/17/2017
HAPPY AUTO SALES, LLC
Agreed Entry Dealer
File DLR-1701-0008... 3/14/2017
IPM AUTO SALES
Agreed Entry Dealer
File DLR-1701-0016... 3/14/2017
CROWN MOTOR SALES
Agreed Entry Dealer
File 16-0023 CD... 3/9/2017
PATENTSTATUS, LLC
JAMES BURNES
Final Order Securities
File DLR-1702-0027... 3/9/2017
PREMIER AUTO SALES
Final Order Dealer
File DLR-1703-0033 3/7/2017
CAPITOL MOTORS, LLC
Complaint Dealer
File DLR-1702-0027... 3/3/2017
PREMIER AUTO SALES
Revocation Order Dealer
File DLR-1702-0025... 3/3/2017
GARCIAS AUTOS, LLC
Final Order Dealer
File 16-0022 CA 3/1/2017
CHURCHILL MANAGEMENT GROUP
Consent Agreement
Final Order
Securities
File DLR 16-0090 AC... 3/1/2017
A-B AUTO
Final Order Dealer
File DLR 16-0121 DO... 2/22/2017
ED'S AUTO, LLC
Final Order Dealer
File 1500005 AC 2/22/2017
CORPORATE I COMMUNICATIONS & TECHNOLOGY, INC.
TERRY L. PHILLIPS
Complaint Securities
File DLR-1702-0025... 2/20/2017
GARCIAS AUTOS, LLC
Revocation Order Dealer
File DLR-1702-0020 2/17/2017
MILAM'S USED CARS
Complaint Dealer
File DLR-1702-0022 2/17/2017
SHARP CARS OF INDY
Complaint Dealer
File DLR-1702-0023... 2/17/2017
HAPPY AUTO SALES, LLC
Complaint Dealer
File DLR-1701-0015... 2/17/2017
STEVE HANKINS CORVETTE SALES
Complaint Dealer
File DLR-1701-0019... 2/16/2017
INFINITY AUTOMOTIVE
Complaint Dealer
File DLR-1702-0024 2/16/2017
SOUTH CENTRAL COLLISION CENTER
Complaint Dealer
File DLR-1701-0016... 2/15/2017
CROWN MOTOR SALES
Complaint Dealer
File 16-0024 CD 2/15/2017
COUCH OIL & GAS, INC.
CHARLES COUCH
KURT PORTER
STEVEN SPARKS
ROBIN CHARLET
MARK STEVENSON
CHERYL BOONE
JIM RAMSBOTTOM
Cease and Desist Securities
File DLR-1702-0014 2/10/2017
AUTO PLAZA, LLC
Complaint Dealer
File 16-0017 CA 2/7/2017
WESLEYAN INVESTMENT FOUNDATION, INC
Consent Agreement Securities
File DLR 16-0131 AC 2/7/2017
POSEY'S AUTO SALES
Agreed Entry Dealer
File DLR-1702-0021 2/2/2017
CNC AUTO, LLC
Denial Order Dealer
File DLR-1701-0017 2/1/2017
BENY'S AUTO SALES, LLC
Complaint Dealer
File DLR-1701-0018... 2/1/2017
JJ & SONS AUTO SALES, LLC
Complaint Dealer
File DLR 16-0127 DO... 1/30/2017
WABASH MOTORS, INC.
Final Order Dealer
File DLR-1701-0010 1/25/2017
FLAT OUT, INC.
Complaint Dealer
File DLR-1701-0009 1/23/2017
TILLMAN SALES, INC.
Complaint Dealer
File DLR-1701-0008... 1/23/2017
IPM AUTO SALES
Complaint Dealer
File DLR-1701-0012 1/23/2017
AGRA TRAILERS, INC.
Complaint Dealer
File 16-0020 CA 1/19/2017
NYLIFE SECURITIES LLC
Consent Agreement
Final Order
Securities
File DLR-1701-0006 1/13/2017
JOHNSON STREET MOTORS
Complaint Dealer
File DLR-1701-0001 1/9/2017
JEREMYS AUTO SALES, LLC
Complaint Dealer
File DLR 16-0126 DO... 1/9/2017
BULLDOG TOWING & AUTO PARTS, INC.
Final Order Dealer
File DLR 16-0133 RO 1/6/2017
I DON'T THINK SO
Revocation Order Dealer
File DLR-1701-0003 1/6/2017
BLUETICK AUTO SALES, LLC
Complaint Dealer
File DLR 16-0134 AC 1/5/2017
T & A AUTO SALES, LLC
Complaint Dealer

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