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Search Criteria: Begin Date "05-01-2012" End Date "05-31-2012"
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Name of Respondent(s) Date Type of Action File Number
Jeffrey A. Mullins May 01, 2012 Order Of Dismissal 1200025
Katryn Ann Winter May 01, 2012 Amended Notice Of Hearing 1200103
Nicolas Hindman,
Mel Krumdick,
Todd A. Dyer,
Tracy Lynn Bolton,
U.S. Growers Liquidity Fund Inc.,
Farmland Marketing & Management Group Inc.,
Midwest Farmland Limited Partnership,
Midwest Farmland Management Corporation,
American Farmland Partners Corporation
May 01, 2012 Amended Notice Of Hearing 1000325
Roy D. Kessel,
The Omicron Group L.L.C.,
Capital Law Group P.C.
May 02, 2012 Order Of Prohibition 1000395
Stephen H. Mansker Jr.,
Mansker Holding Associates Company Inc.
May 02, 2012 Order Of Prohibition 1100279
Douglas F. Kaiser May 03, 2012 Order Of Dismissal 1200121
Ryan C. Gold May 03, 2012 Corrected Consent Order Of Dismissal 1200040
Southwest Securities Inc. May 07, 2012 Notice Of Hearing 1200157
Legend Merchant Group Inc. May 08, 2012 Summary Order Of Prohibition 1200118
Christopher F. Cerecedes May 09, 2012 Temporary Order Of Prohibition 1000468
Pulse Trading Inc. May 09, 2012 Order Of Dismissal 1200082
Kathryn Ann Winter May 10, 2012 Consent Order Of Dismissal 1200103
A.T.G. Securities L.L.C. May 13, 2012 Notice Of Hearing 1200090
Ventoux Securities L.L.C. May 13, 2012 Order Of Cancellation 1200088
Peter Anthony Mazzara,
Omni Group Partners,
Alpha Life Holdings Ltd.
May 14, 2012 Amended Notice Of Hearing 1100435
Angelo Wiley May 15, 2012 Notice Of Hearing 1000194
Robert T. Ciaccio Jr. May 15, 2012 Consent Order Of Dismissal 1200070
First Calvary Financial Inc.,
Richard Chaunqi Wang
May 16, 2012 Notice Of Hearing 1100212
M.S.F. Securities Inc. May 16, 2012 Order Of Cancellation 1200083
Rudolf L. Molnar May 17, 2012 Notice Of Hearing 1200133
Mark David Hurwitz,
Lynda M. Hurwitz.
May 18, 2012 Temporary Order Of Prohibition & Suspension 1200057
Angelo Wiley May 25, 2012 Consent Order 1000194
Virginia Commercial Capital Corporation,
Scott Mattingley
May 25, 2012 Consent Order 1100342
Helmuth Investment Inc. May 30, 2012 Corrected Order Of Cancellation 1200100
M.S.F. Securities Inc. May 30, 2012 Order To Vacate 1200083
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