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Search Criteria: Begin Date "12-01-2010" End Date "12-31-2010"
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Name of Respondent(s) Date Type of Action File Number
Sharath M. Sury December 01, 2010 Consent Order Of Withdraw 1000093
T.M.F.S-Harrisburg L.L.C.,
D/B/A The Mutual Fund Store
December 01, 2010 Consent Order Of Fine 1000200
Sequoia Group Inc.,
Michael T. Kimmelman
December 02, 2010 Summary Order To Suspend Registration 1000376
United Nationwide L.L.C. December 02, 2010 Temporary Order Of Prohibition 1000295
Sequoia Group Inc.,
Michael T. Kimmelman
December 02, 2010 Summary Order To Suspend Registration 1000404
Edward L. Moskop Financial Services Moskop & Associates Inc. December 03, 2010 Temporary Order Of Prohibition 1000443
Warren K. Steffen December 03, 2010 Temporary Order Of Prohibition 1000406
Kenn A. Hugos December 10, 2010 Notice Of Hearing 1000410
S.P. Trader,
A/K/A S.P. Trader Fund,
A/K/A S.P. Trade Investments Capital Ltd.
December 10, 2010 Order Of Prohibition 0900173
Alan J. Nerad December 13, 2010 Amended Notice Of Hearing 1000197
Century Capital Group December 15, 2010 Order Of Prohibition 1000343
R.G.N. Investment Group Inc.,
Robert G. Nelson
December 15, 2010 Order Of Prohibition 1000394
Rockport Brokers Service December 15, 2010 Order Of Prohibition 1000369
George W. Velissaris December 16, 2010 Order Of Prohibition 0900376
Hedge Fund Strategies Inc. December 16, 2010 Temporary Order Of Prohibition 1000467
James Parker,
Connectwe.Com,
Connectwe Inc.
December 16, 2010 Notice Of Hearing 1000417
Donn William Coppens,
Adam William Coppens,
Shirley Ann Coppens,
A/K/A Shirley Ann Snyder,
William Lyle Snyder,
W.F.A. Access Ltd,
All Doing Business As:,
World-Financial-Access,
Gateway Horizons Inc.,
E. Mini Holding Corp.,
Tamba,
Empowerment-08,
Vitron,
Quantum,
Sereno,
Vytron,
Barclay,
Priority 130,
First Line,
Kwik Cycle,
Ums
December 17, 2010 Order Of Prohibition 0900136
Sequoia Group Inc.,
Michael T. Kimmelman
December 17, 2010 Notice Of Hearing 1000404
Sequoia Group Inc.,
Michael T. Kimmelman
December 17, 2010 Notice Of Hearing 1000376
Tom M. Smith,
Source Dynamics Inc.
December 20, 2010 Consent Order 0900380
Citigroup Global Markets Inc. December 22, 2010 Consent Order 0800239
Citigroup Global Markets Inc. December 22, 2010 Notice Of Hearing 0800239
Sean F. Mescal,
A/K/A Sean F. Mescall,
Capital Street Financial L.L.C.
December 22, 2010 Order Of Prohibition 0900143
Kevin Mcphee December 23, 2010 Consent Agreement 1000250
Ken Dachman,
Central Sleep Diagnostics L.L.C.
December 29, 2010 Temporary Order Of Prohibition 1000390
Richard Ghetzler,
Ghetzler Aero-Power Corporation
December 30, 2010 Consent Order 0800185
William Martys,
I.C.G. Inc.
December 30, 2010 Order Of Prohibition 0800450
James R. Pecoraro December 30, 2010 Consent Agreement 1000402
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.

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