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Search Criteria: Begin Date "04-01-2012" End Date "04-30-2012"
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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.,
Wagerweb.Com
April 30, 2012 Order To Cease And Desist 1200023
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