ADMINISTRATIVE ACTIONS SEARCH
Search Criteria: Begin Date "02-02-2011" End Date "02-28-2011"
| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| James Parker, Connectwe.Com, Connectwe Inc. |
February 04, 2011 | Consent Order To Continue Temporary | 1000417 |
| Paul Miller, 7 West Partners L.L.C., Southern Media L.L.C. |
February 04, 2011 | Consent Order To Continue Temporary | 1000291 |
| Paul Miller, 7 West Partners L.L.C., Southern Media L.L.C. |
February 04, 2011 | Notice Of Hearing | 1000291 |
| James Sammons, Preacher'S Investment Brokers, Preacher'S Auto Detail |
February 04, 2011 | Temporary Order Of Prohibition | 0900036 |
| America'S Best Financial Services Inc., Richard Scholl |
February 07, 2011 | Consent Order | 0600400 |
| Hedge Fund Strategies Inc. | February 07, 2011 | Notice Of Hearing | 1000467 |
| Larry Lavoice | February 07, 2011 | Consent Agreement | 1000140 |
| Larry Lavoice | February 08, 2011 | Order To Dismiss | 1000140 |
| United Nationwide L.L.C. | February 08, 2011 | Order Of Prohibition | 1000295 |
| Edward Schaibley | February 09, 2011 | Temporary Order Of Prohibition | 0900339 |
| Michael H. Hess, Quantum Holdings L.L.C. |
February 09, 2011 | Amended Temporary Order Of Prohibition | 1000403 |
| Bright Builders Inc. | February 10, 2011 | Order To Cease And Desist | 0800289 |
| Fp Financial Services Inc., D/B/A Guidant Wealth Advisors |
February 10, 2011 | Notice Of Hearing | 1000460 |
| James Stead Jr., Clean Technology International Corporation |
February 10, 2011 | Notice Of Hearing | 0900406 |
| Warren K. Steffen | February 10, 2011 | Order Of Prohibition | 1000406 |
| Ghp Capital Corp. | February 14, 2011 | Notice Of Hearing | 0900508 |
| Hedge Fund Strategies Inc. | February 14, 2011 | Consent Order To Continue Temporary | 1000467 |
| Robert R. Petersen, First U.S. Equities Inc., First Federal Equities Inc. |
February 14, 2011 | Notice Of Hearing | 0900498 |
| Eagle Strategies L.L.C. | February 15, 2011 | Notice Of Hearing | 1000368 |
| Spyglass Equity Systems Inc., Flatiron Systems L.L.C. |
February 15, 2011 | Temporary Order Of Prohibition | 0900145 |
| Arthur S. Miller, Asset Protection Associates |
February 16, 2011 | Amended Notice Of Hearing | 0700268 |
| Liam P. Heinz | February 22, 2011 | Corrected Order Of Denial | 1000367 |
| Mark Borst | February 23, 2011 | Order Of Prohibition | 1000325 |
| Richard J. Heath | February 23, 2011 | Notice Of Hearing | 1000242 |
| Joseph P. Mcgivney, Leslie J. Wnukowski, Edwin Koziol D/B/A J.P.M. Inc, Unique Strategies Inc., Hedge Strategies Inc., Just Short Inc., J.P.M Options Inc. |
February 25, 2011 | Consent Order Of Prohibition | 0600457 |
| Dragolijub Giljen | February 28, 2011 | Order Of Prohibition | 0900219 |
| Edward J. Murray | February 28, 2011 | Consent Order Of Prohibition | 0900387 |
| Edward J. Murray | February 28, 2011 | Notice Of Hearing | 0900387 |
| Norman Goldstein, Gei Brokerage Inc. |
February 28, 2011 | Notice Of Hearing | 1000279 |
| Thomas P. Fitzgerald | February 28, 2011 | Order Of Dismissal | 0900515 |
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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