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Search Criteria: Begin Date "06-01-2013" End Date "06-30-2013"
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Name of Respondent(s) Date Type of Action File Number
Kyle Patrick Harrington June 03, 2013 Consent Order Of Dismissal 1300154
Ovanes "John" Mikaelian,
A.A.A. Venture Business Brokers Ltd.,
A/K/A Venture Business Brokers Ltd.
June 03, 2013 Notice Of Hearing 1300005
Thomas Hanley,
Robert T. Trumpy,
Clayton Collateral Advisors Inc.
June 03, 2013 Notice Of Hearing 1100302
Brimberg & Co. June 05, 2013 Order Of Cancellation 1300208
Larry Bates,
First American Monetary Consultants Inc.
June 10, 2013 Temporary Order Of Prohibition 1300235
Jeffrey Kochikaran,
D/B/A Wealth Management Investment Planning
June 12, 2013 Temporary Order Of Prohibition 1300211
Richard Lee Van Dyke,
D/B/A Dick Van Dyke Registered Investment Adviser
June 13, 2013 Amended Notice Of Hearing 1100244
Capital Management Associates Inc.,
Charles J. Dushek
June 14, 2013 Summary Order Of Suspension 0900465
Junhau (Michael) Liao June 14, 2013 Notice Of Hearing 1300227
Mark J. Aubry,
Aubry Financial Group L.L.C.
June 14, 2013 Temporary Order Of Prohibition 1200042
Lawrence Y. Lee,
L.Y.L. Investment Corporation
June 18, 2013 Consent Order 1000145
Armand Bernard Mccarroll June 18, 2013 Order Of Dismissal 1200191
Gene Taylor Hiser Mr. June 18, 2013 Order Of Dismissal 1200474
Joel Michael Campbell June 18, 2013 Order Of Dismissal 1200497
John Levendoski June 18, 2013 Order Of Dismissal 1200523
Josh Reuel Cobb June 18, 2013 Order Of Dismissal 1200500
Lawrence Y. Lee,
L.Y.L. Investment Corporation
June 18, 2013 Consent Order 1100484
Nicholas P. Ewen June 18, 2013 Order Of Dismissal 1200519
Enver Rahman Alijaj June 19, 2013 Consent Order Of Dismissal 1300156
Brett Ian Friedberg June 24, 2013 Notice Of Hearing 1300203
Dean Garrett Tanella June 24, 2013 Notice Of Hearing 1300206
Rodney P. Michel June 24, 2013 Order Of Revocation 1300177
Consolidated Wealth Holdings Inc.,
Consolidated Wealth Management L.L.C.,
John Spalding,
Laura Spalding
June 25, 2013 Consent Order 0800509
Paul A. Guerrero,
Lucero Guerrero,
P.A.G. Services Inc.
June 26, 2013 Temporary Order Of Prohibition 1300148
C.W.S. Investments June 27, 2013 Order Of Dismissal 1200544
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