ADMINISTRATIVE ACTIONS SEARCH
Search Criteria: Begin Date "03-01-2011" End Date "03-31-2011"
| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Aaron Todd Fields | March 01, 2011 | Notice Of Hearing | 1100156 |
| Ron Elting, Ox Financial Group |
March 01, 2011 | Order Of Prohibition | 0900544 |
| Alan J. Nerad | March 02, 2011 | Order Of Dismissal | 1000197 |
| Newbury Street Capital | March 02, 2011 | Corrected Notice Of Hearing | 1000307 |
| F.R.M.H L.L.C. | March 04, 2011 | Order Of Prohibition | 09000175 |
| John L. Frazier, Tax Recovery Team |
March 04, 2011 | Temporary Order Prohibition | 1000351 |
| Merrill Lynch Pierce Fenner & Smith Incorporated | March 04, 2011 | Consent Order | 1100004 |
| Merrill Lynch Pierce Fenner & Smith Incorporated | March 04, 2011 | Notice Of Hearing | 1100004 |
| James Sammons, Preacher'S Investment Brokers, Preacher'S Auto Detail |
March 08, 2011 | Order Of Prohibition | 0900036 |
| Jim Pantazelos, Destiny'S Partners Inc. |
March 08, 2011 | Temporary Order Of Prohibition | 0900497 |
| Germaine Pang, Krupp D/B/A Germaine Pang |
March 09, 2011 | Temporary Order Of Prohibition | 0900468 |
| Great Power Investments L.L.C., Walter G. Martinez |
March 09, 2011 | Temporary Order Of Prohibition | 0900352 |
| Gary B. Martin | March 10, 2011 | Consent Order Of Denial | 1000471 |
| Lawrence Y. Lee | March 10, 2011 | Order Of Prohibition And Revocation | 1000145 |
| Eagle Strategies L.L.C. | March 11, 2011 | Consent Order Of Fine | 1000368 |
| Jesus Fernandez, Julio Garcia, S.F.C Investors Inc. |
March 11, 2011 | Order Of Prohibition | 0900359 |
| Randall Scott & Partners | March 11, 2011 | Temporary Order Of Prohibition | 1000188 |
| Philip W. Elizondo, Denise M. Elizondo, Lincoln Square Group L.L.C. |
March 14, 2011 | Notice Of Hearing | 1000453 |
| Michael H. Hess, Quantum Holdings L.L.C. |
March 15, 2011 | Notice Of Hearing | 1000403 |
| Michael D. Hanke | March 15, 2011 | Notice Of Hearing | 1100002 |
| Timothy John Roth | March 15, 2011 | Temporary Order Of Suspension And Prohibition | 1100183 |
| Alan Richard Lew | March 16, 2011 | Notice Of Hearing | 1100096 |
| Andrew John Hall | March 16, 2011 | Notice Of Hearing | 1100114 |
| David Tarleton Brooks | March 16, 2011 | Notice Of Hearing | 1100116 |
| George Willis Scholz | March 16, 2011 | Notice Of Hearing | 1100109 |
| Gregory Arthlr Pfaff | March 16, 2011 | Notice Of Hearing | 1100126 |
| Jason Bradley Schwieder | March 16, 2011 | Notice Of Hearing | 1100139 |
| Jay Michael Pollack | March 16, 2011 | Notice Of Hearing | 1100123 |
| Jonathan Michael Fiorito | March 16, 2011 | Notice Of Hearing | 1100138 |
| Joseph Macaione | March 16, 2011 | Notice Of Hearing | 1100092 |
| Leonard Todd Johnson | March 16, 2011 | Notice Of Hearing | 1100165 |
| Marsha Maureen Peterson | March 16, 2011 | Notice Of Hearing | 1100113 |
| Michael Joseph Hovanec | March 16, 2011 | Notice Of Hearing | 1000470 |
| Michael Jesse Vera | March 16, 2011 | Notice Of Hearing | 1100091 |
| Randall Jean Davis | March 16, 2011 | Notice Of Hearing | 1100105 |
| Randal James Gabaldon | March 16, 2011 | Notice Of Hearing | 1100134 |
| Richard J. Osty, Ronald Moore, R O Financial Group L.L.C., R.K.M. Inc., Heritage Community Homes Inc., Building Design System L.L.C. |
March 16, 2011 | Order Of Prohibition | 0900540 |
| Ronald Gerard Fara | March 16, 2011 | Notice Of Hearing | 1100083 |
| Ryan Christopher Cole | March 16, 2011 | Notice Of Hearing | 1100099 |
| Scott Christopher Loidl | March 16, 2011 | Notice Of Hearing | 1100168 |
| Stephen Corley Carver | March 16, 2011 | Notice Of Hearing | 1100125 |
| Stephen Robert Collins | March 16, 2011 | Notice Of Hearing | 1100141 |
| Stephen Matthew Weber | March 16, 2011 | Notice Of Hearing | 1100157 |
| Susan Lynn Wolfe | March 16, 2011 | Notice Of Hearing | 1100132 |
| Thomas John Hindes | March 16, 2011 | Notice Of Hearing | 1100122 |
| Thomas William Rendl | March 16, 2011 | Notice Of Hearing | 1100173 |
| William Anthony Gohs | March 16, 2011 | Notice Of Hearing | 1100143 |
| William Harlan Teinowitz | March 16, 2011 | Notice Of Hearing | 1100112 |
| Shawn D. Badlwin, C.M.G Institutional Trading L.L.C. |
March 17, 2011 | Notice Of Hearing | 0900290 |
| Joseph Richard Rauktys | March 17, 2011 | Notice Of Hearing | 1100106 |
| Albert Dixon Bryant | March 18, 2011 | Notice Of Hearing | 1100167 |
