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Search Criteria: Begin Date "07-01-2012" End Date "07-31-2012"
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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 (U.S.A.) L.L.C. July 10, 2012 Consent Order 0900085
Credit Suisse Securities (U.S.A.) 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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