ADMINISTRATIVE ACTIONS SEARCH
Search Criteria: Begin Date "04-01-2012" End Date "04-30-2012"
| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Kenneth O'Neal Griffin | April 02, 2012 | Order Of Prohibition And Fine | 0900502 |
| Kenneth Paul Vincenzo, Sr, Agnes R. Vincenzo, Vincenzo Investments, Inc. |
April 02, 2012 | Notice Of Hearing | 1100188 |
| Douglas Adams, Emerson Capital Corp. |
April 04, 2012 | Notice Of Hearing | 1200024 |
| Raymond T. Blunk | April 09, 2012 | Order Of Revocation | 1100493 |
| Peter M. Peterson | April 18, 2012 | Order Of Revocation | 1100492 |
| Brant Rushton, Melissa Rushton, Summit Trading & Capital L.L.C. |
April 19, 2012 | Temporary Order Of Prohibition | 1100459 |
| Malleswara Rao Tuthika | April 20, 2012 | Order Of Prohibition | 1200056 |
| Brauvin Securities Inc. | April 23, 2012 | Notice Of Hearing | 1200079 |
| Hedge Fund Strategies, Inc. |
April 23, 2012 | Consent Order | 1000467 |
| Hlm Securities, Inc. |
April 23, 2012 | Notice Of Hearing | 1200084 |
| Ryan C. Gold | April 24, 2012 | Consent Order Of Dismissal | 1200040 |
| Timothy Cerny | April 24, 2012 | Consent Order Of Withdrawal | 1200055 |
| Katryn Ann Winter | April 25, 2012 | Notice Of Hearing | 1200103 |
| Pulse Trading, Inc. |
April 25, 2012 | Notice Of Hearing | 1200082 |
| Douglas F. Kaiser | April 26, 2012 | Notice Of Hearing | 1200121 |
| Frank J. Cilento | April 26, 2012 | Consent Order Of Withdrawal | 1200069 |
| Michael Harbert | April 26, 2012 | Order Of Dismissal | 1100310 |
| Kevin Gerald Kolz | April 27, 2012 | Temporary Order Of Prohibition & Suspension | 1200135 |
| Karen S. Revelle, Brett K. Revelle, Joseph J. Revelle, Revelle Resources Inc. |
April 30, 2012 | Temporary Order Of Prohibition | 1000216 |
| Life Partners, Inc., Life Partners Holdings, Inc. |
April 30, 2012 | Temporary Order Of Prohibition | 1100020 |
| Save America, Inc. And Wagerweb.Com |
April 30, 2012 | Order To Cease And Desist | 1200023 |
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Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader
Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader