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Search Criteria: Begin Date "02-02-2011" End Date "02-28-2011"
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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
James Sammons,
Preacher'S Investment Brokers,
Preacher'S Auto Detail
February 04, 2011 Temporary Order Of Prohibition 0900036
Paul Miller,
7 West Partners L.L.C.,
Southern Media L.L.C.
February 04, 2011 Notice Of Hearing 1000291
Hedge Fund Strategies Inc. February 07, 2011 Notice Of Hearing 1000467
Larry Lavoice February 07, 2011 Consent Agreement 1000140
America'S Best Financial Services Inc.,
Richard Scholl
February 07, 2011 Consent Order 0600400
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
F.P. 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
G.H.P. 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,
G.E.I. Brokerage Inc.
February 28, 2011 Notice Of Hearing 1000279
Thomas P. Fitzgerald February 28, 2011 Order Of Dismissal 0900515
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