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Search Criteria: Begin Date "07-01-2013" End Date "07-31-2013"
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Name of Respondent(s) Date Type of Action File Number
Hakim A. Donadelle July 01, 2013 Order Of Revocation 1200359
John Patrick Bamber July 02, 2013 Order Of Dismissal 1200486
Jeffrey Kochikaran,
D/B/A Wealth Management Investment Planning
July 05, 2013 Notice Of Hearing 1300211
Jeremiah D. Jacob,
Liberty Finance Group Inc.
July 05, 2013 Notice Of Hearing 1100231
Ventoux Securities L.L.C. July 05, 2013 Order To Vacate 1300232
Ventoux Securntes L.L.C. July 05, 2013 Order To Vacate 1200088
Robert David Smith July 08, 2013 Consent Order Of Revocation 1300185
Brandon Thomas Kopf July 09, 2013 Notice Of Hearing 1200455
Elizabeth Lyn Viau July 09, 2013 Notice Of Hearing 1200503
Eric Bernard Jackson July 09, 2013 Notice Of Hearing 1200505
Eric Jareczek,
Aspire Business Brokers Inc.
July 09, 2013 Temporary Order Of Prohibition 1200074
James David Anderson July 09, 2013 Notice Of Hearing 1200517
John Michael Bannon July 09, 2013 Notice Of Hearing 1200532
Jose Ramon Gonzalez July 09, 2013 Notice Of Hearing 1200493
Kevin Mathias Drew July 09, 2013 Notice Of Hearing 1200469
Lucia Esparza July 09, 2013 Notice Of Hearing 1200534
Michael Joseph Mahoney July 09, 2013 Notice Of Hearing 1200475
Vicky Lynn Deshazier July 09, 2013 Notice Of Hearing 1200466
Kelvin Miles,
Miles Properties L.L.C.
July 12, 2013 Order Of Prohibition 0600641
Capital Management Associates Inc.,
Charles J. Dushek
July 15, 2013 Amended Notice Of Hearing 0900465
Eugene Anthony Mitchell July 16, 2013 Notice Of Hearing 1200481
Jeffrey R. Wilson July 16, 2013 Notice Of Hearing 1200478
Oliver Marshall Whybrow July 16, 2013 Notice Of Hearing 1200490
Stephen Earl Mueller July 16, 2013 Notice Of Hearing 1200449
Mahendra Wagha,
Portfolio Diversification Group Inc.
July 17, 2013 Summary Order Of Suspension 1300304
Timothy Duma July 18, 2013 Temporary Order Of Prohibition 1200316
Jeffrey Brian Meyer,
K & M Oil
July 23, 2013 Temporary Order Of Suspension 1200077
Mark J. Aubry,
Aubry Financial Group L.L.C.
July 23, 2013 Notice Of Hearing 1200042
Westor Capital Group Inc. July 23, 2013 Summary Order Of Revocation 1300178
Matthew Reavill,
Reavillmed L.L.C.
July 24, 2013 Notice Of Hearing 1200035
Brett Ian Friedberg July 25, 2013 Consent Order Of Dismissal 1300203
Campbell Massey Asset Management July 26, 2013 Temporary Order Of Prohibition 1300310
Obsidian Financial Group L.L.C. July 26, 2013 Summary Order Of Prohibition 1300157
Tracy Chen July 26, 2013 Amended Notice Of Hearing 1300216
William C. Yuen July 26, 2013 Amended Notice Of Hearing 1300217
Charles Maurice Walls July 30, 2013 Order Of Dismissal 1100415
G1 Execution Services L.L.C. July 30, 2013 Notice Of Hearing 1300129
State Farm V P Management Corp. July 30, 2013 Notice Of Hearing 1300127
W.W.W.Profitablesunrise.Com,
Inter Reef Ltd.,
Rodoslav Novak
July 30, 2013 Corrected Temporary Order Of Prohibition 1300170
Brandon Thomas Kopf July 31, 2013 Order Of Dismssal 1200455
Eric Bernard Jackson July 31, 2013 Order Of Dismissal 1200505
James David Anderson July 31, 2013 Order Of Dismissal 1200517
Vicky Lynn Deshazier July 31, 2013 Order Of Dismissal 1200466
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