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Search Criteria: Begin Date "03-01-2013" End Date "03-31-2013"
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Name of Respondent(s) Date Type of Action File Number
Hudson Valley Capital Management March 04, 2013 Order Of Cancellation 1200392
Select Liberty Financial Group L.L.C.,
Tommie Bell
March 04, 2013 Order Of Prohibition 1200251
James Michael Mirenda March 05, 2013 Order To Vacate 1200280
Resources Planning Group Inc. March 05, 2013 Temporary Order Of Prohibition 1200293
Silvano C. Ramirez,
Milagros D.S.J.B. L.L.C.
March 06, 2013 Consent Order 1000465
Richard Lee Van Dyke,
D/B/A Dick Van Dyke Registered Investment Adviser
March 07, 2013 Notice Of Hearing 1100244
Anne Patricia Cameron March 07, 2013 Order Of Revocation 1200288
David Lerner March 07, 2013 Consent Order Of Revocation 1200420
James Alan Issel March 07, 2013 Notice Of Hearing 1300139
Mark Joseph Gillis March 07, 2013 Order Of Revocation 1200371
Ryan Seth Shaw March 07, 2013 Order Of Revocation 1200281
Adam James Olson March 08, 2013 Order Of Dismissal 1200456
Joseph K. Critelli March 11, 2013 Order Of Suspension 1300018
Christopher John Mc Carthy March 12, 2013 Order Of Dismissal 1200502
Christopher Robert Bailey March 12, 2013 Order Of Dismissal 1200442
Jack Irving Wier March 12, 2013 Order Of Dismissal 1200443
James Alan Issel March 12, 2013 Corrected Notice Of Hearing 1300153
James Elliott Moen March 12, 2013 Order Of Dismissal 1200444
James Martin Jasper March 12, 2013 Order Of Dismissal 1200494
Kimlianne Teresa Washington March 12, 2013 Order Of Dismissal 1200537
H.L.M. Securities Inc.,
Joseph James Hennessy
March 14, 2013 Final Order Of Suspension 1200326
Brian Steven Rueffer March 15, 2013 Order Of Dismissal 1200525
Elizabeth Cecelia Lewis March 15, 2013 Order Of Dismissal 1200514
Gregory M. Shelain March 15, 2013 Order Of Dismissal 1200453
Alan Holiday Feaster March 18, 2013 Order Of Dismissal 1200463
Amy Kathleen Fredrick March 18, 2013 Order Of Dismissal 1200529
Keith Gregory Daubenspeck March 19, 2013 Consent Order 1200545
Robert Couch,
Couch Financial Services Inc.,
Oil2 Inc.
March 19, 2013 Notice Of Hearing 0900166
Darin Christopher Haines March 20, 2013 Amended Notice Of Hearing 1300149
James L. Kestner Ph D March 22, 2013 Temporary Order Of Prohibition 1300166
Judith Rimkus March 22, 2013 Order Of Dismissal 1200462
Ruben Sifuentes March 22, 2013 Order Of Dismissal 1200511
Ronald Robert Covington March 25, 2013 Notice Of Hearing 1300155
W.W.W.Profitablesunrise.Com,
Inter Reef Ltd.,
Radoslav Novak
March 25, 2013 Temporary Order Of Prohibition 1300170
Diverse Energy Investment Group Inc.,
Caddo Parish Joint Venture #1
March 27, 2013 Temporary Order Of Prohibition 1200277
The Hogan Company March 27, 2013 Notice Of Hearing 1300073
Timothy Knauf,
D/B/A Midwest Financial Associates
March 28, 2013 Consent Order 1300029
Timothy Knauf,
D/B/A Midwest Financial Associates
March 28, 2013 Notice Of Hearing 1300029
The Hogan Company March 29, 2013 Order Of Dismissal 1300073
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