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Search Criteria: Begin Date "06-01-2012" End Date "06-30-2012"
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Name of Respondent(s) Date Type of Action File Number
Karen S. Revelle,
Brett K. Revelle,
Joseph J. Revelle,
Revelle Resources Inc.
June 01, 2012 Notice Of Hearing 1000216
Legend Merchant Group Inc. June 01, 2012 Order Of Cancellation 1200118
Mohammed I. Khan,
Ink Global Consulting Inc.,
Ink Global L.L.C.,
Ink Global Capital L.L.C.
June 01, 2012 Amended Notice Of Hearing 1000399
Morgan Asset Management Inc.,
Morgan Keegan & Company Inc.
June 04, 2012 Notice Of Hearing 0700578
Kevin Gerald Kolz June 07, 2012 Order Of Prohibition And Revocation 1200135
Andrew Michael Allison June 11, 2012 Notice Of Hearing 1200206
Armand Bernard Mccarroll June 11, 2012 Notice Of Hearing 1200191
Brian Curtis Ullrich June 11, 2012 Notice Of Hearing 1200211
Charles Stephen Williams June 11, 2012 Notice Of Hearing 1200216
David Joseph Poznanski June 11, 2012 Notice Of Hearing 1200183
Eric Berg June 11, 2012 Notice Of Hearing 1200181
Fernaldo Corneilus Miller June 11, 2012 Notice Of Hearing 1200177
Franklin Ray Mooney June 11, 2012 Notice Of Hearing 1200217
Gerald Joseph Anderson June 11, 2012 Notice Of Hearing 1200208
James M. Benages June 11, 2012 Notice Of Hearing 1200178
James Edwin Stolte June 11, 2012 Notice Of Hearing 1200215
Jamie Lynn Jasinski June 11, 2012 Notice Of Hearing 1200204
Jeremy Scott Goldman June 11, 2012 Notice Of Hearing 1200202
John Joseph Betterman June 11, 2012 Notice Of Hearing 1200188
Lawrence Calvin Mason Jr. June 11, 2012 Notice Of Hearing 1200205
Lois Marie Wollney June 11, 2012 Notice Of Hearing 1200192
Michael Dean Farnsworth June 11, 2012 Notice Of Hearing 1200175
Michael G. Murray June 11, 2012 Notice Of Hearing 1200196
Patrick Michael Malcolm June 11, 2012 Notice Of Hearing 1200197
Peter Richard Bukowski June 11, 2012 Notice Of Hearing 1200200
Rhona Ellen Vogel June 11, 2012 Notice Of Hearing 1200186
Richard Christopher Riley June 11, 2012 Notice Of Hearing 1200218
Robert Mather Harbour June 11, 2012 Notice Of Hearing 1200209
Roger Lawrence Wohlner June 11, 2012 Notice Of Hearing 1200194
Steven Kent June 11, 2012 Notice Of Hearing 1200189
Steven Robert Trimble June 11, 2012 Notice Of Hearing 1200203
William Craft Hansing June 11, 2012 Notice Of Hearing 1200210
William James Harris June 11, 2012 Notice Of Hearing 1200190
William Laluz Jr. June 11, 2012 Notice Of Hearing 1200187
William Thomas Read I I I June 11, 2012 Notice Of Hearing 1200219
Matthew Sapaula,
Matthew Sapaula Inc.
June 12, 2012 Notice Of Hearing 0900415
Rbc Capital Markets Corporation June 12, 2012 Consent Order 0800614
Rbc Capital Markets Corporation June 12, 2012 Notice Of Hearing 0800614
Steve Axelbaum,
Rosalie Barrett,
Brian Bucher,
Vickie Ham,
Astoria Gardens & Rehab Center L.L.C.,
Astoria Gardens L.L.C.,
The Investment Group
June 15, 2012 Temporary Order Of Prohibition 1100445
Anthony Joseph Baldassano June 18, 2012 Notice Of Hearing 1200198
Ryan Matthew Poss June 18, 2012 Notice Of Hearing 1200182
Morgan Asset Management Inc.,
Morgan Keegan & Company Inc.
June 19, 2012 Consent Order 0700578
Jeremy Scott Goldman June 20, 2012 Order Of Dismissal 1200202
Roger Lawrence Wohlner June 20, 2012 Order Of Dismissal 1200194
William Craft Hansing June 20, 2012 Order Of Dismissal 1200210
William James Harris June 20, 2012 Order Of Dismissal 1200190
Yitzhok Alexander Fox June 20, 2012 Order Of Dismissal 1100406
Eric Berg June 26, 2012 Order Of Dismissal 1200181
Anthony Joseph Baldassano June 28, 2012 Order Of Dismissal 1200198
James M. Benages June 28, 2012 Order Of Dismissal 1200178
Rhona Ellen Vogel June 28, 2012 Order Of Dismissal 1200186
Richard Christopher Riley June 28, 2012 Order Of Dismissal 1200218
William Thomas Read I I I June 28, 2012 Order Of Dismissal 1200219
James Edwin Stolte June 29, 2012 Order Of Dismissal 1200215
Lois Marie Wollney June 29, 2012 Order Of Dismissal 1200192
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