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Search Criteria: Begin Date "11-01-2010" End Date "11-30-2010"
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Name of Respondent(s) Date Type of Action File Number
Moshe Yehuda Dunoff,
D/B/A Intereast Financial Brokers,
D/B/A Gruber And Green Inc.
November 01, 2010 Order Of Prohibition 1000183
Brendan P. Byrne November 03, 2010 Order Of Prohibition 0700345
American Constantine Insurance Company Limited November 03, 2010 Order To Vacate Temporary Order Of Prohibition 1000094
Evolve Securities Inc. November 09, 2010 Consent Order Of Censure And Fine 0900433
Ephren Taylor,
City Capital Corporation,
A/K/A City Capital Corp,
Clean Sweep Holdings Group L.L.C.
November 12, 2010 Amended Notice Of Hearing 1000196
James Parker,
Connectwe.Com,
Connectwe Inc.
November 12, 2010 Temporary Order Of Prohibition 1000417
James R. Pecoraro November 16, 2010 Notice Of Hearing 1000402
Jarid A. Brown November 16, 2010 Notice Of Hearing 1000097
Arthur S. Miller,
Asset Protection Associates
November 17, 2010 Notice Of Hearing 0700268
Richard M. Spriggs,
Giraffe Logistics L.L.C.
November 18, 2010 Order Of Prohibition 1000081
Paul Miller,
7 West Partners L.L.C.,
Southern Media L.L.C.
November 18, 2010 Temporary Order Of Prohibition 1000291
Craig Gutowsky,
D/B/A C.M.G. Trading Consultants
November 18, 2010 Order Of Prohibition 0800553
Leonard Hayes,
New Vision Construction Of Illinois Inc.
November 29, 2010 Order Of Prohibition 0900225
Diane Glatfelter,
Robert S. Anderson,
E-Trust Clearing House
November 30, 2010 Amended Notice Of Hearing 1000050
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