ADMINISTRATIVE ACTIONS SEARCH
Search Criteria: Begin Date "03-01-2010" End Date "03-31-2010"
| 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, M.R.2 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.Lc., 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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Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader