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Search Criteria: Begin Date "01-01-2012" End Date "01-31-2012"
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Name of Respondent(s) Date Type of Action File Number
Blair Capital Management Corp. January 05, 2012 Notice Of Hearing 1100498
Christopher Varlesi,
D/B/A Gold Coast Futures And Forex
January 05, 2012 Temporary Order Of Prohibition 1100358
Dealer Auction Access Inc. January 05, 2012 Amended Notice Of Hearing 1000407
Alvin Joseph Boutte Jr. January 06, 2012 Consent Order 1100227
Blair Capital Management Corp. January 09, 2012 Order Of Dismissal 1100498
Royal Alliance Associates Inc.,
Marcus M. Carbajal,
Dirk C. Salberg
January 09, 2012 Consent Order Of Censure 0800047
Banc Of America Securities L.L.C.,
Banc Of America Investment Services Inc.
January 10, 2012 Consent Order 0800204
Banc Of America Securities L.L.C.,
Banc Of America Investment Services Inc.
January 10, 2012 Notice Of Hearing 0800204
Insider Real Estate Inc.,
Scanlan Realty & Investments Ltd.,
Christopher Scanlan,
Rosalee Mueller
January 11, 2012 Order Of Prohibition And Fine 0700061
Peter M. Peterson January 11, 2012 Notice Of Hearing 1100492
Insider Real Estate Inc.,
Scanlan Realty & Investments Ltd.,
Christopher Scanlan,
Rosalee Mueller
January 11, 2012 Order Of Prohibition And Fine 0700520
Big K Energy Corporation,
Big K Energy Partners One Ltd.,
Kenneth M. Kleinke
January 13, 2012 Temporary Order Of Prohibition 1100476
Cor Development Group Inc.,
Alberto B. Colon,
Artemio Rivera
January 13, 2012 Amended Notice Of Hearing 0900382
Kenneth O'Neal Griffin January 13, 2012 Notice Of Hearing 0900502
Joseph P. Rivera January 18, 2012 Notice Of Hearing 1100495
Mark Barati January 18, 2012 Final Order 0800047
Carl Moose,
Infinity Wind Technoloev N.A. L.L.C.,
Infinity Wind Technology L.L.C.
January 19, 2012 Notice Of Hearing 1100288
Elie Mellul,
A/K/A Eli Mellul,
Traders Capital. L.L.C.
January 19, 2012 Order Of Prohibition 1100008
Farmaraz "Mario" Azodinia,
Eugene C. Beyer,
Pinnacle Investment Group L.L.C.
January 19, 2012 Notice Of Hearing 1000215
Lucher Holloway,
It'S Clean U.S.A. L.L.C.,
It'S Clean U.S.A. Limited
January 20, 2012 Order Of Prohibition 0800575
Deborah Ann Wilson January 23, 2012 Order Of Dismissal 1100392
George Algirdas Kuzmickas January 23, 2012 Order Of Dismissal 1100399
Peter Anthony Mazzara,
Omni Group Partners Ltd.,
Alpha Life Holdings Ltd.
January 23, 2012 Notice Of Hearing 1100435
Reginald Loniax January 23, 2012 Order Of Dismissal 1100389
Arthur Lin January 24, 2012 Consent Order Of Prohibition And Revocation 1000096
Gloria Lin January 24, 2012 Consent Order Of Prohibition 1000096
Jerry Miller January 24, 2012 Order Of Prohibition 0800388
Raymond T. Blunk January 24, 2012 Notice Of Hearing 1100493
Richard Kelsey,
Ispottedyou.Com Inc.
January 26, 2012 Consent Order Of Prohibition 1100433
Paul Miller,
7 West Partners L.L.C.,
Southern Media L.L.C.
January 26, 2012 Consent Order Of Prohibition 1000291
Daniel Edward Sigman January 30, 2012 Order Of Dismissal 1100401
Eric Dale Grant January 30, 2012 Order Of Dismissal 1100407
Heritage Inc.,
D/B/A Heritage Deposit Brokers
January 30, 2012 Order Of Prohibition 1100254
Merrill Lynch Pierce Fenner & Smith Incorporated January 30, 2012 Notice Of Hearing 0900049
Mitchell Ray Davis January 30, 2012 Order Of Dismissal 1100396
M.G. International Consultants L.L.C.,
Humberto Martinez
January 31, 2012 Temporary Order Of Prohibition 1100489
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