ADMINISTRATIVE ACTIONS SEARCH
Search Criteria: Begin Date "08-01-2011" End Date "08-31-2011"
|
Name of Respondent(s)
|
Date
|
Type of Action
|
File Number
|
| Gregory Arthur Niebler |
August 02, 2011 |
Summary Order Of Prohibition |
1000459 |
| Inaki Eguizabal |
August 02, 2011 |
Notice Of Hearing |
1100135 |
| James Raney |
August 02, 2011 |
Notice Of Hearing |
1100223 |
| Barry Patrick Mctiernan |
August 02, 2011 |
Notice Of Hearing |
1100159 |
Fran Span Global L.L.C.,
The Healthy Life Style Place Of Oak Park L.L.C.,
Physicians Wellcare Centers Of America |
August 04, 2011 |
Consent Order To Continue |
1100208 |
| Kph/Invest Inc. |
August 05, 2011 |
Amended Notice Of Hearing |
1100046 |
Genadi Yagodayev,
Rockford Funding Group L.L.C. |
August 08, 2011 |
Order Of Prohibition |
1000073 |
Michael Franks L.L.C.,
Michael Franks Alternative Fund L.L.C.,
Michael Morawski,
Frank Constant |
August 08, 2011 |
Notice Of Hearing |
0700224 |
Mark L. Borst,
Nicolas Hindman,
Mel Krumdick,
Todd Dyer,
Midwest Farmland Limited Partnership,
Midwest Farmland Managment Corporation,
Midwest Farmland Acquisitions,
American Farmland Partners Corporation,
Agricultural Network Corporation |
August 09, 2011 |
Order Of Prohibition |
1000325 |
| Steven Howard Delott |
August 10, 2011 |
Summary Order Of Prohibition |
0900272 |
U B S Securities L.L.C.,
U B S Financial Services Inc. |
August 10, 2011 |
Consent Order |
0800191 |
U B S Securities L.L.C.,
U B S Financial Services Inc. |
August 10, 2011 |
Notice Of Hearing |
0800191 |
| Ghp Capital Corp. |
August 11, 2011 |
Consent Order Of Prohibition |
0900508 |
Amston Capital L.L.C,
Stratcap L.L.C,
Christopher Green |
August 15, 2011 |
Temporary Order Of Prohibition |
1000191 |
| Kery S. Hutner |
August 24, 2011 |
Consent Order Of Withdrawal Of Application |
1I00I94 |
| James Raney |
August 26, 2011 |
Consent Order |
1100223 |
Cor Development Group Inc.,
Alberto B. Colon,
Artemio Rivera |
August 29, 2011 |
Temporary Order Of Prohibition |
0900382 |
| Luxman Trading Concepts |
August 29, 2011 |
Order Of Prohibition |
1000287 |
Mark L. Borst,
Nicolas Hindman,
Mel Krumdick,
Todd Dyer,
Midwest Farmland Limited Partnership,
Midwest Farmland Management Corporation,
Midwest Farmland Acquisitions,
American Farmland Partners Corporation,
Agricultural Network Corporation |
August 29, 2011 |
Notice Of Hearing |
1000325 |
Mohammed I. Khan,
Ink Global Consulting Inc.,
Ink Global L.L.C.,
Ink Global Capital L.L.C. |
August 31, 2011 |
Temporary Order Of Prohibition |
1000399 |
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
