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Search Criteria: Begin Date "12-01-2011" End Date "12-31-2011"
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Name of Respondent(s) Date Type of Action File Number
Gail Denise Dugas December 01, 2011 Order Of Dismissal 1100423
Robert Iver Kelley Jr December 01, 2011 Order Of Dismissal 1100380
William Frederick Baumann December 01, 2011 Order Of Dismissal 1100429
Alvin Joseph Boutte Jr. December 04, 2011 Amended Notice Of Hearing 1100227
Elie Mellul,
A/K/A Eli Mellul,
Traders Capital L.L.C.
December 06, 2011 Temporary Order Of Prohibition 1100008
William J. Murphy December 08, 2011 Notice Of Hearing 1100460
Lawrence Y. Lee,
L.Y.L. Investment Corporation
December 09, 2011 Amended Notice Of Hearing 1000145
Lawrence Y. Lee December 09, 2011 Notice Of Hearing 1100484
Mark Wallace Johnson December 09, 2011 Order Of Dismissal 1100403
Michael Joseph Stahl Jr. December 09, 2011 Order Of Dismissal 1100424
Peter V. Eliades December 09, 2011 Consent Order Of Dismissal 1100262
Richard Kelsey,
Ispottedyou.Com Inc.
December 09, 2011 Notice Of Hearing 1100433
Jordan M Jacobs December 09, 2011 Order Of Dismissal 1100374
Darcey L. Folkerts,
Robert Mcavoy,
Full Circle Strategies Ltd.
December 12, 2011 Notice Of Hearing 1000038
Dustin P. Shafer December 13, 2011 Order Of Dismissal 1100370
Michael Harbert December 13, 2011 Amended Notice Of Hearing 1100310
Salvador Almonte December 14, 2011 Consent Order Of Withdrawal Of Application 1100270
Associated Financial Services Inc. December 15, 2011 Order Of Cancellation 1100488
Chadwick Creech,
Yuwen Creech,
Streamones F.S. L.L.C.,
Streamone L.L.C.
December 16, 2011 Notice Of Hearing 1100294
Dealer Auction Access Inc. December 16, 2011 Corrected Notice Of Hearing 1000407
Dennis P Karau December 16, 2011 Order Of Dismissal 1100385
Douglas Wayne Jenkins December 16, 2011 Order Of Dismissal 1100366
Jerome Patrick Sweeney I I December 16, 2011 Order Of Dismissal 1100372
Keith Terrell Johnson December 16, 2011 Order Of Dismissal 1100408
Ray Pacific Global Assets L.P.,
Ray Pacific Asset Management L.L.C.,
Ray Krittibas
December 16, 2011 Order Of Prohibition 1100241
Peter Alan Maren December 19, 2011 Order Of Dismissal 1100430
Carl G. Moose,
Infinity Wind Teclinology N.A. L.L.C.,
Infinity Wind Technology L.L.C.
December 20, 2011 Temporary Order Of Prohibition 1100288
Eric Anthony Foster December 21, 2011 Consent Order Of Censure 0800557
Fran Span Global L.L.C.,
The Healthy Life Style Place Of Oak Park L.L.C.,
Physicians Wellcare Centers Of America
December 21, 2011 Consent Order Of Prohibition 1100208
John Sikaras December 21, 2011 Order Of Dismissal 1100381
Peter Anthony Mazzara,
Omni Group Partners,
Alpha Life Holdings Ltd.
December 21, 2011 Temporary Order Of Prohibition 1100435
Heritage Inc.,
D/B/A Heritage Deposit Brokers
December 27, 2011 Temporary Order Of Prohibition 1100254
John C. Nori December 27, 2011 Consent Order Of Denial 1100277
Jonathan Michael Riogoni December 28, 2011 Order Of Dismissal 1100365
Upper Quadrants Capital Management L.L.C.,
James H. Stanley Jr.
December 28, 2011 Notice Of Hearing 1000187
Bradley P. Schieber December 29, 2011 Order Of Prohibition 1100021
Corneal Science Corporation,
Dr. Allan Touch
December 29, 2011 Final Order 0800210
Dragon Fire Solutions,
Andrew V. Dungey
December 29, 2011 Notice Of Hearing 0800566
Lawrence A. Kreindel December 29, 2011 Order Of Dismissal 1100384
Steven W. Salutric December 30, 2011 Temporary Order Of Prohibition 0900541
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