ADMINISTRATIVE ACTIONS SEARCH
Search Criteria: Begin Date "02-02-2012" End Date "02-28-2012"
| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Philip W. Elizondo, Denise M. Elizondo, Lincoln Square Group, Llc |
February 06, 2012 | Consent Order | 1000453 |
| Exceptional Investment Inc., Peter Guzman, Jimmy Rivera. |
February 07, 2012 | Order Of Prohibition | 0500621 |
| Jeffrey A. Mullins | February 07, 2012 | Notice Of Hearing | 1200025 |
| Christopher Varlesi, D/B/A Gold Coast Futures And Forex |
February 08, 2012 | Consent Order Of Prohibition | 1100358 |
| Christopher Varlesi, D/B/A Gold Coast Futures And Forex. |
February 08, 2012 | Notice Of Hearing | 1100358 |
| Edward Louis Schainker | February 10, 2012 | Consent Order | 0900049 |
| Merrill Lynch Pierce Fenner & Smith Incorporated | February 10, 2012 | Consent Order | 0900049 |
| Lawrence Y. Lee | February 15, 2012 | Order Of Revocation | 1100484 |
| Consolidated Wealth Holdings, Inc., Consolidated Wealth Management, Llc, John Spalding, Laura Spalding |
February 21, 2012 | Notice Of Hearing | 0800509 |
| Gustavo A Ruiz | February 23, 2012 | Order Of Dismissal | 1100378 |
| Hubert Stalling | February 23, 2012 | Order Of Dismissal | 1100367 |
| Joseph P. Rivera | February 28, 2012 | Consent Order Of Withdrawal | 1100495 |
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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