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Search Criteria: Begin Date "01-01-2011" End Date "01-31-2011"
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Name of Respondent(s) Date Type of Action File Number
Edward L. Moskop,
Financial Services Moskop & Associates Inc.
January 03, 2011 Order Of Prohibition 1000443
Lucher Holloway,
It'S Clean U.S.A. L.L.C.,
It'S Clean U.S.A. Limited
January 04, 2011 Notice Of Hearing 0800575
Kevin Mcphee January 05, 2011 Order To Dismiss 1000250
James R. Pecoraro January 07, 2011 Order To Dismiss 1000402
Charles Schwab & Co. Inc.,
Charles Schwab Investment Management Inc.
January 10, 2011 Notice Of Hearing 0800574
William R. Colston January 10, 2011 Consent Agreement 1000388
Charles Schwab & Co. Inc.,
Charles Schwab Investment Management Inc.
January 11, 2011 Consent Order 0800574
William R. Colston January 11, 2011 Order To Dismiss 1000388
Ryan N. Shubin January 12, 2011 Consent Agreement 1000251
Ryan N. Shubin January 13, 2011 Order To Dismiss 1000251
Jarid A. Brown January 14, 2011 Consent Order 1000097
Royal Alliance Associates Inc.,
Mark J. Barati,
Marcus M. Carbajal,
Dirk C. Salberg
January 18, 2011 Notice Of Hearing 0800047
Stewart International Consultants Ltd,
Patricia A. Stewart
January 19, 2011 Notice Of Hearing 0600290
Screen Media Technology Inc.,
James R. Schuler
January 19, 2011 Consent Order 0700031
George Dragel January 21, 2011 Temporary Order Of Prohibition & Suspension 1100016
G.Z. Gourmet Food And Beverage Inc.,
R. Richard Saxby
January 24, 2011 Temporary Order Of Prohibition 0800531
Groupe 369 Corp. January 25, 2011 Amended Notice Of Hearing 0900370
Peter Anthony Mazzara January 26, 2011 Summary Order Of Prohibition 0700300
Christos Fotiados January 27, 2011 Temporary Order Of Prohibition 1000180
Ron Elting,
Ox Fmancial Group
January 28, 2011 Temporary Order Of Prohibition 0900544
Sequoia Group Inc.,
Michael T. Kimmelman
January 28, 2011 Amended Notice Of Hearing 1000376
Sequoia Group Inc.,
Michael T Kimmelman
January 28, 2011 Amended Notice Of Hearing 1000404
Cecil Allen Watkins,
Housing Resources Center Of Indiana Inc.
January 31, 2011 Notice Of Hearing 0900237
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