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Search Criteria: Begin Date "03-01-2010" End Date "03-31-2010"
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Name of Respondent(s) Date Type of Action File Number
Francois E. Durmaz,
Robert C. Pribilski,
U.S.A. Retirement Management Services Inc.
March 01, 2010 Temporary Order Of Prohibition 0900509
Glenn John Kozeluh March 01, 2010 Order Of Prohibition 0900151
Metro East Insurance Group,
Victoria Renois Mcgee-Harris
March 02, 2010 Order Of Prohibition And Suspension 0900516
Primevest Financial Services March 02, 2010 Notice Of Hearing 0900257
James David Browning,
A/K/A Dave Browning,
E.R. Urgent Care Management Co. Inc.,
E.R. Urgent Care Holdings Inc.
March 04, 2010 Order Of Prohibition 0800388
Phil Lorezca,
X.L. Gum
March 04, 2010 Temporary Order Of Prohibition 1000002
City State Financial March 05, 2010 Temporary Order Of Prohibition 1000079
Credit Hub Financial Services March 05, 2010 Temporary Order Of Prohibition 1000084
Edward N. Colburn Jr. March 08, 2010 Notice Of Hearing 1000017
Universal Finance March 08, 2010 Temporary Order Of Prohibition 1000048
U.S. Filing Services March 08, 2010 Temporary Order Of Prohibition 1000068
Kapil S. Shah March 09, 2010 Order Of Revocation 0900337
Steven J. Simone March 09, 2010 Order Of Revocation 0900492
Kevin James Reed,
Lambert Clark Group L.L.C.
March 10, 2010 Notice Of Hearing 0800218
Martin P. Travis,
The Scarlet Group Inc.
March 10, 2010 Order Of Prohibition 0800139
Richard J. Osty,
A/K/A Ostapowicz,
Ronald Moore,
R.O. Financial Group L.L.C.,
R.K.M. Inc.,
Heritage Community Homes Inc.,
Building Design System L.L.C.
March 10, 2010 Temporary Order Of Prohibition 0900540
Chris Zander,
Amy Zander,
Zander'S Old Town Brewery Inc.,
Zander Management L.L.C.
March 11, 2010 Temporary Order Of Prohibition 0900470
Daniel Parrilli,
Christopher Andersen,
Sundown Entertainment Inc.,
Bonner Productions Inc.
March 12, 2010 Order Of Prohibition 0900234
Kevin O. Pritchett,
Kevin Pritchett & Associates Retirement Planning Inc.
March 12, 2010 Notice Of Hearing 0600357
Brian Bodie,
Mortgage Desk Inc.,
Duke Lebeau Inc.,
Prestar Financial
March 17, 2010 Temporary Order Of Prohibition 0800052
City State Financial March 17, 2010 Amended Temporary Order Of Prohibition 1000079
Donald M. Medley,
Donald M. Medley Inc.
March 17, 2010 Consent Order 0900439
Jacqueline Boykin March 17, 2010 Temporary Order Of Prohibition 0800014
Andrea Lake,
A/K/A Andrea Adams,
Nicky Nicholas,
A/K/A Nick Adams,
Silvernick Inc.
March 18, 2010 Temporary Order Of Prohibition 0900435
Goldman Sachs & Co. March 19, 2010 Consent Order 0800236
Goldman Sachs & Co. March 19, 2010 Notice Of Hearing 0800236
Preston Runyan March 24, 2010 Consent Order Of Suspension 0900365
Ira Nitzkin March 25, 2010 Notice Of Hearing 0900076
David Kastner March 26, 2010 Order Of Prohibitton 0900370
Donald James March 26, 2010 Order Of Prohibition 0900370
Group 369 Corp. March 26, 2010 Notice Of Hearing 0900370
Lambert Clark Group L.L.C.,
L.C.G. Glogal Assets Limited,
Kevin James Reed
March 26, 2010 Notice Of Hearing 0900460
Mohammad A. Ullah,
Atlantis Investment Corporation
March 26, 2010 Order Of Prohibition 0900269
Mark Mcewen March 29, 2010 Notice Of Hearing 0900362
Michael Rivers,
Mr2 Enterprises L.L.C.
March 29, 2010 Order Of Prohibition 0900392
Wachovia Securities L.L.C.,
Wachovia Capital Markets L.L.C.
March 29, 2010 Administrative Consent Order 0800202
Wachovia Securities L.L.C.,
Wachovia Capital Markets L.L.C.
March 29, 2010 Notice Of Hearing 0800202
Lambert Clark Group L.L.C.,
Kevin James Reed
March 31, 2010 Temporary Order Of Prohibition 1000165
Theodore "Ted" J. Hogan,
A/K/A Ted Kills In The Fog,
Theodore J. Hogan & Associates L.L.C.
March 31, 2010 Order Of Prohibition 0900280
Allodial Investments Inc.,
Art A. Segura I I
March 31, 2010 Order Of Prohibition 0900519
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