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Search Criteria: Begin Date "12-01-2012" End Date "12-31-2012"
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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
E.K.N. Financial Services Inc. December 18, 2012 Order Of Cancellation 1200345
Hakim A. Donadelle December 18, 2012 Amended Notice Of Hearing 1200359
U.S.A. Tax & Insurance Services Inc.,
D/B/A American Investment Services
December 19, 2012 Consent Order Of Fine 1200247
Prosper L.P.T.G.,
Limited Private Trade Group L.P.T.G.,
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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