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Search Criteria: Begin Date "02-02-2012" End Date "02-28-2012"
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Name of Respondent(s) Date Type of Action File Number
Philip W. Elizondo,
Denise M. Elizondo,
Lincoln Square Group L.L.C.
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 L.L.C.,
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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