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Search Criteria: Begin Date "01-01-2007" End Date "01-31-2007"
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Name of Respondent(s) Date Type of Action File Number
Doley Securities L.L.C. January 03, 2007 Notice Of Hearing 0600620
James C. Ackerman January 03, 2007 Notice Of Hearing 0500259
Semper Libera January 03, 2007 Notice Of Hearing 0500325
Michael Bill January 05, 2007 Notice Of Hearing 0600377
Patricia C. Fanella January 09, 2007 Notice Of Hearing 0600367
Richard A. Wells,
Wells Financial Services
January 09, 2007 Order Of Prohibition 0600588
Thomas C. Hock January 09, 2007 Order Of Denial 0600542
Steven A. Bencivenga Jr. January 11, 2007 Notice Of Hearing 0600573
Douglas E. Loner January 16, 2007 Consent Order Of Withdrawal 0500675
Michael A. Strulson January 16, 2007 Consent Order Of Withdrawal 0600112
Richard H. Greene,
Ruttenberg & Associates,
Camelot Group Inc.,
Yucatan Resorts Inc.,
Yucatan Resorts S.A.,
Resort Holding International Inc.,
Resort Holdings International S.A.,
World Phantasy Tours Inc.,
A/K/A Majesty Travel And Viajes Majesty,
Galaxy Properties Management S.A.,
Avalon Resorts,
Michael K. Kelly
January 16, 2007 Temporary Order Of Prohibition 0300052
Geo Securities Inc. January 17, 2007 Order Of Cancellation 0600463
Leonard Ferrara,
National Labor Planning Ltd.
January 17, 2007 Notice Of Hearing 0500298
Michael Robert Vilim January 18, 2007 Amended Notice Of Hearing 0600098
Michael J. Crook,
Z Touch Systems Inc.
January 19, 2007 Consent Order 0500002
Michael J. Crook,
Z Touch Systems Inc.
January 19, 2007 Consent Order 0600051
Angelina Lazar,
Charismatic Exchange Inc.,
D/B/A Charismatic Holdings Co. Ltd.
January 26, 2007 Order Of Prohibition 0600279
Gary L. Pittsford January 26, 2007 Notice Of Hearing 0600423
The Money Doctor System,
Carl Shelton
January 29, 2007 Order To Cease And Desist 0600555
U.S.A. Properties Of Illinois Inc.,
Zia Ahmed
January 29, 2007 Temporary Order Of Prohibition 0400773
Conquest Financial Services January 30, 2007 Temporary Order Of Prohibition 0600503
Residual Income January 30, 2007 Order Of Prohibition 0600071
John Green Consulting Inc. January 30, 2007 Summary Order Of Denial 0700064
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