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Search Criteria: Begin Date "05-01-2009" End Date "05-31-2009"
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Name of Respondent(s) Date Type of Action File Number
Brack Stanford,
Brack Stanford And Associates
May 04, 2009 Order Of Cancellation 0800393
George D. Miller,
Global Timber And Resources Corporation Of Casa Grande
May 04, 2009 Consent Order 0800502
Hugh Benjamin Deneal May 04, 2009 Order Of Prohibition 0800408
Steven Georgopoulos May 06, 2009 Notice Of Hearing 0700381
M.D.B. Capital Group L.L.C. May 07, 2009 Order Of Dismissal 0900100
Tamara R Harrell,
Prescott Investment Inc.
May 07, 2009 Temporary Order Of Prohibition 0800092
Paul S. Shechter,
Brian Sanders,
Eric Arlt,
Itradedirect.Com
May 13, 2009 Notice Of Hearing 0700550
Cleophus Robinson Jr. May 14, 2009 Order Of Prohibition 0800044
Dillion Scott Securities Inc. May 14, 2009 Notice Of Hearing 0900108
M.P.J. Financial Group L.L.C.,
Angela Nicole Jansons
May 14, 2009 Order Of Cancellation 0900169
Nexbank Securities Inc. May 14, 2009 Notice Of Hearing 0900114
Nunami Services L.L.C. May 14, 2009 Notice Of Hearing 0900115
Windham Securities Inc. May 14, 2009 Notice Of Hearing 0900094
J T Financial Advisers,
Thomas George Tesar
May 15, 2009 Consent Order 0800435
Heartland Resources Inc. May 20, 2009 Consent Order 0700586
Nickolas F. Defina,
D/B/A Defina Financial
May 20, 2009 Order 0600514
Phillip Herrejon May 20, 2009 Consent Order To Continue Temporary Order 0800576
Bass Financial Services Ltd.,
Mitchell Bass
May 22, 2009 Final Order Of Prohibition 0600171
Edward Louis Schainker May 22, 2009 Consent Order To Toll Expiration Of Temporary 0900049
Gregory Webb,
C. Robert Abbott,
Infraegis Inc.,
F/K/A Intelagents Inc.,
Bacteria Sciences Worldwide L.L.C.
May 27, 2009 Amended Notice Of Hearing 0800463
Matthew T. Scott,
Gelsco Inc.
May 28, 2009 Temporary Order Of Prohibition 0900182
Ampak Oil Company May 29, 2009 Consent Order 0700585
Corneal Science Corporation,
Dr. Allan Touch
May 29, 2009 Notice Of Hearing 0800210
James C. Ackerman May 29, 2009 Consent Order Of Withdrawal 0800482
William W. Block Jr. May 29, 2009 Temporary Order Of Prohibition 0600453
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