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Search Criteria: Begin Date "05-01-2011" End Date "05-31-2011"
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Name of Respondent(s) Date Type of Action File Number
Lawrence I. Goldstein May 02, 2011 Notice Of Hearing 1100065
Ajay Sarkar,
Panacea Corporation
May 03, 2011 Temporary Order Of Prohibition 0900258
Jim Pantazelos,
Destiny'S Partners Inc.
May 03, 2011 Order Of Prohibition 0900497
Michael A. Calace,
A/K/A Michael Anthony,
D/B/A Silver Sword International
May 03, 2011 Notice Of Hearing 1000261
Thomas William Rendl May 03, 2011 Notice Of Hearing 1100173
Blake Anthony,
Blake Anthony Inc.,
Solution Consulting Group Services Inc.,
Angela T. Freeman
May 04, 2011 Order To Terminate Order Of Prohibition 0900113
Gary Carter Jr.,
Believer'S Two Inc.,
Cheetah Machines Inc.,
Gary Carter Sr.
May 04, 2011 Order Of Prohibition 1100006
Michael H. Hess,
Quantum Holdings L.L.C.
May 04, 2011 Corrected Notice Of Hearing 1000403
Putnam Energy L.L.C. May 04, 2011 Notice Of Hearing 1100199
Spencer Clarke L.L.C. May 05, 2011 Consent Order Of Fine 1000223
Timothy John Roth,
D/B/A Keyop Exercise Inc.
May 05, 2011 Order Of Prohibition 1100183
Richard A. Cavileer May 05, 2011 Notice Of Hearing 1100064
Blue Horizons Group L.L.C. May 06, 2011 Summary Order To Cease And Desist 1100028
Lowell Terry Allen May 06, 2011 Order Of Dismissal 1100095
Solid Ad Solutions L.L.C.,
Eweb Financial L.L.C.
May 06, 2011 Summary Order To Cease And Desist 1000354
Norman Goldstein,
G.E.I. Brokerage Inc.
May 10, 2011 Order Of Revocation 1000279
Quad City Investment Adivors L.L.C. May 10, 2011 Notice Of Hearing 1100214
Fran Span Global L.L.C.,
The Healthy Life Style Place Of Oak Park L.L.C.,
Physicians Wellcare Centers Of America
May 11, 2011 Temporary Order Of Prohibition 1100208
Jay Michael Pollack May 12, 2011 Notice Of Hearing 1100123
John Naurice Baker May 12, 2011 Notice Of Hearing 1100117
Joseph Macaione May 12, 2011 Order Of Dismissal 1100092
Joseph Richard Rauktys May 12, 2011 Order Of Dismissal 1100106
Patrick Timothy Murphy May 12, 2011 Order Of Dismissal 1100104
Alan Richard Lew May 13, 2011 Order Of Dismissal 1100096
George Willis Scholz May 16, 2011 Order Of Dismissal 1100109
Michael D. Hanke May 16, 2011 Consent Order Of Withdrawal 1100002
Peter Whitfield May 16, 2011 Order Of Dismissal 1100136
Jacqueline Kae Childress-Mitchell May 17, 2011 Order Of Dismissal 1100110
Margaret Kopecki May 17, 2011 Order Of Dismissal 1100153
Neal Alexander Ritter May 17, 2011 Order Of Dismissal 1100163
William Anthony Gohs May 17, 2011 Order Of Dismissal 1100143
Leonard Todd Johnson May 18, 2011 Order Of Dismissal 1100165
Michael Joseph Farinella May 18, 2011 Order Of Dismissal 1100086
Power Propery Investors,
Power Property Management,
Power Lending Corporation,
Darren Heroldt
May 18, 2011 Order Of Prohibition 0700394
Randall Scott &. Partners,
James B. Clarke & Co. Ltd.
May 18, 2011 Order Of Prohibition 1000188
Germaine Pang,
Krupp D/B/A Germaine Pang
May 19, 2011 Order Of Prohibition 0900468
Great Power Investments L.L.C.,
Walter G. Martinez
May 19, 2011 Order Of Prohibition 0900352
Thomas F. Utley May 19, 2011 Notice Of Hearing 0900461
David L. Hopkins May 20, 2011 Order Of Prohibition 0800270
Sequoia Group Inc.,
Michael T. Kimmelman
May 20, 2011 Third Amended Notice Of Hearing 1000376
Sequoia Group Inc.,
Michael T Kimmelman
May 20, 2011 Third Amended Notice Of Hearing 1000404
Senior Financial Strategies Inc.,
D/B/A Pinnacle Investment Advisers,
Thomas N. Cooper,
Susan B. Cooper
May 24, 2011 Order 0800064
Stifel Nicolaus & Company Incorporated May 24, 2011 Consent Order 0700156
Stifel Nicolaus & Company Incorporated May 24, 2011 Notice Of Hearing 0700156
Jay Michael Pollack May 25, 2011 Order Of Dismissal 1100123
Andrew John Hall May 26, 2011 Order Of Dismissal 1100114
Aaron Todd Fields May 27, 2011 Order Of Revocation 1100156
Albert Dixon Bryant May 27, 2011 Order Of Revocation 1100167
Daniel Nieves May 27, 2011 Order Of Revocation 1100144
David Sargent,
A/K/A Smooth D. Styles Jr.,
D/B/A The Elite Construction Group
May 27, 2011 Order Of Prohibition 1000070
Dorsey Christian May 27, 2011 Order Of Revocation 1100107
John Michael Bayer May 27, 2011 Order Of Revocation 1100147
Michael Paul Curtis May 27, 2011 Order Of Revocation 1100158
Jeffrey Terrence Graff May 27, 2011 Order Of Revocation 1100155
Eugene Morrissette,
G.M. Enterprises
May 31, 2011 Temporary Order Of Prohibition 1000256
Ken A. Hugos May 31, 2011 Consent Order Of Withdrawal 1000410
Lambert Clark Group L.L.C.,
Kevin James Reed
May 31, 2011 Amended Notice Of Hearing 1000165
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