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Search Criteria: Begin Date "08-01-2009" End Date "08-31-2009"
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Name of Respondent(s) Date Type of Action File Number
Lavance Carson,
Unicorn Communications Inc.
August 03, 2009 Temporary Order Of Prohibition 0900126
Associated Capital Advance L.L.C.,
Sandy Hoffman
August 04, 2009 Consent Order 0900171
Donald W. Kiley August 04, 2009 Consent Order Of Withdrawal 0900075
J & N Associates Illinois Inc.,
Junji Yamamoto,
Naoko Yamamoto
August 06, 2009 Notice Of Hearing 0700177
L.G. Investment Advisors L.L.C. August 11, 2009 Consent Order Of Fine 0900067
Sitka Pacific Capital Management L.L.C. August 13, 2009 Consent Order Of Dismissal 0900058
Blake Anthony,
Blake Anthony Inc.,
Solution Consulting Group Services Inc.,
Angela T. Freeman
August 14, 2009 Temporary Order Of Prohibition 0900113
David F. Brochu August 14, 2009 Consent Order Of Dismissal 0900079
Worldbanc Financial Group Inc.,
Gray Shelton
August 14, 2009 Order Of Prohibition 0800054
Toney Leora,
Newbanc Commercial Group Inc.
August 14, 2009 Order Of Prohibition 0800605
Brian T. Williamson,
Here To Help Products Inc.
August 18, 2009 Notice Of Hearing 0900291
Paul R. Quinn,
Paul R. Quinn And Associates
August 18, 2009 Temporary Order Of Prohibition & Suspension 0900220
Windham Securities Inc. August 19, 2009 Order Of Cancellation 0900094
Windham Securities Inc. August 19, 2009 Order Of Dismissal 0900094
Jason R. Hyatt,
Jay Johnson,
Hyatt Johnson Capital L.L.C.
August 20, 2009 Temporary Order Of Prohibition 0600601
Russell H. Swenson,
05914 Inc.
August 20, 2009 Temporary Order Of Prohibition 0800504
Tai Chi Pham August 20, 2009 Order Of Prohibition 0900227
Business Brokers Of America,
Bilal Khaliq
August 21, 2009 Order 0700326
London Life Financial August 21, 2009 Order Of Prohibition 0800609
Kevin Gray,
Silvershore Investment Group
August 26, 2009 Order Of Prohibition 0800031
Hinsdale Associates Inc. August 28, 2009 Consent Order Of Fine 0700458
Anthony Pritchard August 31, 2009 Temporary Order Of Prohibition 0700502
George N. Stokas August 31, 2009 Temporary Order Of Prohibition 0900273
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