Skip Navigation
HomeDepartmentsSecuritiesAdministrative Actions Search

ADMINISTRATIVE ACTIONS SEARCH

Search Criteria: Begin Date "08-01-2010" End Date "08-31-2010"
Return to Search
Name of Respondent(s) Date Type of Action File Number
Namon Brown Jr.,
Brown Asset Management
August 02, 2010 Temporary Order Of Prohibition 0900538
Bernardo Misseri August 02, 2010 Consent Order Of Withdrawal Of Application 1000230
Chuck A. Roberts August 04, 2010 Consent Order Of Dismissal 1000087
Frantz E. Vaneus August 04, 2010 Temporary Order Of Prohibition 1000238
Kevin O. Pritchett,
Kevin Pritchett & Associates Retirement Planning Inc.
August 04, 2010 Consent Order 0600357
Stephen G. Condos August 04, 2010 Consent Order Of Dismissal 1000086
Leroy J. Wright,
Wright Capital Partners L.L.C.
August 05, 2010 Amended Notice Of Hearing 0800485
Tom M. Smith,
Source Dynamics Inc.
August 05, 2010 Notice Of Hearing 0900380
Raymond Mcclinton,
Pencrest Corporation
August 05, 2010 Consent Order 0900453
Chi Tu Chow August 06, 2010 Consent Order Of Dismissal 1000160
G.H.P. Capital Corp. August 06, 2010 Notice Of Hearing 0900508
Jim Crofoot August 06, 2010 Order To Vacate 1000281
Richard M. Spriggs,
Giraffe Logistics L.L.C.
August 09, 2010 Temporary Order Of Prohibition 1000081
Asset Management Alliance L.L.C. August 12, 2010 Notice Of Hearing 1000281
Marcin Malarz,
Jacek Sienkiewicz,
Malarz Equity Investments L.L.C.,
Malarz Equity Investment Inc.,
Invision Investment L.L.C.
August 12, 2010 Temporary Order Of Prohibition 1000096
Stanford Group Associates August 17, 2010 Temporary Order Of Prohibition 0800594
Basalt Capital L.L.C. August 18, 2010 Order Lifting Suspension 1000129
Asset Management Alliance L.L.C. August 19, 2010 Order To Dismiss 1000281
Ephren Taylor,
City Capital Corporation,
A/K/A City Capital Corp,
Clean Sweep Holdings Group L.L.C.
August 20, 2010 Consent Order To Continue Temporary 1000196
Lawience "Lee" Loomis,
Loomis Wealth Solutions L.L.C.
August 20, 2010 Temporary Order Of Prohibition 0800437
Ernest Noy,
Evanston Business Management Group Inc.,
A/K/A Evanston Consultants Funding Group Inc.
August 23, 2010 Order Of Prohibition 0900027
Jeffery D. Hum,
The Hum Group
August 23, 2010 Order Of Prohibition 0800543
Ronald R. Kelly,
21St Sentry Technologies Inc.,
Futurecom Global Inc.
August 23, 2010 Order Of Prohibition 0900194
Walter Rockwell,
Jim Vincent A/K/A Jim Vateli,
Chicago Visitor Hospitality Club Inc.
August 23, 2010 Order Of Prohibition 0800498
American Constantine Insurance Company Limited August 24, 2010 Notice Of Hearing 1000094
Larry Lavoice August 24, 2010 Notice Of Hearing 1000140
Lincoln National Financial Group August 24, 2010 Order Of Prohibition 1000176
Mega Entertainment Group I I L.L.C.,
Alex Field,
Gary Fishkin,
Edward Renko
August 24, 2010 Amended Notice Of Hearing 1000168
Regions Financial Services,
A/K/A Lexmark Resources Inc.
August 24, 2010 Order Of Prohibition 1000220
Union Trust Credit Services August 24, 2010 Order Of Prohibition 1000241
Travis M. Oliver,
Diversified Liquid Asset Holdings L.L.C.
August 25, 2010 Notice Of Hearing 1000227
William E. Milam August 25, 2010 Notice Of Hearing 0800603
Algird M. Norkus,
Financial Update Inc.
August 27, 2010 Temporary Order Of Prohibition 1000341
Paul J. Cirigliano,
A/K/A Paul Cirano,
Panoptic Corporation
August 27, 2010 Temporary Order Of Prohibition 1000091
Asia Pacific Energy Inc. August 30, 2010 Temporary Order Of Prohibition 0900086
Computer Handholders Inc.,
D/B/A The Qinsight Group
August 30, 2010 Notice Of Hearing 1000185
Evolve Securities Inc. August 31, 2010 Notice Of Hearing 0900433
The Secretary of State, Illinois Securities Department or their information providers shall not be liable regardless of the cause or duration, for any errors, inaccuracies, omissions or untimeliness of the information, or for any delay or interruption in the transmission thereof to the user, or for any claims or losses arising therefrom. Requests for copies of Settlement Agreements and other Adminstrative Actions not posted on this website may be made by contacting the Illinois Securities Department at 217-782-2256.

Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader