ADMINISTRATIVE ACTIONS SEARCH
Search Criteria: Begin Date "12-01-2012" End Date "12-31-2012"
| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Trinity Capital Management L.L.C., Marshall Brent Zabka |
December 03, 2012 | Order Of Cancellation | 1200075 |
| First Calvary Financial Inc., Richard Chaunqi Wang |
December 04, 2012 | Order Of Dismissal | 1100212 |
| Steven Joseph Hold | December 04, 2012 | Notice Of Hearing | 1200343 |
| Strategic Research Network Inc., Brian Marchant Calsyn |
December 06, 2012 | Summary Order To Cease And Desist | 1100226 |
| Mark Joseph Gillis | December 07, 2012 | Notice Of Hearing | 1200371 |
| David Lerner | December 10, 2012 | Notice Of Hearing | 1200420 |
| James H. Stanley Jr., Upper Quadrants Capital Management L.L.C. |
December 11, 2012 | Order | 1000187 |
| Hlm Securities Inc., Joseph James Hennessy |
December 14, 2012 | Summary Order Of Suspension | 1200326 |
| Daniel J. Russell | December 17, 2012 | Order Of Prohibition And Fine | 1000448 |
| Ekn Financial Services Inc. | December 18, 2012 | Order Of Cancellation | 1200345 |
| Hakim A. Donadelle | December 18, 2012 | Amended Notice Of Hearing | 1200359 |
| Usa Tax & Insurance Services Inc., D.B.A American Investment Services |
December 19, 2012 | Consent Order Of Fine | 1200247 |
| Prosper Lptg, Limited Private Trade Group, Lptg, John Morgan Homan |
December 19, 2012 | Consent Order | 1200319 |
| Scott J. Smith | December 26, 2012 | Notice Of Hearing | 1200430 |
| Jan Ernest Helen | December 27, 2012 | Corrected Notice Of Hearing | 1200422 |
| Loyal Financial Group, Loyal Financial Private Investments, Sergij Lyazkowskij |
December 27, 2012 | Order Of Prohibition | 1200413 |
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Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader
Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader