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Search Criteria: Begin Date "05-01-2010" End Date "05-31-2010"
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Name of Respondent(s) Date Type of Action File Number
Andrea Lake,
A/K/A Andrea Adams,
Nicky Nicholas,
A/K/A Nick Adams,
Silvernick Inc.
May 03, 2010 Order Of Prohibition 0900435
Michael L. Niemczyk,
Michael L. Niemczyk & Associates Inc.
May 05, 2010 Consent Order Of Fine 0700291
Fabio B. Herrera May 05, 2010 Amended Notice Of Hearing 0700210
Richard Gonski,
Domer Properties
May 06, 2010 Notice Of Hearing 0900372
Roy Eugene Combs May 06, 2010 Order Of Prohibition 0600056
Timothy A. Hancock,
T.N.T Investments I Inc.
May 07, 2010 Notice Of Hearing 0900130
Gary M. Lumpp,
Mind'S I Production
May 10, 2010 Consent Order Of Fine 0900354
Layline Capital Management L.L.C. May 11, 2010 Consent Order Of Revocation 1000130
Capital Guardian L.L.C. May 13, 2010 Consent Order Of Fine 1000122
Chi Tu Chow May 13, 2010 Notice Of Hearing 1000160
Jacqueline Boykin May 13, 2010 Notice Of Hearing 0800014
James U. Dodge May 13, 2010 Consent Order Of Prohibition 1000063
Prayer International,
James Pilon
May 13, 2010 Temporary Order Of Prohibition 0500667
Pernell Edwards Clark May 17, 2010 Consent Order Of Prohibition 1000156
Reuters Transaction Services L.L.C. May 17, 2010 Consent Order Of Fine 1000104
Chuck A. Roberts May 18, 2010 Amended Notice Of Hearing 1000087
Lambert Clark Group L.L.C.,
Kevin James Reed
May 18, 2010 Notice Of Hearing 1000165
Howard Richmond May 19, 2010 Temporary Order Of Prohibition 0900524
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.
May 19, 2010 Consent Order To Continue Temporary Order 0900540
Edward Louis Schainker May 20, 2010 Consent Order To Continue Temporary Order 0900049
Advance Equities Inc. May 24, 2010 Consent Order Of Fine 1000109
Michael J. Rukljzo May 24, 2010 Notice Of Hearing 1000172
Brimberg & Co. May 25, 2010 Consent Order Of Fine 1000101
Capital Guardian L.L.C.,
Blake Wilson
May 25, 2010 Consent Order 0700319
Kareem Abdul-Jabbar May 25, 2010 Consent Order 0600591
Michael G. Brcik Jr.,
Full Moon Development L.L.C.,
Mary Weber,
A/K/A Mary Brcik
May 26, 2010 Order Of Prohibition 0900335
Mark Mcewen May 28, 2010 Order Of Revocation And Prohibition 0900362
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