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Search Criteria: Begin Date "03-01-2009" End Date "03-31-2009"
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Name of Respondent(s) Date Type of Action File Number
Kelly John Woitel March 02, 2009 Consent Order 0600174
Richard N. Beleutz March 03, 2009 Consent Order Of Dismissal 0800051
Francois E. Durmaz March 04, 2009 Notice Of Hearing 0800423
Imerge Advisors Inc.,
F/K/A Ebizbrokers Inc.,
Gloria Bayne
March 05, 2009 Temporary Order Of Prohibition 0700553
Philip Herrejon March 05, 2009 Temporary Order Of Prohibition 0800576
Igor Anatsko,
Maria Chychula,
Vitaliy M. Baka,
D/B/A Gnxpert
March 09, 2009 Notice Of Hearing 0600055
Alliance Financial Services Of Illinois Ltd.,
Burton Stern
March 10, 2009 Consent Order Of Prohibition 0300674
J T Financial Advisers,
Thomas George Tesar
March 10, 2009 Notice Of Hearing 0800435
Mark Ruttenberg,
Jill Ruttenberg,
Monarch Visual Solutions Inc.
March 10, 2009 Order Of Dismissal 0700461
H.E.I. Resources Inc.,
Charles Reed Cagle,
John Schiffner
March 11, 2009 Corrected Temporary Order Of Prohibition 0800618
Cleophas Robinson Jr. March 16, 2009 Temporary Order Of Prohibition 0800044
Thrive Learning Institute March 18, 2009 Consent Order 0800401
George Andrew Watson,
Watson Financial Associates,
Watson Tax Advisory Group
March 20, 2009 Notice Of Hearing 0700485
M.D.S. Freedom L.L.C.,
Michael D. Schleif
March 20, 2009 Order Of Prohibition 0800203
Neil Rolla Harrison March 20, 2009 Notice Of Hearing 0700156
Pigeon King International Inc. March 20, 2009 Order To Cease And Desist 0800135
John A. Vedovino March 23, 2009 Notice Of Hearing 0900029
Harold C. Eberling Jr. March 24, 2009 Consent Order Of Fine 0700511
Scott M. Ross,
Harbor Wealth Management Group L.L.C.,
Harbor Private Funds,
Harbor Capital Funds L.L.C.,
Maize Capital Management L.L.C.,
Maize Asset Management L.L.C.,
Maize Fund L.P.
March 25, 2009 Order Of Prohibition 0800512
Hugh Benjamin Deneal March 26, 2009 Temporary Order Of Prohibition 0800408
Robert Dalsanto,
Dal Santo Capital Management L.L.C,
David Dalsanto,
Samuel Dalsanto,
Lucid Fund L.L.C.
March 26, 2009 Amended Notice Of Hearing 0700029
Capital Development Group L.L.C.,
E.A.G. Capital Holdings Inc.,
Alex Field,
Gary Fishkin,
Edward Renko
March 27, 2009 Notice Of Hearing 0900017
Keith Andrew Wetteland,
S.A. Financial
March 27, 2009 Order Of Prohibition 0700531
Bass Financial Services Ltd.,
Mitchell Bass
March 27, 2009 Temporary Order Of Prohibition 0600171
H.E.I. Resources Inc.,
Charles Reed Cagle,
John Schiffner
March 30, 2009 Notice Of Hearing 0800618
Jack D. Seibald March 31, 2009 Notice Of Hearing 0900012
Meredith K. Bromfield March 31, 2009 Consent Order Of Fine 0700515
Michael S. Rosen March 31, 2009 Notice Of Hearing 0900013
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