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Search Criteria: Begin Date "07-01-2010" End Date "07-31-2010"
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Name of Respondent(s) Date Type of Action File Number
Walter Rockwell,
Jim Vincent A/K/A Jim Vateli,
Chicago Visitor Hospitality Club Inc.
July 02, 2010 Temporary Order Of Prohibition 0800498
William Martys,
I.C.G. Inc.
July 02, 2010 Notice Of Hearing 0800450
William K. Phillips July 02, 2010 Consent Order Of Withdrawal 1000019
Jim Crofoot,
Asset Management Alliance L.L.C.
July 06, 2010 Temporary Order Of Prohibition 1000281
Conrad A. Schwocha July 07, 2010 Consent Order 0800176
F.R.M.H L.L.C. July 07, 2010 Notice Of Hearing 0900175
Hassan Washington July 07, 2010 Notice Of Hearing 0900294
Robert R. Petersen,
First U.S. Equities Inc.,
First Federal Equities Inc.
July 08, 2010 Consent Order To Continue Temporary 0900498
Ernest Noy,
Evanston Business Management Group Inc.,
A/K/A Evanston Consultants Funding Group Inc.
July 12, 2010 Temporary Order Of Prohibition 0900027
Jerry Miller,
E.R. Urgent Care Management Co. Inc.,
E.R. Urgent Care Holdings Inc.
July 12, 2010 Notice Of Hearing 0800388
Lpl Financial Corporation,
F/K/A Linsco/Private Ledger Corporation
July 12, 2010 Consent Order 0800381
Lpl Financial Corporation,
F/K/A Linsco/Private Ledger Corporation
July 12, 2010 Notice Of Hearing 0800381
Charles H. Landwer,
Accurate Financial Group Ltd
July 13, 2010 Order Of Prohibition And Fine 0600060
Mega Entertainment Group I I L.L.C.,
Alex Field,
Gary Fishkin,
Edward Renko
July 13, 2010 Notice Of Hearing 1000168
Jeffery D. Hum,
The Hum Group
July 14, 2010 Temporary Order Of Prohibition 0800543
Fabio B. Herrera July 15, 2010 Consent Order 0700210
John Burns,
A/K/A John T. Burns I I I
July 15, 2010 Order Of Prohibition 1000153
Howard Richmond July 16, 2010 Order Of Prohibition 0900524
National Opportunities L.L.C.,
World Wide Marketing And Associates L.L.C.
July 16, 2010 Cease And Desist 1000032
American Constantine Insurance Company Limited July 21, 2010 Temporary Order Of Prohibition 1000094
Paradigm Wealth Management Inc. July 22, 2010 Consent Order Of Withdrawal 1000131
Arthur Lin,
Gloria Lin
July 23, 2010 Notice Of Hearing 1000096
Union Trust Credit Services July 23, 2010 Temporary Order Of Prohibition 1000241
Lincoln National Financial Group July 23, 2010 Temporary Order Of Prohibmon 1000176
Metlife Securities Inc. July 26, 2010 Order Of Dismissal 0500451
Metlife Securities Inc. July 27, 2010 Consent Order 0500696
Basalt Capital L.L.C. July 28, 2010 Order Of Suspension 1000129
Rosand Enterprises Inc.,
Robert R. Anderson,
Paul V. Rossetti
July 28, 2010 Temporary Order Of Prohibition 0800549
First Legacy Securities L.L.C. July 29, 2010 Corrected Order Of Revocation 1000143
Ryan N. Shubrn July 29, 2010 Notice Of Hearing 1000251
Tcadvisors Network Inc. July 29, 2010 Corrected Order Of Revocation 1000110
Senior Financial Strategies Inc.,
D/B/A Pinnacle Investment Advisers,
Thomas N. Cooper,
Susan B. Cooper
July 30, 2010 Amended Notice Of Hearing 0800064
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