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Search Criteria: Begin Date "04-01-2010" End Date "04-30-2010"
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Name of Respondent(s) Date Type of Action File Number
Arthur Lin April 01, 2010 Temporary Order Of Prohibition & Suspension 1000096
Michael C. Kizman April 01, 2010 Consent Order Of Dismissal 0900379
Christopher B. Lynn April 02, 2010 Notice Of Hearing 1000127
Francois E. Durmaz,
Robert C. Pribilski,
U.S.A. Retirement Management Services Inc.
April 02, 2010 Order Of Prohibition 0900509
John C. Cowin April 02, 2010 Notice Of Hearing 1000022
Pernell Edwards Clark April 02, 2010 Temporary Order Of Prohibition 1000156
Richard Gonski,
Domer Properties
April 02, 2010 Temporary Order Of Prohibition 0900372
Layline Capital Management L.L.C. April 05, 2010 Notice Of Hearing 1000130
Edward N. Colburn Jr April 06, 2010 Order Of Dismissal 1000017
Phil Lorezca,
X.L. Gum
April 07, 2010 Order Of Prohibition 1000002
Leroy J. Wright,
Wright Capital Partners L.L.C.
April 08, 2010 Notice Of Hearing 0800485
Universal Finance April 08, 2010 Order Of Prohibition 1000048
U.S. Filing Services April 08, 2010 Order Of Prohibition 1000068
Basalt Capital L.L.C. April 09, 2010 Notice Of Hearing 1000129
Brimberb & Co. April 09, 2010 Notice Of Hearing 1000101
D. J. St. German Co. Inc. April 09, 2010 Notice Of Hearing 1000102
First Legacy Securities L.L.C. April 09, 2010 Notice Of Hearing 1000143
Paradigm Wealth Management Inc. April 09, 2010 Notice Of Hearing 1000131
Ronald C. Kemp April 09, 2010 Consent Order Of Dismissal 0900360
Canterbury Consulting Incorporated April 12, 2010 Notice Of Hearing 1000105
Credit Hub Financial Services April 12, 2010 Order Of Prohibition 1000084
Reuters Transaction Services L.L.C. April 12, 2010 Notice Of Hearing 1000104
Robert R. Petersen,
First U.S. Equities Inc.,
First Federal Equities Inc.
April 12, 2010 Temporary Order Of Prohibition 0900498
T.D. Wealth Management Services Inc. April 12, 2010 Notice Of Hearing 1000103
Andy Kiel,
United Property Investments L.L.C.,
Phynance Ltd.
April 14, 2010 Temporary Order Of Prohibition 0900162
Logisol Inc.,
Belal K. Faruki,
Samina B. Faruki
April 14, 2010 Notice Of Hearing 0900024
Phillip Herrejon April 14, 2010 Consent Order Of Prohibition 0800576
James U. Dodge April 15, 2010 Temporary Order Of Prohibition 1000063
John T. Kelly,
Michael P. Courtney,
Carrowmore Builders A
April 15, 2010 Notice Of Hearing 0900500
Advance Equities Inc. April 16, 2010 Notice Of Hearing 1000109
Capital Guardian L.L.C. April 16, 2010 Notice Of Hearing 1000122
Chris Zander,
Amy Zander,
Zander'S Old Town Brewery Inc.,
Zander Management L.L.C.
April 16, 2010 Order Of Prohibition 0900470
Tcadvisors Network Inc. April 16, 2010 Notice Of Hearing 1000110
Brian Bodie,
Mortgage Desk Inc.,
Duke Lebeau Inc.,
Prestar Financial
April 19, 2010 Notice Of Hearing 0800052
City State Financial April 19, 2010 Order Of Prohibition 1000079
Internet Speedway Inc. April 19, 2010 Summary Order To Cease And Desist 0900471
Richard J. Osty,
A/K/A Ostapowicz,
Ronald Moore,
R.O. Financial Group L.L.C.,
R.K.M Inc.,
Heritage Community Homes Inc.,
Building Design System L.L.C.
April 19, 2010 Notice Of Hearing 0900540
Turboatm.Com,
Bo Small
April 19, 2010 Summary Order To Cease And Desist 1000144
James L. Paris Jr April 20, 2010 Notice Of Hearing 1000029
The Lease Coach,
Dale Willerton
April 20, 2010 Summary Order To Cease And Desist 1000085
Michael G. Brcik Jr.,
Mary Weber,
A/K/A Mary Brcik,
Full Moon Development L.L.C.
April 21, 2010 Temporary Order Of Prohibition 0900335
Logisol Inc.,
Belal K. Faruki,
Samina B. Faruki
April 22, 2010 Consent Order To Continue Temporary Order 0900024
Primevest Financial Services Inc. April 22, 2010 Consent Order 0900257
Stephen G. Condos April 22, 2010 Notice Of Hearing 1000086
Fabian Cesar Seyller April 26, 2010 Notice Of Hearing 1000036
Christopher B. Lynn April 27, 2010 Consent Order Of Fine 1000127
Chuck A. Roberts April 28, 2010 Amended Notice Of Hearing 1000087
H.J.M. International Trading Ltd.,
Humberto J. Martinez
April 29, 2010 Temporary Order Of Prohibition 0800510
Dal Santo Capital Management L.L.C.,
The Lucid Fund L.L.C.,
Robert Dal Santo,
Samuel Dal Santo,
David Dal Santo
April 30, 2010 Consent Order 0700029
David J. Hernandez,
Nextstep Financial Serv Ices Inc.
April 30, 2010 Temporary Order Of Prohibition 0900043
Gary M. Lumpp,
Mind'S I Productions
April 30, 2010 Notice Of Hearing 0900354
John L. Ong April 30, 2010 Consent Order Of Dismissal 0900527
Merrill Lynch Pierce Fenner & Smith Incorporated April 30, 2010 Consent Order 0800256
Merrill Lynch Pierce Fenner & Smith Incorporated April 30, 2010 Notice Of Hearing 0800256
National Opportunities L.L.C.,
World Wide Marketing And Associates L.L.C.
April 30, 2010 Summary Order To Cease And Desist 1000032
Pernell Edwards Clark April 30, 2010 Notice Of Hearing 1000156
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