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Search Criteria: Begin Date "05-01-2014" End Date "05-31-2014"
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Name of Respondent(s) Date Type of Action File Number
Travis Oliver,
Electus Asset Holding L.L.C.
May 02, 2014 Order Of Prohibition 1000302
Carlos Meza,
Milwaukee Mcpherson L.L.C.
May 06, 2014 Temporary Order Of Prohibition 1300441
Blackrock Capital Investments,
Jonathan Law
May 06, 2014 Order Vacating Temporary Order 1300409
Jon Hall,
Scott Vaughn,
David Francy,
Laharpe Nrg L.L.C.,
Bio-Nrg L.L.C.
May 06, 2014 Notice Of Hearing 1200089
The Niew Group Professional Advisors L.L.C.,
Niew Financial Services Inc.,
Niew Legal Partners P.C.,
Kathleen Niew
May 08, 2014 Temporary Order Of Prohibition 1300125
Daedalus Capital L.L.C.,
Stephen M. Coleman
May 16, 2014 Temporary Order Of Prohibition 1200150
Claude E. Jones Jr.,
Corbenic L.L.C.
May 16, 2014 Order Of Prohibition 1300173
Mathew Eliscu May 16, 2014 Order Of Prohibition 1100257
Howard J. Allen I I I May 16, 2014 Notice Of Hearing 1400145
Brooks And Goldman Financial,
Philip S. Bradley,
Charles E. Gradon
May 19, 2014 Order Of Prohibition 1300306
Sixpoint Partners L.L.C. May 19, 2014 Notice Of Hearing 1400141
B.C. Securities Inc. May 19, 2014 Notice Of Hearing 1400120
Weston Financial Services L.L.C. May 19, 2014 Notice Of Hearing 1400136
Telexfree Inc.,
Telexfree L.L.C.,
James M. Merrill,
Carlos N. Wanzeler,
Joseph H. Craft,
Steven M. Labriola,
Faith Sloan
May 20, 2014 Order Of Prohibition 1400196
Daniel Zakon May 21, 2014 Notice Of Hearing 1000023
Madison Avenue Securities Inc. May 23, 2014 Amended Notice Of Hearing 1000341
Robert J. Loncar May 23, 2014 Temporary Order Of Prohibition 1400118
Clayton A. Cohn,
D/B/A Market Advisors L.L.C.,
D/B/A Marketaction Capital Management L.L.C.
May 23, 2014 Order Of Prohibition 1300370
Louis Capital Markets L.P. May 27, 2014 Notice Of Hearing 1400167
Groupe 369 Corp. May 27, 2014 Consent Order Of Prohibition 0900370
U.S.A Personal Loan May 27, 2014 Temporary Order Of Prohibition 1300151
Jeffrey S.Dietrich,
Spalter Financial Company
May 30, 2014 Notice Of Hearing 0900081
John Edward Watson May 30, 2014 Consent Order Of Prohibition 1100218
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