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Search Criteria: Begin Date "07-01-2011" End Date "07-31-2011"
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Name of Respondent(s) Date Type of Action File Number
Eugene Morrissette,
G.M. Enterprises
July 01, 2011 Order Of Prohibition 1000256
Genadi Yagodayev,
Rockford Funding Group L.L.C
July 01, 2011 Temporary Order Of Prohibition 1000073
Mark L. Borst,
Nicolas Hindman,
Mel Krumdick,
Todd Dyer,
Midwest Farmland Limited Partnership,
Midwest Farmland Management Corporation,
Midwest Farmland Acquisitions,
American Farmland Partners Corporation,
Agricultural Network Corporation
July 06, 2011 Temporary Order Of Prohibition 1000325
George Dragel July 07, 2011 Notice Of Hearing 1100016
Robert R. Petersen,
First U.S. Equities Inc.,
First Federal Equities Inc.
July 08, 2011 Consent Order To Continue Temporary 0900498
Lawrence I. Goldstein July 12, 2011 Consent Order Of Withdrawal 1100065
Peter V. Eliades July 13, 2011 Notice Of Hearing 1100262
Stephen Aquilino July 13, 2011 Notice Of Hearing 1100232
Putnam Energy L.L.C. July 14, 2011 Consent Order Of Prohibition 1100199
Christos Fotiadis July 15, 2011 Order To Vacate 1000180
Ashton Garnett Securities L.L.C July 18, 2011 Corrected Notice Of Hearing 1100075
Capital Development Group L.L.C.,
Eag Capital Holdings Inc.,
Alex Field,
Gary Fishkin,
Edward Renko
July 18, 2011 Second Amended Notice Of Hearing 0900017
Lombardi & Co Inc. July 18, 2011 Corrected Notice Of Hearing 1100066
Jerry Isaacson,
Barry Isaacson Freezer Products L.L.C.,
Target Foods L.L.C.
July 21, 2011 Notice Of Hearing 1000202
Matthew Sapaula,
Matthew Sapaula Inc.
July 21, 2011 Temporary Order Of Prohibition 0900415
Richard A. Cavileer July 21, 2011 Consent Order Of Withdrawal 1100064
The Wunderkind Group L.L.C,
Raymond P. Wu,
Rebecca P. Wu
July 21, 2011 Order Of Prohibition 0900424
Kph/Invest Inc. July 26, 2011 Notice Of Hearing 1100046
M.H. Investments L.L.C. July 26, 2011 Notice Of Hearing 1100042
James Parker,
Connectvve.Com,
Connectwe.Inc.
July 27, 2011 Consent Order Of Prohibition 1000417
Sequoia Group Inc.,
Michael R. Kimmelman
July 27, 2011 Fourth Amended Notice Of Hearing 1000376
Sequoia Group Inc.,
Michael R. Kimmelinan
July 27, 2011 Fourth Amended Notice Of Hearing 1000404
The Maxim Group L.L.C. July 28, 2011 Consent Order 0800557
Cashel Programs July 29, 2011 Order Of Prohibition 1100228
Thomas F. Utley July 29, 2011 Order Of Prohibition 0900461
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