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Search Criteria: Begin Date "02-02-2010" End Date "02-28-2010"
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Name of Respondent(s) Date Type of Action File Number
Kareem Abdul-Jabbar,
T.E.N. Enterprises
February 03, 2010 Notice Of Hearing 0600591
A.I.R. Inc.,
Michael W. Smith
February 04, 2010 Consent Order 0900155
Martin P. Travis,
The Scarlet Group Inc.
February 04, 2010 Temporary Order Of Prohibition 0800139
Kelvin Miles Sr. February 08, 2010 Notice Of Hearing 0600641
Amvest Securities Inc. February 09, 2010 Consent Order Of Fine 0900296
Christine Fenn February 11, 2010 Consent Order 0700319
Emerson Equity Group February 17, 2010 Order Of Prohibition 0900520
Gary L. Lange February 17, 2010 Order Of Prohibition 0900181
Capital Planning Alliance Inc.,
Mathew G. Fowler
February 19, 2010 Consent Order 0100319
Michael Hendrix February 19, 2010 Order Of Prohibition 0800568
Dean Robert Bordeaux February 23, 2010 Consent Order Of Suspension 0800229
Group 369 Corp.,
David Alan Kastner,
Donald James
February 23, 2010 Temporary Order Of Prohibition 0900370
Lambert Clark Group L.L.C,
L.C.G. Global Assets Limited,
Kevin James Reed
February 23, 2010 Temporary Order Of Prohibition 0900460
Leroy J. Wright,
Wright Capital Partners L.L.C.
February 23, 2010 Temporary Order Of Prohibition 0800485
Fabio B. Herrara February 24, 2010 Notice Of Hearing 0700210
John L. Ong February 25, 2010 Corrected Notice Of Hearing 0900527
Allodial Investments Inc.,
Art A. Segura I I
February 26, 2010 Temporary Order Of Prohibition 0900519
Theodore "Ted" J. Hogan,
A/K/A Ted Kills In The Fog,
Theodore J. Hogan & Associates L.L.C.
February 26, 2010 Temporary Order Of Prohibition 0900280
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