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Search Criteria: Begin Date "04-01-2014" End Date "04-30-2014"
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Name of Respondent(s) Date Type of Action File Number
Blackrock Capital Investments,
Jonathan Law
April 01, 2014 Order Of Prohibition 1300409
Orin Wesley,
Advance Response Media L.L.C.
April 01, 2014 Summary Order To Cease And Desist 1200022
Frank E. Brickell April 07, 2014 Order Of Revocation 1300385
Mathew Eliscu April 07, 2014 Temporary Order Of Prohibition 1100257
David Green,
Oakdale Construction And Mgmt Inc.
April 08, 2014 Notice Of Hearing 1200143
Andrew Cordova,
James M. Price,
Brian Kingsfield,
Aero Financial,
Midamerica Partners Inc.
April 08, 2014 Notice Of Hearing 1200101
Richard Lee Van Dyke,
D/B/A Dick Van Dyke Registered Investment Adviser
April 09, 2014 Final Order 1100244
Rafah Shamsud Din Muhammed,
Collective Purchasing Conference L.L.C.
April 11, 2014 Consent Order Of Prohibition 1000441
Angela Rubbo Beckcom,
Joseph Rubbo,
Nicholas Rubbo,
Steve Dykes,
Vip Tv L.L.C.,
Anj Productions L.L.C.,
The Spongebuddy L.L.C.,
Vip Television Inc.
April 15, 2014 Consent Order 1300296
Angelo Kirby,
D/B/A Strong Arm Investments
April 16, 2014 Order Of Prohibition 1200144
Union Star April 16, 2014 Order Of Prohibition 1200276
Telexfree Inc.,
Telexfree L.L.C.,
James M. Merrill,
Carlos N. Wanzeler,
Joseph H. Craft,
Steven M. Labriola,
Faith Sloan
April 18, 2014 Temporary Order Of Prohibition 1400196
Sean Cook,
Tony Flowers Sr.,
Sam Flowers,
Liberty Trading L.P.
April 24, 2014 Order Of Prohibition 1300365
Union Star April 24, 2014 Amended Order Of Prohibition 1200276
Westgate Financial Group Inc.,
Marcus Bell,
Andrea Myers,
Micheal Larable
April 29, 2014 Order Of Prohibition 1400157
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