ADMINISTRATIVE ACTIONS SEARCH
Search Criteria: Begin Date "12-01-2010" End Date "12-31-2010"
| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Sharath M. Sury | December 01, 2010 | Consent Order Of Withdraw | 1000093 |
| Tmfs-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 |
| Sp Trader, A/K/A Sp Trader Fund, A/K/A Sp 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 |
| Rgn 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, Wfa 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 |
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Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader