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Search Criteria: Begin Date "06-01-2009" End Date "06-30-2009"
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Name of Respondent(s) Date Type of Action File Number
Greenwich Financial Inc. June 02, 2009 Order Of Prohibition 0800563
G.T.I. Life Inc. June 02, 2009 Notice Of Hearing 0900057
Petrotech Resources Corporation June 02, 2009 Consent Order 0700587
Sitka Pacific Capital Management L.L.C. June 02, 2009 Notice Of Hearing 0900058
Dianne M. Goedtel June 03, 2009 Notice Of Hearing 0900084
Neil Rolla Harrison June 04, 2009 Order Of Prohibition And Revocation 0700156
Riley K. Mchugh June 04, 2009 Consent Order 0700358
Dragolijub Giljen,
A/K/A Daniel Giljen/Dan Giljen
June 05, 2009 Temporary Order Of Prohibition 0900219
S.D.M. Investments L.L.C. June 08, 2009 Notice Of Hearing 0900063
Steven R. Lewit June 08, 2009 Consent Order Of Dismissal 0700555
Jack D. Seibald June 09, 2009 Consent Order Of Dismissal 0900012
Michael S. Rosen June 09, 2009 Consent Order Of Dismissal 0900013
Associated Capital Advance L.L.C.,
Sandy Hoffman
June 10, 2009 Notice Of Hearing 0900171
Michael Hendrix June 10, 2009 Notice Of Hearing 0800568
L.G. Investment Advisors L.L.C. June 12, 2009 Notice Of Hearing 0900067
T.R. & B Corporation,
Touch Of Soul L.L.C.,
Tommie E. Rodgers
June 12, 2009 Temporary Order Of Prohibition 0900196
J & W Financial Services Inc.,
J & W Construction Inc.,
Bear Cares Day Care Center,
Derek J. Woods
June 16, 2009 Temporary Order Of Prohibition 0800515
A. G. Edwards & Sons Inc.,
Wachovia Securities L.L.C.,
Suzanne Michelle Wiegand
June 18, 2009 Order Of Dismissal 0600669
Midwest Quality Builders,
Ambassador Realtors,
Jimmy Lane
June 24, 2009 Consent Order Of Prohibition 0500070
Nexbank Securities Inc. June 24, 2009 Consent Order Of Fine 0900114
Steven Georgopoulos June 26, 2009 Consent Order Of Withdrawal 0700381
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