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Search Criteria: Begin Date "08-01-2012" End Date "08-31-2012"
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Name of Respondent(s) Date Type of Action File Number
Cecil Allen Watkins,
Housing Resources Center Of Indiana Inc.
August 01, 2012 Consent Order 0900237
Steve Axelbaum,
Rosalie Barrett,
Brian Bucher,
Astoria Gardens & Rehab Center L.L.C.,
The Investment Group,
Astoria Gardens L.L.C.
August 06, 2012 Order Of Prohibition 1100445
Hlm Securities,
Inc
August 08, 2012 Consent Order Of Dismissal 1200084
Rudolf L. Molnar August 08, 2012 Consent Order Of Withdrawal 1200133
Peter Richard Bukowski August 10, 2012 Order Of Dismissal 1200200
Charles Stephen Williams August 13, 2012 Order Of Dismissal 1200216
Jose M. Lopez,
Silvano C. Ramirez,
Milagros D.S.J.B. L.L.C.
August 14, 2012 Temporary Order Of Prohibition 1000465
Michael R. Roeser & Associates,
D/B/A Bedford Financial Group Inc.
August 14, 2012 Notice Of Hearing 1200236
Monica Hernandez August 14, 2012 Temporary Order Of Prohibition 1200221
Birkelbach Investment Securities Inc,
August 16, 2012 Order Of Cancellation 1200237
U.S.A. Tax & Insurance,
D/B/A American Investment Services
August 20, 2012 Notice Of Hearing 1200247
James Michael Mirenda August 22, 2012 Notice Of Hearing 1200280
Ryan Seth Shaw August 22, 2012 Notice Of Hearing 1200281
Andrey V. Tkatchenko August 24, 2012 Notice Of Hearing 1200285
Kevin Charles Mcgirr,
Mcgirr Financial Services
August 27, 2012 Consent Order 1000052
Stifel Nicolaus & Company Inc. August 29, 2012 Consent Order 0900025
Stifel Nicolaus & Company Inc. August 29, 2012 Notice Of Hearing 0900025
Michael G. Murray August 30, 2012 Order Of Dismissal 1200196
Daniel J. Russell August 31, 2012 Notice Of Hearing 1000448
Michael Dean Farnsworth August 31, 2012 Order Of Dismissal 1200175
Stephen C. Browere,
Stephens Capital Management Inc.
August 31, 2012 Notice Of Hearing 1000024
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