ADMINISTRATIVE ACTIONS SEARCH
Search Criteria: Begin Date "07-01-2012" End Date "07-31-2012"
| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| A.T.G. Securities L.L.C. | July 09, 2012 | Consent Order Of Dismissal | 1200090 |
| Credit Suisse Securities (Usa) L L C | July 10, 2012 | Consent Order | 0900085 |
| Credit Suisse Securities (Usa) L L C | July 10, 2012 | Notice Of Hearing | 0900085 |
| Andrew Michael Allison | July 11, 2012 | Order Of Dismissal | 1200206 |
| Darcey L. Folkerts, Robert Mcavoy, Full Circle Strategies, Ltd, Mega Cash Flow Investments, Inc |
July 11, 2012 | Order Of Prohibition And Fine | 1000038 |
| John Joseph Betterman | July 11, 2012 | Order Of Dismissal | 1200188 |
| Michael A. Macis | July 11, 2012 | Consent Order | 1100449 |
| Andrew V. Dungey, Dragon Fire Solutions, Inc. |
July 12, 2012 | Consent Order | 0800566 |
| Grigsby And Associates Inc., Calvin Grigsby |
July 16, 2012 | Notice Of Hearing | 1100227 |
| Deutsche Bank Securities Inc. | July 16, 2012 | Consent Order | 1100301 |
| Deutsche Bank Securities Inc. | July 16, 2012 | Notice Of Hearing | 1100301 |
| Raymond James & Associates, Inc.; Raymond James Financial Services, Inc., |
July 16, 2012 | Consent Order | 0900447 |
| Raymond James & Associates, Inc., Raymond James Financial Services, Inc. |
July 16, 2012 | Notice Of Hearing | 0900447 |
| Charlise Darcel Williams | July 17, 2012 | Temporary Order Of Prohibition & Suspension | 1200254 |
| Franklin Ray Mooney | July 18, 2012 | Order Of Dismissal | 1200217 |
| Peter Anthony Mazzara | July 18, 2012 | Order Of Prohibition | 0700300 |
| Steven Robert Trimble | July 18, 2012 | Order Of Dismissal | 1200203 |
| Eugene C. Beyer | July 19, 2012 | Consent Order | 1000215 |
| E Trade Securities L L C | July 25, 2012 | Consent Order | 0800492 |
| E Trade Securities L L C | July 25, 2012 | Notice Of Hearing | 0800492 |
| Mohammed I. Khan, Ink Global Consulting, Inc., Ink Global, L L C, Ink Global Capital, L L C |
July 25, 2012 | Consent Order | 1000399 |
| Farmaraz "Mario" Azodinia, Pinnacle Investment Group L L C |
July 26, 2012 | Order Of Prohibition | 1000215 |
| Brauvin Securities Inc. | July 27, 2012 | Order Of Dismissal | 1200079 |
| Robert Mather Harbour | July 27, 2012 | Order Of Dismissal | 1200209 |
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Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader
Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader