ADMINISTRATIVE ACTIONS SEARCH
Search Criteria: Begin Date "05-01-2010" End Date "05-31-2010"
| 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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Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader
Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader