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Search Criteria: Begin Date "06-01-2014" End Date "06-30-2014"
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Name of Respondent(s) Date Type of Action File Number
Sixpoint Partners L.L.C. June 04, 2014 Order Of Dismissal 1400141
Weston Financial Services L.L.C. June 04, 2014 Order Of Dismissal 1400136
Bc Securities Inc. June 04, 2014 Order Of Dismissal 1400120
Solar Evolution Inc,
Evanangelos Papakiristis
June 04, 2014 Temporary Order Of Prohibition 1200269
Louis Captial Markets L.P. June 09, 2014 Order Of Dismissal 1400167
Brian Knight,
Knight Asset Management L.L.C.
June 09, 2014 Final Order 0900325
Telexfree Inc.,
Telexfree L.L.C.,
James M. Merrill,
Carlos N. Wanzeler,
Joseph H. Craft,
Steven M. Labriola,
Faith Sloan
June 09, 2014 Amended Order Of Prohlbltion 1400196
Turnkey Business Brokers Inc.,
Us3 L.L.C.,
Situs Business Brokers,
Terrence Donati
June 12, 2014 Temporary Order Of Prohibition 1400149
Brian Knight,
United Private Capital Inc.
June 16, 2014 Notice Of Hearing 0900325
David Matthew Lisnek June 18, 2014 Consent Order 1300411
The Niew Group Professional Advisors L.L.C.,
Niew Financial Services Inc.,
Niew Legal Partners P.C.,
Kathleen Niew
June 20, 2014 Order Of Prohibition 1300125
Leonard Hayes,
Dd&h Construction Inc.
June 25, 2014 Temporary Order Of Prohibition 1400097
Robert J. Loncar June 26, 2014 Order Of Prohibition 1400118
Scott Ashton Riggs,
Ashton Energy Group Inc,
Ashton Equipment Group L.L.C.,
Ashton Oilfield Services L.L.C.,
Darrell Parlee,
Steven J. Manderfeld
June 26, 2014 Temporary Order Of Prohlbition 1400263
Lpl Financial L.L.C.,
F/K/A Lpl Financial Corporation
June 30, 2014 Notice Of Hearing 1200385
Lpl Financial L.L.C.,
Lpl Financial Corporation
June 30, 2014 Consent Order 1200385
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