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Search Criteria: Begin Date "04-01-2011" End Date "04-30-2011"
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Name of Respondent(s) Date Type of Action File Number
Gary Carter Jr.,
Believer'S Two Inc.,
Cheetah Machines Inc.,
Gary Carter Sr.
April 01, 2011 Temporary Order Of Prohibition 1100006
Udell W. Matthews,
Matthews Logistics L.L.C.
April 04, 2011 Notice Of Hearing 0900255
Christos Fotiados April 07, 2011 Order Of Prohibition 1000180
Angelo Zenez April 08, 2011 Order Of Dismissal 1100098
Darryl Antonio Johnson April 08, 2011 Order Of Dismissal 1100102
Diane Glatfelter,
K2 Unlimited Inc.,
Robert S. Anderson,
E-Trust Clearing House
April 08, 2011 Third Amended Notice Of Hearing 1000050
George Edward Langlois April 08, 2011 Order Of Dismissal 1100133
Gerald V. Mccadd April 08, 2011 Order Of Dismissal 1100174
Gregory Arthur Pfaff April 08, 2011 Order Of Dismissal 1100126
Kimberly Sheri Smith April 08, 2011 Order Of Dismissal 1100149
Lisandro Gutierrez April 08, 2011 Order Of Dismissal 1100082
Michael Joseph Hovanec April 08, 2011 Order Of Dismissal 1000470
Michelle W. Starks April 08, 2011 Order Of Dismissal 1100137
Neville B. Allen April 08, 2011 Order Of Dismissal 1100115
Prince Joseph Manjooran April 08, 2011 Order Of Dismissal 1100170
Scott Christopher Loidl April 08, 2011 Order Of Dismissal 1100168
Spencer Elliott Williams April 08, 2011 Order Of Dismissal 1100111
Stephen Corley Carver April 08, 2011 Order Of Dismissal 1100125
Swift Financial Services April 08, 2011 Temporary Order Of Prohibition 1000455
Thomas John Hindes April 08, 2011 Order Of Dismissal 1100122
Debra Jo Otlewis April 08, 2011 Order Of Dismissal 1100142
John Eugene Roe April 08, 2011 Order Of Dismissal 1100150
Randall Jean Davis April 08, 2011 Order Of Dismissal 1100105
Susan Lynn Wolfe April 08, 2011 Order Of Dismissal 1100132
Jonathan Michael Fiorito April 08, 2011 Order Of Dismissal 1100138
George Douglas Bates April 11, 2011 Order Of Dismissal 1100087
Gregory Leo Schroer April 11, 2011 Order Of Dismissal 1100090
Jason Nicholas Slezak April 11, 2011 Order Of Dismissal 1100120
Kenneth Norman Young April 11, 2011 Order Of Dismissal 1100124
Marsha Maureen Peterson April 11, 2011 Order Of Dismissal 1100113
Spyglass Equity Systems Inc.,
Flatiron Systems L.L.C.
April 11, 2011 Order Of Prohibition 0900145
Terry Wayne Hansard April 11, 2011 Order Of Dismissal 1100152
Ryan J. Pierce April 11, 2011 Order Of Dismissal 1100085
Robert C. Bevis,
Tooth Bright Inc.
April 11, 2011 Order Of Prohibition 1000237
David Sargent,
A/K/A Smooth D. Styles Jr.,
D/B/A The Elite Construction Group
April 13, 2011 Temporary Order Of Prohibition 1000070
Randal James Gabaldon April 13, 2011 Order Of Dismissal 1100134
Tina Marie Adams April 13, 2011 Order Of Dismissal 1100129
F.P. Financial Services Inc.,
D/B/A Guidant Wealth Advisors
April 14, 2011 Consent Order Of Fine 1000460
Inverness Securities L.L.C. April 14, 2011 Consent Order Of Prohibition 1000116
Newbury Street Capital April 14, 2011 Consent Order Of Fine 1000307
David L. Hopkins April 15, 2011 Temporary Order Of Prohibition 0800270
Jason Bradley Schwieder April 15, 2011 Order Of Dismissal 1100139
Steven Kent April 15, 2011 Order Of Dismissal 1100051
Kery S. Hutner April 19, 2011 Corrected Notice Of Hearing 1100194
Michael Leslie Broadus April 19, 2011 Order Of Dismissal 1100178
Aurora Sportsmen'S Club April 20, 2011 Notice Of Hearing 0800123
Aurora Sportsmen'S Club April 20, 2011 Consent Order 0800123
Shearer Sampson & Associates April 20, 2011 Order Of Prohibition 1100191
Timothy John Roth April 20, 2011 Order Of Prohibition 1100183
Royal Alliance Associates Inc.,
Mark J. Baratl,
Marcus M. Carbajal,
Dirk C. Salberg
April 22, 2011 Amended Notice Of Hearing 0800047
Stephen Matthew Weber April 27, 2011 Order Of Dismissal 1100157
John T. Kelly,
Carrowmore Builders
April 29, 2011 Consent Order Of Prohibition 0900500
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