| Albert Dudley Mcewen | March 18, 2011 | Notice Of Hearing | 1100118 |
| Angelo Zenez | March 18, 2011 | Notice Of Hearing | 1100098 |
| Daniel Nieves | March 18, 2011 | Notice Of Hearing | 1100144 |
| Darryl Antonio Johnson | March 18, 2011 | Notice Of Hearing | 1100102 |
| Debra Jo Otlewis | March 18, 2011 | Notice Of Hearing | 1100142 |
| Donald Mark Hutchinson | March 18, 2011 | Notice Of Hearing | 1100151 |
| Dorsey Christian | March 18, 2011 | Notice Of Hearing | 1100107 |
| George Edward Langlois | March 18, 2011 | Notice Of Hearing | 1100133 |
| Gerald V. Mccadd | March 18, 2011 | Notice Of Hearing | 1100174 |
| Jeffrey Terrence Graff | March 18, 2011 | Notice Of Hearing | 1100155 |
| John Naurice Baker | March 18, 2011 | Notice Of Hearing | 1100117 |
| John Michael Bayer | March 18, 2011 | Notice Of Hearing | 1100147 |
| John Eugene Roe | March 18, 2011 | Notice Of Hearing | 1100150 |
| Kevin Laurence Molloy | March 18, 2011 | Notice Of Hearing | 1100127 |
| Kimberly Sheri' Smith | March 18, 2011 | Notice Of Hearing | 1100149 |
| Lisandro Gutierrez | March 18, 2011 | Notice Of Hearing | 1100082 |
| Lowell Terry Allen | March 18, 2011 | Notice Of Hearing | 1100095 |
| Margaret Kopecki | March 18, 2011 | Notice Of Hearing | 1100153 |
| Michael Leslie Broadus | March 18, 2011 | Notice Of Hearing | 1100178 |
| Michael Paul Curtis | March 18, 2011 | Notice Of Hearing | 1100158 |
| Michael Joseph Farinella | March 18, 2011 | Notice Of Hearing | 1100086 |
| Michelle W. Starks | March 18, 2011 | Notice Of Hearing | 1100137 |
| Neal Alexander Ritter | March 18, 2011 | Notice Of Hearing | 1100163 |
| Neville B. Allen | March 18, 2011 | Notice Of Hearing | 1100115 |
| Patrick Timothy Murphy | March 18, 2011 | Notice Of Hearing | 1100104 |
| Peter Thomas Coules | March 18, 2011 | Notice Of Hearing | 1100160 |
| Prince Joseph Manjooran | March 18, 2011 | Notice Of Hearing | 1100170 |
| Robert Vvolfolk Sr. | March 18, 2011 | Notice Of Hearing | 1100101 |
| Shearer Sampson & Associates | March 18, 2011 | Temporary Order Of Prohibition | 1100191 |
| Spencer Elliott Williams | March 18, 2011 | Notice Of Hearing | 1100111 |
| Stephen R. Collins | March 18, 2011 | Order Of Dismissal | 1100141 |
| Tina Marie Adams | March 18, 2011 | Notice Of Hearing | 1100129 |
| Jacqueline Kae Childress-Mitchell | March 18, 2011 | Notice Of Hearing | 1100110 |
| Sequoia Group Inc., Michael T. Kimmelman |
March 18, 2011 | Second Amended Notice Of Hearing | 1000376 |
| Sequoia Group Inc., Michael T Kimmelman |
March 18, 2011 | Second Amended Notice Of Hearing | 1000404 |
| George Douglas Bates | March 21, 2011 | Amended Notice Of Hearing | 1100087 |
| Gregory Leo Schroer | March 21, 2011 | Amended Notice Of Hearing | 1100090 |
| Jason Nicholas Slezak | March 21, 2011 | Amended Notice Of Hearing | 1100120 |
| Kenneth Norman Young | March 21, 2011 | Amended Notice Of Hearing | 1100124 |
| Peter Whitfield | March 21, 2011 | Amended Notice Of Hearing | 1100136 |
| Ryan J. Pierce | March 21, 2011 | Amended Notice Of Hearing | 1100085 |
| Terry Wayne Hansard | March 21, 2011 | Amended Notice Of Hearing | 1100152 |
| Inverness Securities L.L.C. | March 22, 2011 | Notice Of Hearing | 1000116 |
| Michael Jesse Vera | March 24, 2011 | Consent Order | 1100091 |
| Ronald G. Fara | March 24, 2011 | Order Of Dismissal | 1100083 |
| Timothy John Roth, D/B/A Keyop Exercise Inc. |
March 25, 2011 | Temporary Order Of Prohibition | 1100183 |
| Eric Anthony Foster | March 28, 2011 | Notice Of Hearing | 0800557 |
| Steven Kent | March 28, 2011 | Notice Of Hearing | 1100051 |
| The Maxim Group L.L.C. | March 28, 2011 | Notice Of Hearing | 0800557 |
| Timothy A. Hancock, T.N.T. Investments I Inc. |
March 28, 2011 | Consent Order | 0900130 |
| Berry Resources Inc., Ralph Berry |
March 29, 2011 | Temporary Order Of Prohibition | 1000419 |
| William E. Milam | March 29, 2011 | Consent Order | 0800603 |
| Spencer Clarke L.L.C. | March 30, 2011 | Amended Notice Of Hearing | 1000223 |
| Putnam Energy L.L.C. | March 30, 2011 | Temporary Order Of Frohtbttion | 1100199 |
| Beckford'S Transport Corporation, Franklyn Beckford Jr., Franklyn Beckford Sr., Sarah Beckford |
March 31, 2011 | Temporary Order Of Prohibition | 1100169 |
| John L. Frazier, Tax Recovery Team |
March 31, 2011 | Notice Of Hearing | 1000351 |
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Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader