Skip Navigation
HomeDepartmentsSecuritiesAdministrative Actions Search

ADMINISTRATIVE ACTIONS SEARCH

Search Criteria: Begin Date "03-01-2007" End Date "03-31-2007"
Return to Search
Name of Respondent(s) Date Type of Action File Number
Cambridge Energy Wast Management Ltd.,
Howard J. Goldberg
March 02, 2007 Order Of Prohibition 0600374
John Green Consulting Inc. March 02, 2007 Final Order Of Denial 0700064
Scott Mikros,
Mikros Economics Hedge Fund L.L.C.,
Risk Management International L.L.C.
March 02, 2007 Order Of Prohibition 0400639
Unlimited Cash Inc.,
Douglas Network Enterprises
March 02, 2007 Order Of Prohibition And Fine 0300797
Wachovia Capital Markets L.L.C. March 02, 2007 Consent Order 0400407
Wachovia Capital Markets L.L.C. March 02, 2007 Notice Of Hearing 0400407
Wachovia Capital Markets L.L.C. March 02, 2007 Order Of Dismissal 0400407
Roy H. Waugh,
D/B/A 412 Omni Media L.L.C.
March 06, 2007 Temporary Order Of Prohibition 0700062
Buysellenterprise.Com,
Franklin Media And Technology Group,
A.E. Holdings Corporation,
A.E.H. Corporation
March 07, 2007 Order Of Prohibition 0600456
Lawrence M. Labine March 09, 2007 Consent Order Of Withdrawal 0500674
Conquest Financial Services March 12, 2007 Order Of Prohibition 0600503
Gary Wayne Hardy,
Hardy Asset Management
March 12, 2007 Amended Order Of Prohibition And Fine 0500472
Gary L. Pittsford March 13, 2007 Consent Order Of Withdrawal 0600423
Steven W. Norin March 13, 2007 Order Of Revocation 0600310
Craig L. Josephberg March 15, 2007 Notice Of Hearing 0600490
John Green Consulting Inc. March 15, 2007 Order To Vacate 0700064
Advantage Financial Partners L.L.C. March 16, 2007 Order Of Dismissal 0500594
A.E.I. Environmental Inc.,
D/B/A Livestock Direct Inc.
March 19, 2007 Consent Order 0400605
Dennis R. Weddle I I March 19, 2007 Notice Of Hearing 0600625
Morgan Stanley D.W. Inc. March 19, 2007 Order Of Dismissal 0300627
John Green Consulting Inc.,
John Thomas Sostak
March 20, 2007 Notice Of Hearing 0700064
James C. Ackerman March 21, 2007 Consent Order Of Dismissal 0500259
Oscar Donald Overbey Jr. March 21, 2007 Temporary Order Of Prohibition 0600460
The Loan Shoppe Inc.,
Charles E. Carver
March 22, 2007 Temporary Order Of Prohibition 0500211
Wilfredo A. Carbonquillo March 23, 2007 Notice Of Hearing 0600586
Shepherd James,
Benhilton Investments Limited,
Alan Frum Ford,
Lonford Limited,
Charles N. Neville,
Law Consortium Limited
March 26, 2007 Temporary Order Of Prohibition 0600634
Platinum Capital Advocates Inc.,
Platinum Capital Advocates Elite Inc.
March 26, 2007 Temporary Order Of Prohibition 0700066
Hughes Energy Inc.,
Carl E. Royse
March 28, 2007 Consent Order 0500536
Dave Espino,
Auctions For Income
March 29, 2007 Order To Cease And Desist 0600576
Patricia C. Fanella March 30, 2007 Consent Order Of Withdrawal 0600367
Scott H. Gitomer March 30, 2007 Order Of Revocation 0500689
The Secretary of State, Illinois Securities Department or their information providers shall not be liable regardless of the cause or duration, for any errors, inaccuracies, omissions or untimeliness of the information, or for any delay or interruption in the transmission thereof to the user, or for any claims or losses arising therefrom. Requests for copies of Settlement Agreements and other Adminstrative Actions not posted on this website may be made by contacting the Illinois Securities Department at 217-782-2256.

Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader