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Search Criteria: Begin Date "03-01-2011" End Date "03-31-2011"
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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 0900175
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
John L. Frazier,
Tax Recovery Team
March 04, 2011 Temporary Order Of Prohibition 1000351
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 Arthur 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. Baldwin,
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 Wolfolk 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
Emerson Capital Corp.,
Douglas Adams
March 22, 2011 Temporary Order Of Prohibition 1200024
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
John L. Frazier,
Tax Recovery Team
March 30, 2011 Notice Of Hearing 1000351
Beckford'S Transport Corporation,
Franklyn Beckford Jr.,
Franklyn Beckford Sr.,
Sarah Beckford
March 31, 2011 Temporary Order Of Prohibition 1100169
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