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Search Criteria: Begin Date "03-01-2006" End Date "03-31-2006"
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Name of Respondent(s) Date Type of Action File Number
Fernando Garcia Morillo March 01, 2006 Summary Order Of Denial 0500669
Qi Chen,
A/K/A Alex Qi Chen,
A/K/A Alex Chen,
Alexander Financial Services Inc.,
A.T.M. Investors Inc.,
All In 1 Insurance Agency
March 01, 2006 Temporary Order Of Prohibition 0400128
Michael J. Hovanec March 01, 2006 Summary Order Of Denial 0600061
Mutual Benefits Corporation March 06, 2006 Consent Order 0400171
Pebble Beach Investments L.L.C.,
Barry Chessick,
Vienna Trust Capital Ltd.
March 07, 2006 Temporary Order Of Prohibition 0500332
Celestial Life Planning Inc. March 08, 2006 Order Of Prohibition 0300096
Jose Hernandez March 08, 2006 Order Of Revocation And Prohibition 0400791
Stephanie M. Elliot March 09, 2006 Notice Of Hearing 0600009
Anthony M. Quirini March 09, 2006 Consent Order Of Censure 0500351
Jayme A. Kurtyka March 10, 2006 Consent Order Of Withdrawal 0500697
Jayme A. Kurtyka March 10, 2006 Consent Order Of Withdrawal 0600004
A.S.G. Securities Inc. March 13, 2006 Consent Order Of Fine 0400700
David Green,
The New Regime Investment Club Inc.
March 14, 2006 Temporary Order Of Prohibition 0500226
Harvest Financial Corporation March 16, 2006 Notice Of Hearing 0500562
Ronald Heineman March 16, 2006 Amended Notice Of Hearing 0400470
Richard D. Carter March 21, 2006 Notice Of Hearing 0600133
Cash Now,
A/K/A Cash Now Inc.,
A/K/A W.W.W.Cashnow.C.A.,
A/K/A W.W.W.Cashnowplus.Com
March 23, 2006 Order Of Prohibition 0100628
Empire State N.Y. Corp. March 23, 2006 Summary Order To Cease And Desist 0400774
Charles M. Shalmi March 23, 2006 Consent Order Of Withdrawal 0400646
Empire State N.Y. Corp. March 23, 2006 Summary Order To Cease And Desist 0500310
Terra Energy Investment Fund 1 L.L.C.,
Gregory A. Donelson,
Vestreon Funding L.L.C.,
Peter H. Kelley
March 24, 2006 Order Of Prohibition 0400358
Mark S. Perlmutter,
Wall Street Direct
March 24, 2006 Order Of Prohibition 0300745
Fernando Garcia Morillo March 27, 2006 Notice Of Hearing 0500669
Tel-Art Productions,
John F. Bailey
March 27, 2006 Order Of Prohibition 0500692
Jygnesh R. Patel March 30, 2006 Order Of Revocation 0500523
Basin Oil And Gas Corporation March 31, 2006 Order Of Prohibition 0400688
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